Source: https://www.everycrsreport.com/reports/R41981.html
Timestamp: 2018-05-27 19:36:58
Document Index: 412212089

Matched Legal Cases: ['§247', '§701', '§5122', '§5152', '§206', '§5187', '§701']

Congressional Primer on Responding to Major Disasters and Emergencies - EveryCRSReport.com
August 31, 2011 – September 8, 2017 R41981
September 8, 2017 (R41981)
Before and after a disaster strikes, it is useful to understand the basic national emergency management structure and where authority rests at various stages of the process. This report provides information to aid policymakers as they navigate the many levels of responsibility, and numerous policy pressure points; it describes the laws and administrative policies governing the disaster response and recovery process. The report also reviews the legislative framework that exists for providing federal financial assistance following disasters, as well as the policies the executive branch employs to provide supplemental help to state, tribal, and local governments during time of disasters.
The United States takes a "bottom up" approach to both managing and providing assistance, during and following a disaster. The responsibility for responding to disasters begins at the local level with survivors, elected officials, and emergency service personnel. If local government resources are overwhelmed, nongovernmental voluntary organizations in the community and governments in neighboring jurisdictions may be called upon to provide assistance. If those sources of assistance become exhausted, state and tribal governments may supplement a local government's resources, which may be coupled with the governor declaring a state disaster or emergency declaration. Generally, only after local and state/tribal government resources have been overwhelmed, and the governor of the state or chief executive of a tribal nation has requested assistance, does the federal government begin to provide additional help. The role of the federal government, as described in the Robert T. Stafford Disaster Relief and Emergency Assistance Act (the Stafford Act, P.L. 93-288, as amended), is generally to "supplement the efforts and available resources of States, local governments, and disaster relief organizations in alleviating the damage, loss, hardship, or suffering."1
Given this "bottom up" approach, except in the most extraordinary circumstances, local and state/tribal governments are in charge of the disaster response. The Federal Emergency Management Agency (FEMA), or any other federal agency, is there to aid the disaster response process through the National Response Framework and the programs it administers, and to coordinate federal resources in response to state/tribal requests—not to be in the lead or take command.2
The local chief elected official, such as a mayor or their appointed representative, leads the disaster response for their community. The governor is the lead for the state response, the chief for the tribe, and the President for the federal response.3 If state resources are being used to supplement the local response, they are typically coordinated through a State Coordinating Officer (SCO) and the state's emergency management or homeland security agency. If an incident has been declared by the President as an emergency or major disaster under the Stafford Act, the President will request that each governor appoint an SCO if they have not done so already.4 Similar requests are made to the chiefs of tribes. At the federal level, the President, FEMA Administrator, or Regional Administrator will appoint a Federal Coordinating Officer (FCO) to coordinate all federal resources by state.5 The FCO generally operates out of a Joint Field Office (JFO) where federal agencies and departments coordinate their activities. Often times, state/tribal disaster officials will colocate at the JFO to facilitate coordination of efforts.
The National Preparedness System (NPS) has been established under guidance from Presidential Policy Directive 8: National Preparedness (PPD-8), issued by former President Barack Obama on March 30, 2011.6 The NPS is designed to help "ensure the Nation's ability to prevent, respond to, recover from, and mitigate against natural disasters, acts of terrorism, and other man-made disasters."7 In brief, the NPS and its many component policies embody the strategic vision and planning of the federal government, with input from the whole community,8 as it relates to preparing the nation for all hazards. The NPS also establishes methods for achieving the nation's desired level of preparedness for both federal and nonfederal partners by identifying the core capabilities.9 A key component of the NPS is the National Incident Management System (NIMS) that provides a consistent approach for the whole community to work "together seamlessly and manage incidents involving all threats and hazards—regardless of cause, size, location, or complexity—in order to reduce loss of life, property and harm to the environment."10 Further, as directed by PPD-8, the NPS is supported by numerous strategic component policies, including National Planning Frameworks for each of the five mission areas: Prevention, Protection, Mitigation, Response, and Recovery.11 Each National Planning Framework is supported by a federal interagency operational plan (FIOP) that describes how the federal government aligns its supporting resources and delivers core capabilities. Two of the most important Frameworks for responding to a disaster are described below.
