Page 1 GAO-14-99R Implementation of Select Provisions of the Post-Katrina Act

441 G St. N.W.

Washington, DC 20548

November 26, 2013

The Honorable Thomas R. Carper 

Chairman 

The Honorable Tom Coburn, M.D.

Ranking Member 

Committee on Homeland Security and Governmental Affairs 

United States Senate

The Honorable Robert P. Casey, Jr.

United States Senate

The Honorable Susan M. Collins

United States Senate

National Preparedness: Actions Taken by FEMA to Implement Select Provisions of the 

Post-Katrina Emergency Management Reform Act of 2006

On August 29, 2005, and in the ensuing days, Hurricanes Katrina, Rita, and Wilma devastated 

the Gulf Coast region of the United States. Hurricane Katrina alone affected more than a halfmillion people located within approximately 90,000 square miles spanning Louisiana, 

Mississippi, and Alabama; ultimately resulted in over 1,600 deaths; and triggered one of the 

largest natural disaster relief and recovery operations in U.S. history. In the wake of these 

hurricanes, we and others issued reports and made recommendations related to the federal 

response to these events, concluding that the government was not adequately prepared to 

respond to catastrophic incidents.

1 In October 2006, the Post-Katrina Emergency Management 

Reform Act of 2006 (Post-Katrina Act) was enacted.

2

 1 Beginning in February 2006, reports by the House Select Bipartisan Committee to Investigate the 

Preparation for and Response to Hurricane Katrina, the Senate Homeland Security and Governmental 

Affairs Committee, the White House Homeland Security Council, the Department of Homeland Security 

(DHS) Inspector General, DHS, and the Federal Emergency Management Agency (FEMA) all identified a 

variety of failures and some strengths in the preparations for, response to, and initial recovery from 

Hurricane Katrina. We have issued a range of reports on emergency management and catastrophic 

disasters, including Hurricane Katrina, a selection of which which are listed on the Related GAO Products 

page.

2 The Post-Katrina Act was enacted as Title VI of the Department of Homeland Security Appropriations 

Act, 2007, Pub. L. No. 109-295, 120 Stat. 1355 (2006). The provisions of the Post-Katrina Act became 

effective upon enactment, October 4, 2006, with the exception of certain organizational changes related 

to FEMA, most of which took effect on March 31, 2007.
Page 2 GAO-14-99R Implementation of Select Provisions of the Post-Katrina Act

Almost 3 years prior to the hurricanes, and just over 1 year after the terrorist attacks of 

September 11, 2001, the Homeland Security Act of 2002 created the Department of Homeland 

Security.3 The act merged 22 disparate agencies and organizations, including FEMA, into the 

new department. This act also generally charged DHS with securing the homeland against 

terrorist attacks and carrying out the functions of all transferred entities, including acting as a 

focal point regarding natural and man-made crises and emergency planning. Among its 

responsibilities, DHS was to build a comprehensive national incident management system 

comprising all levels of government and consolidate existing federal government emergency 

response plans into a single, coordinated national response plan.4 Among other things, the 

Post-Katrina Act enhanced FEMA’s responsibilities and its autonomy within DHS.

5 According to 

the act, FEMA’s mission is to reduce the loss of life and property and protect the nation from all 

hazards by leading and supporting the nation in a risk-based, comprehensive emergency 

management system of preparedness, protection, response, recovery, and mitigation.6

Given the importance of proper implementation of the act and the need for a unified, 

coordinated national incident management system capable of preparing for and responding to 

natural and man-made disasters, including catastrophic disasters, you requested that we review 

the status of implementation of five select provisions of the Post-Katrina Act related to the 

development of plans, exercises, capabilities, reports, and presidential certification of federal 

preparedness.7

 

This report describes the actions FEMA has taken to address these select Post3 Pub. L. No. 107-296, 116 Stat. 2135. 

4 6 U.S.C. § 314.

5 For example, under the Post-Katrina Act, the FEMA Administrator reports directly to the Secretary of 

Homeland Security; FEMA is a distinct entity within DHS; and the Secretary of Homeland Security cannot

substantially or significantly reduce the authorities, responsibilities, or functions of FEMA or the capability 

to perform them unless authorized by subsequent legislation. 6 U.S.C. §§ 313(c)(3), 316(a), 316(c)(1).

6 6 U.S.C. § 313 (b)(1).

7 In November 2008, we reported on actions FEMA and DHS had taken in response to the Post-Katrina 

Act’s provisions, areas where FEMA and DHS needed to take additional actions, and any challenges to 

implementation that FEMA and DHS officials identified. In general, we found that FEMA and DHS had 

made some progress in their efforts to implement the act since it was enacted, in October 2006. For most 

of the provisions we examined, FEMA and DHS had at least preliminary efforts under way to address 

them. However, we identified a number of areas that required action, and we concluded that FEMA and 

DHS had work remaining to implement the provisions of the act. The report provided information on the 

status of implementation efforts for the entire act, which includes over 300 discrete provisions. We did not 

assess the quality or likely outcomes of any of the actions that had been taken. For more details, see
Page 3 GAO-14-99R Implementation of Select Provisions of the Post-Katrina Act

Katrina Act provisions. On September 5, 2013, we briefed you on our overall findings (see 

enclosures I through V).

8 Table 1 summarizes the five provisions reviewed.9

Table 1: Summary of Post-Katrina Act Provisions We Reviewed 

Source: GAO analysis of Post-Katrina Act provisions.

To conduct this work, we analyzed the five Post-Katrina Act provisions, reviewed agency 

documents—including emergency response and implementation plans and related reports—and 

discussed the act’s implementation with FEMA officials to identify actions taken in response to 

the act’s provisions during the period from October 2006 through November 2013. We also 

compared the actions described in agency documents and reported by officials with the 

provisions in order to describe any differences between the actions FEMA took and the 

language of the provisions. We did not assess the quality or likely outcomes of any of the 

actions that FEMA has taken. It was beyond the scope of this report to determine whether 

FEMA had fully complied with the provisions of the law or to evaluate the effectiveness—

individually or collectively—of the actions that FEMA has taken. Additional focused evaluation 

in selected areas and, in some cases, more time for efforts to mature will be required in order to 

 

GAO, Actions Taken to Implement the Post-Katrina Emergency Management Reform Act of 2006, GAO09-59R (Washington, D.C.: Nov. 21, 2008).

8 The enclosures describe the actions FEMA officials report having taken in response to the five 

provisions. Each enclosure provides a summary of the provision’s requirements, relevant background 

information, information on actions FEMA officials reported taking in response to the provision, and our 

comparison of the actions taken against the language of the provision.

9 For more details on the provisions reviewed, see enclosures I through V appended to this report.

6 U.S.C. § 319 (b)(2)(C): Revise the Catastrophic Incident Annex and finalize the 

Catastrophic Incident Supplement

6 U.S.C. § 748 (b): Carry out a National Exercise Program and conduct periodic national 

exercises

6 U.S.C. § 751 (b) and (d): Develop an inventory of federal response capabilities and 

inventory database

6 U.S.C. § 752 (b): Annually submit to Congress a Catastrophic Resource Report

6 U.S.C. § 753 (c) and (d): FEMA’s development of pre-scripted mission assignments, and 

presidential certification of federal agencies with responsibilities under the National 

Response Plan
Page 4 GAO-14-99R Implementation of Select Provisions of the Post-Katrina Act

evaluate the effectiveness of the actions taken to implement the law. Therefore, the description 

of an “action taken” for any given provision does not necessarily mean that FEMA has done all 

that is necessary to implement that particular provision or that FEMA has done so effectively. 

Further, where future actions to be taken are identified, it is not intended to suggest that once 

that action is completed, the relevant statutory provision will be fully implemented. 

We conducted this performance audit from May to November 2013, in accordance with 

generally accepted government auditing standards. Those standards require that we plan and 

perform the audit to obtain sufficient, appropriate evidence to provide a reasonable basis for our 

findings and conclusions based on our audit’s objectives. We believe that the evidence obtained 

provides a reasonable basis for our findings and conclusions based on our audit objectives.

In summary, we found that FEMA reported taking various actions to address each of the five 

provisions. 

• 6 U.S.C. § 319 (b)(2)(C): In response to this provision—which requires FEMA to revise the 

Catastrophic Incident Annex (the Annex) to the National Response Plan (NRP), now called 

the National Response Framework (NRF), and finalize and release the Catastrophic Incident 

Supplement (the Supplement) to the NRP—FEMA revised the Annex, and finalized and 

released the Supplement, but has not revised the Supplement to reflect the NRF.

10

• 6 U.S.C. § 748 (b): In response to this provision—which requires FEMA to carry out a 

national exercise program and conduct periodic national exercises, not less than 

biennially—FEMA developed the National Exercise Program (NEP) in coordination with 

other federal agencies and two national councils within the time frame required by the act, 

and conducted five national exercises since fiscal year 2007. For more details on the status 

of implementation of this provision, FEMA’s perspective, and background on the NEP and 

national level exercises, see enclosure II.

For more 

details on the status of implementation of this provision, FEMA’s perspective, and 

background on the NRP/ NRF, the Annex, and the Supplement, see enclosure I.

 10 The Post-Katrina Act predated the NRF and refers to the NRF’s predecessor, the NRP. When the PostKatrina Act was enacted, in October 2006, the NRP was the name of the document that served as the 

nation’s comprehensive framework for the management of domestic incidents where federal involvement 

was necessary. DHS subsequently revised the NRP and reissued it in January 2008 under a new name, 

the NRF. Because the law defines “National Response Plan” as encompassing any successor plan to the 

NRP, the law applies to the NRF just as it did the NRP. See 6 U.S.C. § 701(13).
Page 5 GAO-14-99R Implementation of Select Provisions of the Post-Katrina Act

• 6 U.S.C. § 751 (b) and (d): In response to this provision—which requires FEMA to develop 

an inventory of federal response capabilities as well as a database for the inventory—FEMA 

officials said that, taken together, the draft Federal Interagency Operational Plan for the 

NRF (Response FIOP) and FEMA’s Pre-Scripted Mission Assignment (PSMA) Catalogue 

address the requirement. Both the Response FIOP and PSMA Catalogue include 

information on capabilities that may be available from other federal agencies during disaster 

response, per the Post-Katrina Act requirement. However, neither document individually, or 

taken together, includes all of the information specified in the provision. For more details on 

the status of implementation of this provision, FEMA’s perspective, and background on the 

Response FIOP and PSMA Catalogue, see enclosure III.