The National Response Framework (NRF) guides the nation's response to a major disaster, regardless of cause or size.12 The NRF establishes 14 different Emergency Support Functions (ESFs) to organize the response capabilities of the federal government. ESFs group federal agencies with pertinent authorities, resources, and expertise to accomplish a set of capabilities needed in disaster response, regardless of the type of hazard. For instance, ESF #9 is "Search and Rescue," which unifies federal agencies with the appropriate resources and authorities to conduct search and rescue operations following a hurricane, earthquake, terrorist attack, or other disaster.13 The NRF also contains additional guidance describing how the NRF will be used in response to certain common disaster problems. The Volunteer and Donations Management Support Annex, for example, describes how the federal government will help coordinate the most efficient and effective use of unaffiliated volunteers, unaffiliated organizations, and unsolicited donated goods.14
Although the NRF is often closely linked with the Stafford Act, the NRF is always in effect and does not require a formal Stafford Act declaration to be used. Any disaster requiring federal coordination, including those declared under other federal authorities, arguably would be managed through the NRF.15 As a result of the NRF, the federal, tribal, state, local government agencies, and even most nongovernmental organizations will arguably operate in similar ways during response, with commonly understood terminology and management structures.
The National Disaster Recovery Framework (NDRF) is a companion document to the NRF and guides the nation's long-term recovery from disasters.16 The NDRF provides basic recovery principles, an explanation of roles and responsibilities at the respective levels of government, and, ultimately, a structure and process to assist short- and long-term recovery following a disaster event. As with the NRF, the NDRF uses a support function model to organize federal capabilities. For the recovery phase, FEMA and its partners have identified six Recovery Support Functions (RSFs). An example of a Recovery Support Function is the Economic Recovery Support Function. That RSF is coordinated by the U.S. Department of Commerce.17
In addition, the NDRF also establishes three positions that provide focal points for incorporating recovery considerations into the decision making process following a disaster. Those positions are Federal Disaster Recovery Coordinator (FDRC), State or Tribal Disaster Recovery Coordinators (SDRC or TDRC), and Local Disaster Recovery Managers (LDRM).18
Though not required, voluntary organizations willing to provide disaster assistance and relief are encouraged by statute and regulation to coordinate their assistance through the structure of the NRF.19 Two national organizations, the American Red Cross and the National Voluntary Organizations Active in Disaster (National VOAD), have specific responsibilities under the NRF.20 Faith-based organizations may also be a key source of assistance to the community and the local government during an incident. Because each disaster has a unique set of voluntary organizations involved in response and relief, the state, tribal, or local government officials may generally be the best initial source of information on their activities during the disaster. If the incident has been declared an emergency or major disaster through the Stafford Act, FEMA, through Voluntary Agency Liaisons (VALs), may provide additional support to coordinate the efforts of voluntary organizations bringing relief to afflicted communities.21
Many local governments have pre-negotiated agreements with neighboring jurisdictions to share resources ranging from emergency service equipment (ambulances, fire trucks, etc.) to technical experts (bridge inspectors, contract managers, etc.). At the state level, the Emergency Management Assistance Compact (EMAC) is a congressionally ratified compact that provides a legal structure by which states affected by a disaster may request emergency assistance and aid from other states.22 Mutual aid agreements are an increasingly common and important source of assistance during significant incidents that overwhelm local and state capacities.
The capacity and capabilities of states are varied, as is the process for local governments to request such assistance from their state. All states have either an emergency management agency or a homeland security agency (or both) that is responsible for providing and coordinating assistance to local governments within its jurisdiction, much in the way that FEMA is responsible at the federal level.23 Though all states have some legal process for declaring a "state of emergency" (or synonymous incident), the process for declaring a state of emergency, and the powers and assistance it subsequently grants, varies considerably. Typically, additional information on how this process plays out in each state, and the authority it provides, is available on the websites of the respective state agencies.
When considering whether to request an emergency or major disaster declaration under the Stafford Act, the governor/chief may first decide whether the incident is severe enough to warrant assembling a traditional Preliminary Damage Assessment (PDA) team to survey the damaged area.26 The traditional PDA team includes at least one state or tribal official; at least one federal official, typically a representative from the appropriate FEMA regional office; and a local official familiar with the area. In some cases it may also include representatives from other federal agencies or voluntary relief organizations. This decision rests primarily with the governor's judgment on whether a situation is "beyond the capabilities of the state."27 The concession that a state or tribe can no longer respond on its own is difficult to quantify. It is therefore the governor/chief who makes that assessment, based on their knowledge of state/tribal resources and capabilities.
FEMA representatives have the responsibility of briefing the team on the factors to be considered, the information that will be helpful in the assessment, and how the information should be reported. Regulations require that, at the close of the PDA process, participants reconcile any differences in their findings.28 Following incidents of "unusual severity and magnitude," the PDA process may be waived or expedited.29 Yet even in those cases, initial federal assistance is typically limited, and subsequent PDA processes are required to determine what additional assistance is necessary.
Under the Stafford Act, the President is authorized to declare an emergency or major disaster to authorize federal supplemental assistance.30 Emergency declarations authorize activities that can help states and communities carry out essential services and activities that might reduce the threat of future damage. Emergency declarations may be declared before an incident occurs to save lives and prevent loss. The definition for a major disaster is more precise than an emergency declaration, and the range of assistance available to state and local governments; private, nonprofit organizations; and families and individuals is broader.31 Under a major disaster declaration, state and local governments and certain nonprofit organizations are eligible (if so designated) for assistance for the repair or restoration of public infrastructure, such as roads and buildings. A major disaster declaration may also include additional programs beyond temporary housing, such as disaster unemployment assistance and crisis counseling, and other recovery programs, such as community disaster loans.
The declaration process contains many factors for consideration and, for all but the most catastrophic events, the process moves at a deliberate speed accumulating information from several sources. While the process is informed by that information and its relationship to potential assistance programs, the information that is gathered at the state and local level does not preclude the exercise of judgment by the governor/chief or the President.
In addition to the emergency and major disaster declarations, there is a unique quasi-declaration "for the mitigation, management, and control of any fire on public or private forest land or grassland that threatens such destruction as would constitute a major disaster."32 In these cases, FEMA, which has been delegated authority by the President, may declare the incident eligible for a Fire Management Assistance Grant (FMAG) as authorized by Section 420 of the Stafford Act.33 Once issued, the FMAG declaration authorizes various forms of federal assistance such as the provision of equipment, personnel, and grants to state, local, and tribal governments for the control, management, and mitigation of any fire on certain public or private forest land or grassland. The FMAG is intended to mitigate the effects of a wildfire and prevent it from becoming a major disaster.34
a determination by the Secretary of Health and Human Services (HHS) of a public health emergency (PHE) pursuant to Section 319 of the Public Health Service Act (PHSA, 42 U.S.C. §247d);35
various disaster declarations from the Administrator of the Small Business Administration (SBA);36 and
various disaster declarations and designations from the U.S. Department of Agriculture.37
Public Assistance (PA), which provides grants to tribal, state, local governments, and certain private nonprofit organizations to provide emergency protective services, conduct debris removal operations, and repair or replace damaged public infrastructure. Although certain nonprofit organizations may be eligible for these grants, for-profit businesses are not.38
Individual Assistance (IA), which provides direct aid to affected households, can take the form of housing assistance,39 other needs assistance, crisis counseling, case management services, legal services, and disaster unemployment assistance.40 Total assistance under this program is capped at $33,300 per household, though that amount is adjusted annually.41
Hazard Mitigation Assistance (HMA), which funds mitigation and resiliency projects and programs, typically across the entire state. This form of assistance is also cost-shared. Mitigation projects can include the construction of safe rooms, buy-outs of frequently flooded properties, and retro-fitting of facilities.42
The Federal-State Agreement (or FEMA-Tribal Agreement), which is signed by representatives of both the governor/chief and FEMA, enumerates the "conditions for assistance" and how it will be provided.43
In addition to financial assistance that may be available from the Stafford Act, there are a number of other programs not administered by DHS or FEMA that can be involved in certain circumstances. Five significant programs are the following:
Small Business Administration (SBA) Disaster Loans: SBA provides federally subsidized loans to repair or replace homes, personal property, or businesses that sustained damages not covered by insurance following a disaster. SBA loans are a key source of assistance for the private sector and individual homeowners.44
Department of Housing and Urban Development (HUD) Community Development Block Grant (CDBG) Program: These funds can be used to meet a wide range of disaster needs, but the program typically requires a supplemental appropriation to accommodate the high cost of disaster relief.45
U.S. Department of Transportation Federal-Aid Highway Emergency Relief (ER) Program: The ER program is the major source of grant funds for the repair and reconstruction of roads on the federal-aid highway system that have suffered serious damage as a result of either (1) a natural disaster over a wide area, such as a flood, hurricane, tidal wave, earthquake, tornado, severe storm, or landslide; or (2) a catastrophic failure from any external cause.46
U.S. Department of Agriculture (USDA) Agriculture and Rural Assistance: There are multiple programs provided by USDA that provide food, housing, and financial assistance, primarily to agricultural and rural communities.47
U.S. Army Corps of Engineers (Corps) Emergency Assistance: The Corps provides assistance to repair damaged flood control works (e.g., levees) and federally constructed hurricane or shore protection projects that participate in the agency's Rehabilitation and Inspection Program.48 The Corps has an emergency response authority (33 U.S.C. §701n) under which it performs flood-fighting, and other emergency response (e.g., emergency water supplies) and disaster assistance focused on actions to save lives and protect improved property.49 The Corps also has limited authorities to assist with select activities during drought.