• 6 U.S.C. § 752 (b): In response to this provision—which requires FEMA to annually submit 

to Congress a Catastrophic Resource Report (CRR) that includes estimates of the 

resources of FEMA and other federal agencies needed for and devoted specifically to 

developing capabilities at all levels of government necessary to respond to a catastrophic 

incident—FEMA did not issue CRRs from fiscal year 2007 through fiscal year 2011, issued 

the first CRR in August 2012, and as of September 2013 FEMA officials said that they 

intend to issue the second annual CRR by the end of calendar year 2013. Further, we found 

that the 2012 CRR did not contain estimates of the resources needed for developing 

capabilities necessary to respond to a catastrophic incident, as specified in the provision. 

For more details on the status of implementation of this provision, FEMA’s perspective, and 

background on the CRR, see enclosure IV.

• 6 U.S.C. § 753 (c) and (d): In response to this provision—which requires FEMA’s 

development of pre-scripted mission assignments and presidential certification that federal 

agencies with responsibilities under the NRP (now NRF) have, among other things, needed 

operational capabilities to meet the National Preparedness Goal—FEMA issued a PSMA 

Catalogue, and FEMA officials said that various recently issued and to-be-issued reports 

and a draft plan should collectively be considered to meet the presidential certification 

requirement.11

 11 The National Preparedness Goal, issued by DHS in September 2011, defines success for national 

preparedness as “a secure and resilient Nation with the capabilities required across the whole community 

to prevent, protect against, mitigate, respond to, and recover from the threats and hazards that pose the 

greatest risk.” This includes

However, the various recently issued reports that FEMA cited do not include 

• preventing, avoiding, or stopping a threatened or an actual act of terrorism; 
Page 6 GAO-14-99R Implementation of Select Provisions of the Post-Katrina Act

an explicit presidential certification statement, nor do they specifically evaluate the PostKatrina Act requirements that the President is called on to certify. For more details on the 

status of implementation of this provision; FEMA’s perspective; and background on PSMAs, 

the PSMA Catalogue, and documents FEMA officials said should collectively be considered 

to meet the presidential certification requirements; see enclosure V.

For a timeline of FEMA’s actions associated with implementation of these five provisions of the 

Post-Katrina Act, see enclosure VI.

Agency Comments 

We provided a draft of this report to officials from DHS and FEMA for their review and comment. 

FEMA provided technical comments that were incorporated as appropriate. 

--- --- --- --- ---

We are sending copies of this report to the appropriate congressional committees, the Secretary 

of Homeland Security, the Administrator of FEMA, and other interested parties. In addition, the 

report is available at no charge on GAO’s website at http://www.gao.gov. 

If you or your staff have any questions concerning this report, please contact me at (202) 512-

9971 or kirschbaumj@gao.gov. Contact points for our Offices of Congressional Relations and 

Public Affairs may be found on the last page of this report. Key contributors to this report were 

Christopher Keisling, Assistant Director; Tracey King; David Lysy; Lara Miklozek; Amanda 

Miller; and Erin O’Brien. 

Joseph W. Kirschbaum

Acting Director, Homeland Security and Justice

Enclosures—I through VI

 

• protecting citizens, residents, visitors, and assets against the greatest threats and hazards in a 

manner that allows the Nation’s interests, aspirations, and way of life to thrive; 

• mitigating the loss of life and property by lessening the impact of future disasters; 

• responding quickly to save lives, protect property and the environment, and meet basic human needs 

in the aftermath of a catastrophic incident; and 

• recovering through a focus on the timely restoration, strengthening, and revitalization of infrastructure, 

housing, and a sustainable economy, as well as the health, social, cultural, historic, and 

environmental fabric of communities affected by a catastrophic incident; 

Department of Homeland Security, National Preparedness Goal (Washington, D.C.: September 2011).
Page 7 GAO-14-99R Implementation of Select Provisions of the Post-Katrina Act

Enclosure I: 6 U.S.C. § 319 (b)(2)(C): Revise the Catastrophic Incident Annex and finalize the 

Catastrophic Incident Supplement

Enclosure II: 6 U.S.C. § 748 (b): Carry out a National Exercise Program and conduct periodic 

national exercises

Enclosure III: 6 U.S.C. § 751 (b) and (d): Develop an inventory of federal response capabilities 

and a database for the inventory 

Enclosure IV: 6 U.S.C. § 752 (b): Annually submit to Congress a Catastrophic Resource 

Report

Enclosure V: 6 U.S.C. § 753 (c) and (d): FEMA’s development of pre-scripted mission 

assignments, and presidential certification of federal agencies with responsibilities under the 

National Response Plan

Enclosure VI: Timeline of Actions Associated with Implementation of Select Provisions of the 

Post-Katrina Emergency Management Reform Act of 2006

Related GAO Products
Page 8 GAO-14-99R Implementation of Select Provisions of the Post-Katrina Act

Abbreviations

CIA Catastrophic Incident Annex

CIS Catastrophic Incident Supplement

CRR Catastrophic Resource Report

DHS Department of Homeland Security

DRW Disaster Reserve Workforce

FEMA Federal Emergency Management Agency

IMAT Incident Management Assistance Team

NEP National Exercise Program

NLE National Level Exercise

NPR National Preparedness Report

NRF National Response Framework

NRP National Response Plan

PPD-8 Presidential Policy Directive 8: National Preparedness

PSMA Pre-Scripted Mission Assignment

Response FIOP Federal Interagency Operational Plan for Response
Enclosure I

Page 9 GAO-14-99R Implementation of Select Provisions of the Post-Katrina Act

Summary of Findings

Since enactment of the Post-Katrina Emergency Management Reform Act 

of 2006 (Post-Katrina Act) in October 2006, FEMA revised the 

Catastrophic Incident Annex (the Annex) to the National Response Plan 

(NRP), and finalized and released the Catastrophic Incident Supplement 

(the Supplement), but has not revised the Supplement since its initial 

issuance. The Annex was released in December 2004 as part of the NRP. 

The Supplement was released in draft form in April 2005 and provides 

information on implementing the strategy contained within the Annex. To 

incorporate changes made in response to Hurricane Katrina, FEMA 

revised the NRP and Annex in May 2006, and revised and finalized the 

draft Supplement in September 2006 (a month prior to enactment of the 

Post-Katrina Act). Since that time, FEMA replaced the NRP in January 

2008 with the National Response Framework (NRF), and revised and 

reissued the Annex in November 2008 to align with the NRF, but has not 

yet revised the Supplement. In May 2013, FEMA issued a revised NRF to 

implement requirements from Presidential Policy Directive 8 (PPD-8) on 

national preparedness. The 2013 NRF does not contain new or updated

incident annexes or supplements. 

FEMA officials stated that the agency does not plan to revise and reissue 

the 2008 Annex as part of the new NRF, nor does the agency plan to 

revise and reissue the 2006 Supplement, which aligns with the nowsuperseded NRP. Instead, FEMA officials plan to replace both the Annex 

and Supplement with a combination of all-hazards national and regional 

operational plans that include catastrophic incidents within their scope. 

• At the national level, FEMA submitted the draft Federal Interagency 

Operational Plan for Response (Response FIOP), which was required 

by PPD-8, to the National Security Staff and other federal agencies for 

review in October 2012. Although the draft has not yet been finalized, 

as of November 2013, FEMA officials stated that the Response FIOP 

is currently in use. Both the Supplement and the Response FIOP 

contain planning assumptions, general resource inventories, and 

appendices on response capabilities that are applicable to 

catastrophic incidents. While the Supplement includes a schedule of

when specific response tasks should be initiated, the Response FIOP 

lists the specific tasks without such a schedule. For a comparison of 

the Supplement and the Response FIOP, see table 2. FEMA officials 

stated that they plan to update, develop, or rescind (as needed) all

incident annexes, such as those on radiological incidents or 

earthquakes, by fiscal year 2017. 

• According to FEMA officials, as of September 2013, all 10 of FEMA’s 

regions had developed all-hazards plans that provide information on 

regional resources that could be used to respond to a catastrophic 

incident.

6 U.S.C. § 319 (b)(2)(C)

This provision requires FEMA to 

• revise the Catastrophic 

Incident Annex, and 

• finalize and release the 

Catastrophic Incident 

Supplement to the National 

Response Plan (now called 

the National Response

Framework). 

Background

DHS issued the Catastrophic 

Incident Annex to the NRP in 

December 2004. The Annex was

intended to establish the overall

strategy for implementing and 

coordinating a response to a 

catastrophic incident. 

FEMA (a component of DHS) 

initially issued the draft 

Catastrophic Incident Supplement 

to the Annex in April 2005 and

revised and finalized it in 

September 2006. According to 

the Supplement, FEMA

developed it to establish a 

strategy for delivering federal

resources in response to a nonotice or short-notice incident. 

The Supplement identified 

scenarios for such an incident, 

such as a natural disaster or 

terrorist attack, and included a 

schedule describing what 

resources should be deployed 

and when.

In January 2008, FEMA revised 

the NRP by, among other things, 

incorporating stakeholder 

comments, and renamed it the 

NRF.

For more information, contact Joe Kirschbaum

at (202) 512-9971 or KirschbaumJ@gao.gov.

6 U.S.C. § 319 (b)(2)(C)

Revise the Catastrophic Incident Annex and finalize the 

Catastrophic Incident Supplement
Enclosure I

Page 10 GAO-14-99R Implementation of Select Provisions of the Post-Katrina Act

Table 2: Comparison of the Catastrophic Incident Supplement and Federal Interagency Operational Plan 

Catastrophic Incident Supplement 

(Supplement)

Federal Interagency Operational Plan

(Response FIOP)

Scope Catastrophic incidents only.

All hazards, which includes both man-made and 

natural disasters, as well as incidents that are 

catastrophic in nature.

Concept of 

operations and 

planning 

assumptions

Describes the concept of operations and planning 

assumptions for each of the response capabilities 

in the Supplement.

Describes the concept of operations and planning 

assumptions for each of the response capabilities 

in the Response FIOP.

Capabilities

Includes appendices with additional information 

for each of the response capabilities, such as 

specific tasks to be completed. For example, 

these capability appendices include mass care 

services, search and rescue, and public 

information and warning.

In addition to the appendices included in the 

Supplement, the Response FIOP also includes 

appendices on other capabilities, such as 

planning, situational assessment, operational 

coordination, and operational communications.

According to FEMA officials, the agency will 

develop incident-specific annexes by fiscal year 

2017.

Response tasks

Includes a schedule of 152 response tasks that 

identifies the initiation time and agency 

responsible for each task. For example, in the 

case of a nuclear incident, no later than 30 

minutes following the Secretary of Homeland 

Security’s designation of the event as a 

catastrophic incident, the Department of 

Homeland Security is to activate the U.S. Coast 

Guard National Strike Force to deploy three 10-

person hazardous materials teams.

Includes a list of 1,216 response tasks. For 

example, one of the tasks is to provide emergency 

repair of damaged public infrastructure and critical 

facilities. Generally, the list does not include 

information on when exactly the tasks are to be 

initiated. However, the annexes contain 

information regarding the phase (e.g., preincident, response, recovery) during which tasks 

should be initiated.

Transportation 

support 

schedule

Identifies 46 response teams and supplies, as well 

as the number of hours following an incident the 

resources are to be deployed.

Includes an appendix on critical transportation, but 

does not include a transportation support 

schedule.

Risk 

assessment Does not describe the results of risk assessments.

Includes information from the Strategic National 

Risk Assessment and additional analysis of 

disasters since 1998. The purpose of this 

information is to illustrate factors that have the 

potential to impede the delivery of emergency 

response capabilities.

Team and 

resource 

inventories

Lists 85 response teams, a description, and a 

point of contact. Additional resources are included 

in the capability appendices.

Lists 251 response teams and other resources, 

including those related to chemical, biological, 

radiological, nuclear, and high-yield explosives.

Source: GAO analysis of FEMA documents.
Enclosure II

Page 11 GAO-14-99R Implementation of Select Provisions of the Post-Katrina Act

Summary of Findings

FEMA developed the National Exercise Program (NEP) in coordination 

with other federal agencies, the National Council on Disability, and the 

National Advisory Council within the 180-day time frame required by the 

Post-Katrina Act. FEMA issued a new NEP Base Plan in March 2011 to 

replace the initial NEP charter memorandum and related implementation 

plan issued in January 2007. According to the 2011 Base Plan, exercises 

are to be conducted with a high degree of realism, based on current risk 

assessments, and carried out with minimal notice, as appropriate. In June 

2012, FEMA issued an updated NEP Implementation Plan, which further 

clarifies the roles and responsibilities of stakeholders, and details specific 

processes and procedures for carrying out the program. According to the 

Implementation Plan, exercise evaluation teams are to develop draft afteraction reports and improvement plans for each national level exercise 

(NLE) no later than 30 calendar days following the exercise to help ensure 

that key issues are identified as soon as possible for corrective action.

Since enactment of the Post-Katrina Act, FEMA has conducted five 

national exercises focusing on different scenarios:

• Top Officials (TOPOFF) 4, on radiological dispersal device attack 

prevention, response and recovery;1

• NLE 2009, on terrorism prevention; 

• NLE 2010, on improvised nuclear device attack response and 

recovery; 

• NLE 2011, on response to a catastrophic earthquake in the New 

Madrid Seismic Zone; and 

• NLE 2012, on cybersecurity.

Over 40 federal departments and agencies participated in these five 

national exercises, as did representatives from international, state, tribal, 

and local governments; nongovernmental organizations; and the private 

sector. FEMA developed and issued after-action reports and improvement 

plans for each of these exercises upon their completion.

FEMA’s 2011 Base Plan established a 2-year exercise cycle for NLEs 

starting in calendar year 2013 (replacing the 2007 NEP implementation 

plan’s prior annual requirement). According to the 2011 Base Plan, 

starting in 2013, each 2-year cycle is to culminate in an NLE (to be termed 

“capstone exercise” for 2014) that incorporates lessons learned from 

other, smaller exercises conducted during the same cycle. As of July 

2013, FEMA officials stated that the agency is planning and preparing for 

the culminating NLE for the first 2-year NEP cycle (2013-2014) under the 

2011 Base Plan.

 1 Prior to introducing the term “national level exercise” with NLE 2009, such exercises were

referred to as “top officials” (TOPOFF) exercises. According to FEMA officials, starting in 

2014 the term “national level exercise” will be replaced by the term “capstone exercise.”

6 U.S.C. § 748 (b)

The provision requires FEMA, 

within 180 days of enactment of 

the Post-Katrina Emergency 

Management Reform Act of 2006 

(Post-Katrina Act) on October 4, 

2006, to 

• carry out a national exercise 

program and 

• conduct periodic national 

exercises, not less than 

biennially. 

Background

In January 2007, the National 

Security Council and the 

Homeland Security Council (now 

combined as the National 

Security Council) unanimously 

reached agreement on a charter

memorandum for the NEP, and in 

April 2007, the President 

approved the associated NEP

Implementation Plan. For 

national-level exercises, FEMA, 

in coordination with other federal 

and nonfederal entities, designs 

the exercises to evaluate existing 

national plans and policies and 

test the nation's ability to perform 

missions or functions that 

prevent, protect against, respond 

to, recover from, and mitigate all 

hazards.

For more information, contact Joe Kirschbaum 

at (202) 512-9971 or KirschbaumJ@gao.gov.

6 U.S.C. § 748 (b)

Carry out a National Exercise Program and conduct 

periodic national exercises
Enclosure III

Page 12 GAO-14-99R Implementation of Select Provisions of the Post-Katrina Act

Summary of Findings

FEMA officials said that, taken together, the draft Response FIOP and 

FEMA’s Pre-Scripted Mission Assignment (PSMA) Catalogue address the 

Post-Katrina Act requirement for the development of an inventory of 

federal response capabilities and a related database. 

• FEMA initiated the development of the draft Response FIOP to 

address the requirement in PPD-8 to develop an interagency 

operational response plan that included, among other things, 

information on detailed resource, personnel, and sourcing 

requirements. It includes lists of 251 response teams and other 

resources to respond to a disaster, including communications assets.

• As of June 2013, FEMA’s PSMA Catalogue includes 256 PSMAs for 

31 federal departments, agencies, and offices. PSMAs are draft work 

orders—established in advance of a disaster and then modified to 

meet the needs of a specific incident—issued by FEMA to another 

federal agency to request disaster response support. For example, 

one is for the Department of Defense to provide aerial imagery of an 

affected area in support of disaster operations. 

Both the Response FIOP and PSMA Catalogue identify capabilities and 

communication assets, per the Post-Katrina Act requirement. However, as 

an inventory, neither document individually, or taken together, includes all 

of the information specified in the provision, such as performance 

parameters, time frames, and readiness, nor do the documents identify 

the available quantity of each resource. According to FEMA officials, 

because the kind and type of resources maintained by a given department 

or agency continually change, each department and agency maintains its 

own list of resources. Further, FEMA officials stated that the agency

assigns missions to other federal entities based on the capability needed, 

not the individual resources that may be used to operationalize the 

requested capability.

Both the Response FIOP and PSMA Catalogue include information on 

capabilities that may be available from other federal agencies during 

disaster response, per the Post-Katrina Act requirement. However, as a 

database, neither document individually, or taken together, includes all of 

the information specified in the provision, such as compatibility, personnel, 

or resources. Further, while the draft Response FIOP is to be shared with 

other federal agencies, the PSMA Catalogue is available only through 

FEMA’s internal website, and neither document itself allows for the realtime exchange of current information between federal agencies.

We previously reported that—while FEMA has taken steps to establish 

and assess capabilities—as of June 2013, the agency has not yet 

developed clear, objective, and quantifiable capability requirements and 

performance measures that are needed to identify capability gaps in order 

to determine what level of federal resources will be needed to close such 

gaps. For more details and related prior GAO recommendations to FEMA

on capabilities, see GAO-13-637T.

6 U.S.C. § 751 (b) and (d)

This provision requires FEMA to 

develop an inventory of federal 

response capabilities as well as a 

database for the inventory. 

The inventory is to include (a)

performance parameters; (b) time

frames within which a given

capability can be brought to bear 

on an incident; (c) readiness of a 

given capability to respond to allhazards, including natural 

disasters, terrorism, and other 

disasters; (d) information on 

credentialed personnel; (e)

categorized information on 

equipment; and (f) emergency 

communications assets.

The inventory database is to 

allow (a) real-time exchange of 

information on response 

capabilities, readiness, 

equipment compatibility, 

credentialed personnel, and 

resources categorized by kind 

and type; (b) easy identification 

and rapid deployment of 

capabilities during an incident; 

and (c) the sharing of the 

inventory with other federal 

agencies, as appropriate.

Background

In November 2008, we reported 

that FEMA had not yet completed 

an inventory of federal response 

capabilities (see GAO-09-59R).

According to FEMA officials at the 

time, the agency was in the 

process of assessing federal 

capabilities as part of its 

comprehensive assessment 

system.

For more information, contact Joe Kirschbaum 

at (202) 512-9971 or KirschbaumJ@gao.gov.

6 U.S.C. § 751 (b) and (d)

Develop an inventory of federal response capabilities and a

database for the inventory
Enclosure IV

Page 13 GAO-14-99R Implementation of Select Provisions of the Post-Katrina Act

Summary of Findings

FEMA submitted the first Catastrophic Resource Report (CRR) to 

Congress in August 2012, issued to the Chair and Ranking Members of 

the Senate and House Appropriations Committees’ Subcommittees on 

Homeland Security, as well as the Speaker of the House. As of midSeptember 2013, FEMA officials said they were developing the second 

annual CRR and that they expected to submit it to Congress by the end of 

calendar year 2013. FEMA did not issue an annual CRR for fiscal years 

2007 through 2011, and officials did not identify any specific reasons for 

not issuing the first annual report until late fiscal year 2012.

We found that the first CRR, issued in 2012, did not contain estimates of 

the resources of FEMA and other federal agencies needed for and 

specifically devoted to developing capabilities at all levels of government 

necessary to respond to a catastrophic incident. It instead provided a 

holistic view on national preparedness, according to FEMA officials. 

Specifically, we found that the 2012 CRR provided anecdotal information 

on accomplishments to date and planned future efforts related to 

execution of the 2006 Catastrophic Incident Supplement. The information 

contained in the report is organized by the resource categories identified

in the Post-Katrina Act provision: planning; training and exercises; regional 

office enhancements; staffing, including catastrophic incident surge 

capacity; logistics capabilities; other responsibilities under the 

Supplement; state, local, and tribal government catastrophic 

preparedness; and increases in fixed costs or expenses devoted 

specifically to catastrophic preparedness. For more details on the 

accomplishments to date and planned future efforts identified in the 2012 

CRR, see table 3.

FEMA officials stated that the 2013 CRR, when finalized, will provide 

information on efforts related to execution of the draft Response FIOP 

rather than the 2006 Supplement, as the Response FIOP will supersede 

the Supplement upon its finalization. For more details on the draft 

Response FIOP and the 2006 Supplement, see enclosure I on PostKatrina Act provision § 319 (b)(2)(C).

6 U.S.C. § 752 (b)

This provision requires FEMA to 

annually submit to Congress a 

Catastrophic Resource Report

that includes estimates of the 

resources of FEMA and other 

federal agencies needed for and 

devoted specifically to developing 

capabilities at all levels of 

government necessary to 

respond to a catastrophic 

incident.

Background

FEMA issued the draft 

Catastrophic Incident Supplement

to the NRP in April 2005 and 

revised and finalized it in 

September 2006 to address 

lessons learned from Hurricane 

Katrina. In January 2008, FEMA 

revised the NRP and renamed it 

the NRF. The second edition of 

the NRF was issued in May 2013.

PPD-8 was issued in March 

2011. In May 2011, DHS issued 

an implementation plan for PPD-8

that called for DHS to develop a 

federal interagency operational 

plan to implement the NRF. 

According to FEMA officials, the 

Response FIOP will replace the 

2006 Supplement. According to 

FEMA officials, as of August 

2013, the draft Response FIOP is 

undergoing final interagency and 

National Security Staff review and 

issuance is anticipated to occur 

by the end of calendar year 2013.

For more information, contact Joe Kirschbaum

at (202) 512-9971 or kirschbaumj@gao.gov.

6 U.S.C. § 752 (b)

Annually submit to Congress a Catastrophic Resource 

Report
Enclosure IV

Page 14 GAO-14-99R Implementation of Select Provisions of the Post-Katrina Act

Table 3: Accomplishments to date and Planned Future Efforts Identified in the 2012 Catastrophic Resource Report

Resource 

Category Accomplishments to date Future efforts

Planning

• Updated FEMA Strategic Plan with catastrophic 

preparedness focus 

• Updated the National Response Framework 

(NRF) Catastrophic Incident Annex and published 

the Catastrophic Incident Supplement to the 

Annex

• Developed national catastrophic plans 

• Coordinated and integrated regional catastrophic 

plans 

• Expanded continuity of operations planning 

efforts 

• Implementing the National Planning System 

informed by threat and hazard identification and 

risk assessment processes 

• Continuing catastrophic planning in FEMA 

regions 

Training and 

exercises

• Established Surge Capacity Force training 

requirements 

• Coordinated increasingly complex National Level 

Exercises

• Exercised catastrophic plans and capabilities 

• Continuing FEMA Qualification System 

implementation 

• Implementing an updated National Exercise 

Program 

Regional office 

enhancements

• Delegated additional authorities to FEMA regions 

• Increased regional staffing and resourcing 

• Developed regional whole community 

partnerships 

• Implementing FEMA’s planning, programming, 

budgeting, and execution process 

• Regionalizing homeland security grant programs 

• Improving regional preparedness for catastrophic 

scenarios 

• Implementing preparedness frameworks and 

plans at the regional level

Staffing

• Enhanced staffing capacity 

• Established Incident Management Assistance 

Teams (IMAT) 

• Enhanced the Disaster Reserve Workforce 

(DRW) 

• Developed a Surge Capacity Force

• Continuing Disaster Workforce transformation

• Strengthening FEMA’s human capital controls

• Enhancing IMATs

• Providing DRW training

Logistics 

capabilities

• Realigned logistics capability within FEMA 

• Improved processes, systems, and sourcing 

• Increased logistics staffing, training, and 

credentialing 

• Supported whole community logistics planning 

and coordination 

• Enhancing logistics processes, systems, and 

sourcing 

• Conducting interagency logistics courses and 

resource planning 

Other 

responsibilities 

under the 

Catastrophic 

Incident 

Supplement

Lists improvements in the following broad areas 

outlined in the NRF’s Catastrophic Incident Annex 

and Catastrophic Incident Supplement: 

• Mass evacuations 

• Mass care, housing, and human services 

• Search and rescue 

• Decontamination 

• Public health and medical support 

• Medical equipment and supplies 

• Patient/casualty transportation 

• Public safety and security 

• Public information/incident communications 

• Critical infrastructure 

Lists continuing efforts to further improve the broad 

areas outlined in the NRF’s Catastrophic Incident 

Annex and Catastrophic Incident Supplement 

(identified at left). 

State, local, and 

tribal 

governments

• Improved state and urban area emergency 

operations plans

• Enhanced catastrophic plans through federal 

technical assistance 

• Improved regional catastrophic planning through 

federal grants 

• Improved capabilities through training 

• Tested capabilities through exercises 

• Implementing Presidential Policy Directive 8: 

National Preparedness

• Integrating regional catastrophic planning efforts

Increased fixed 

costs 

• Identified no fixed costs or expenses devoted 

specifically to catastrophic preparedness 

• Identified no fixed costs or expenses devoted 

specifically to catastrophic preparedness 

Source: GAO analysis of FEMA’s 2012 Catastrophic Resource Report.
Enclosure V

Page 15 GAO-14-99R Implementation of Select Provisions of the Post-Katrina Act

Summary of Findings

In June 2008, FEMA issued a printed catalogue of PSMAs, as required by 

the Post-Katrina Act provision. FEMA, as of November 2013, now 

maintains the PSMA catalogue on a FEMA intranet-based website. 

According to FEMA officials, the PSMA catalogue is to be continually 

updated based on lessons learned from disasters and preparedness 

exercises. As of June 2013, the PSMA catalogue contained approximately 

256 federal mission assignments across 31 federal departments, 

agencies, and offices. A mission assignment is a work order issued by 

FEMA to another federal agency that directs completion by that agency of 

a specified task and sets forth funding, other managerial controls, and 

guidance. The Post-Katrina Act required FEMA to develop PSMAs in 

coordination with other relevant federal agencies, thereby enabling the 

expediting of federal assistance. For example, FEMA could use an 

existing PSMA as a basis for mission assigning the Department of Health 

and Human Services to activate the National Disaster Medical System in 

order to assist in the provision of emergency medical care in an affected 

area.

FEMA officials said that various recently issued and to-be-issued reports 

and a plan should collectively be considered to meet the presidential 

certification requirement in the Post-Katrina Act, but they did not provide 

documentation that included an explicit presidential certification statement. 

Specifically, these officials said the 2012 and 2013 National Preparedness 

Reports (NPR)—in conjunction with the (a) 2012 CRR and (b) not-yetfinalized 2013 CRR, (c) the not yet finalized Response FIOP, and (d) the 

not yet finalized 2013 NRF Emergency Support Functions Report—fulfill 

the intent of the provision. FEMA officials said that the 2012 and 2013 

NPRs were approved by the President. However, the NPRs, as well as the 

2012 CRR, do not include text referencing presidential approval or 

presidential certification that federal agencies meet the requirements 

identified in the provision. Further, neither the NPRs nor the 2012 CRR

specifically evaluates the Post-Katrina Act requirements that the President 

is called on to certify. According to FEMA officials, future NPRs will include 

explicit language related to this provision to document that the NPRs are 

intended to satisfy the legislative requirement. FEMA officials did not 

identify any reports or plans related to the presidential certification 

requirement for the time period between passage of the Post-Katrina Act

in October 2006 and issuance of the first NPR and CRR in 2012. 

FEMA officials said that FEMA does not itself oversee and monitor the 

areas in the provision that the president is called on to certify, which 

includes the status of other departments’ and agencies’ operational 

capabilities, National Incident Management System compliance, training 

and exercising of personnel, and operational plan development. For more 

details on the status of FEMA’s implementation of the Post-Katrina Act

requirement to develop a federal response capability inventory and 

database, see enclosure III on § 751 (b) and (d).

6 U.S.C. § 753 (c) and (d)

This provision requires FEMA to

develop pre-scripted mission 

assignments (PSMA) and the 

President to certify that federal 

agencies with responsibilities 

under the NRP (now NRF) have 

operational capabilities to meet 

the National Preparedness Goal, 

are compliant with the National 

Incident Management System, 

train and exercise their 

personnel, develop operational 

plans and related capabilities, 

and regularly update and verify 

information to be contained in a 

capability inventory.

Background

FEMA’s catalogue of PSMAs

contains draft work orders that 

define activities to be performed 

by federal government entities, at 

the direction of FEMA, to aid 

state and local jurisdictions during 

a disaster or emergency. In 

March 2012, FEMA issued the 

first annual NPR, designed to 

identify progress made toward 

building, sustaining, and 

delivering preparedness 

capabilities in the decade 

following the September 11, 

2001, terrorist attacks. FEMA 

issued the second NPR in May 

2013, which focused on national 

preparedness accomplishments 

either achieved or reported during 

2012. For more details on the 

annual CRR issued by FEMA, 

see enclosure IV on § 752(b). 

For more information, contact Joe Kirschbaum

at (202) 512-9971 or kirschbaumj@gao.gov.

6 U.S.C. § 753 (c) and (d)

FEMA’s development of pre-scripted mission assignments

and presidential certification of federal agencies with 

responsibilities under the National Response Plan
Enclosure VI

Page 16 GAO-14-99R Implementation of Select Provisions of the Post-Katrina Act

Timeline of Actions Associated with Implementation of Select Provisions of the PostKatrina Emergency Management Reform Act of 2006

Date Event

December 2004 National Response Plan (NRP) issued, including a Catastrophic Incident Annex (CIA)

April 2005 Draft Catastrophic Incident Supplement (CIS) to CIA issued for interagency review

May 2006 NRP and CIA revised to incorporate changes made because of Hurricane Katrina

September 2006 Draft CIS revised to incorporate changes made because of Hurricane Katrina

October 2006 Post-Katrina Emergency Management Reform Act of 2006 enacted

January 2007 National Exercise Program (NEP) charter memorandum approved by the White 

House’s National and Homeland Security Councils 

April 2007 NEP Implementation Plan approved by the President and issued

January 2008 National Response Framework (NRF) issued, replaced the NRP

June 2008 Pre-Scripted Mission Assignment catalogue first issued

November 2008 CIA revised to conform with the NRF

March 2011 White House issues Presidential Policy Directive 8: National Preparedness (PPD-8)

March 2011 NEP Base Plan issued, replaced NEP charter memorandum

May 2011 PPD-8 implementation plan issued

September 2011 Per PPD-8 requirements, National Preparedness Goal issued

March 2012 Per PPD-8 requirements, first National Preparedness Report (NPR) issued

June 2012 NEP Implementation Plan revised to conform with NEP Base Plan

August 2012 First Catastrophic Resource Report (CRR) submitted to Congress

October 2012 Per PPD-8 requirements, FEMA submits draft Federal Interagency Operational Plan 

for Response (Response FIOP) for interagency review

May 2013 Per PPD-8 requirements, NRF revised and reissued (i.e., second edition)

May 2013 Per PPD-8 requirements, second NPR issued

December 2013 Anticipated submission of second CRR to Congress

Source: GAO analysis of White House and FEMA documents.
Page 17 GAO-14-99R Implementation of Select Provisions of the Post-Katrina Act

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