Many federal departments and agencies have standing authorities to assist tribal, state, and local governments in a variety of ways. For example, the Centers for Disease Control and Prevention (CDC) may provide a range of technical assistance on issues relating to public health concerns following a disaster. Further, other federal agencies may be able to waive certain regulations and requirements in times of disaster to aid the response and recovery effort. For example, the Environmental Protection Agency (EPA), working with the Department of Energy (DOE), can issue emergency waivers of certain fuel standards in affected areas.50
direct any Federal agency, with or without reimbursement, to utilize its authorities and the resources granted to it under Federal law (including personnel, equipment, supplies, facilities, and managerial, technical, and advisory services) in support of State and local assistance response and recovery efforts, including precautionary evacuations.51
If another federal agency is called upon to assist during a disaster using this authority, typically they receive a mission assignment from FEMA and are reimbursed through the Disaster Relief Fund.52 Federal government agencies also have numerous authorized deployable federal assets that can support the immediate response to disaster.53
The federal government may also provide assistance without a request in more limited circumstances. For example, a request does not need to be made by a state or tribal government when the primary responsibility for the response rests with the federal government. This most frequently occurs because the incident involves an issue or hazard for which, under the Constitution or a federal law, the President or other federal authority has exclusive or preeminent responsibility and authority.54 Likewise, there are situations when the federal government or a federal asset will provide immediate assistance, primarily to prevent the direct loss of life or significant property damage, without the request rising through the "normal" request procedures.55 For instance, the Department of Defense (DOD), through its Defense Support of Civil Authorities (DSCA) regulations and policies, authorizes local DOD officials to provide immediate assistance without a formal request rising through the state and lead federal officials.56
Encourage family and household planning through websites such as http://www.ready.gov, which provides pre-disaster planning advice.
If needed, provide suggestions to FEMA/DHS on likely locations for fixed Disaster Recovery Centers (DRCs) and for possible sites for Mobile Disaster Recovery Centers to visit. These DRCs are typically staffed by FEMA and other federal agencies as well as voluntary organizations and provide citizens with the opportunity for face-to-face sessions with recovery staff.
Be cognizant of the financial status of the Disaster Relief Fund (DRF) that funds the Stafford Act programs as well as other missions assigned to other departments and agencies to carry out response and recovery missions.57 Depending on the severity of the disaster and existing accounting balances, the administration may request, and Congress could act on, legislation to provide supplemental appropriations in the DRF and other disaster assistance program accounts.
CRS has a wide array of experts available to assist Congress by request. Please see CRS Report R43519, Natural Disasters and Hazards: CRS Experts, by [author name scrubbed] for additional information.
Section 102(2) of the Stafford Act, 42 U.S.C. §5122.
U.S. Department of Homeland Security, Federal Emergency Management Agency, "National Disaster Recovery Framework," September 2011, at http://www.fema.gov/national-disaster-recovery-framework.
U.S. Department of Homeland Security, Federal Emergency Management Agency, "National Disaster Recovery Framework," September 2011, p. 25, at http://www.fema.gov/national-disaster-recovery-framework.
For example, see 42 U.S.C. §5152 and 44 C.F.R. §206.12.
For more on FEMA's support in this regard, see FEMA's website at https://www.fema.gov/voluntary-faith-based-community-based-organizations.
For a listing of state and territorial agencies, see FEMA's website at https://www.fema.gov/emergency-management-agencies. Additional information on how each state has structured its emergency management agency can be found at http://nemaweb.org/index.php/docman/about-state-em-agencies/398-state-emergency-management-agency-structure-budget-and-staffing-2014/file?force-download=1.
42 U.S.C. §5187(a).
For more information, see U.S. Department of Agriculture, Farm Service Agency, Emergency Disaster Designation and Declaration Process, May 2017, https://www.fsa.usda.gov/Assets/USDA-FSA-Public/usdafiles/FactSheets/2017/emergency_disaster_designation_and_declaration_process_may2017.pdf; and CRS Report RS21212, Agricultural Disaster Assistance, by [author name scrubbed].
See the most recent annual adjustment at Federal Emergency Management Agency, "Notice of Maximum Amount of Assistance Under the Individuals and Households Program," 81 Federal Register 70431, October 12, 2016.
For more on the FHWA ER program and its comparable program for transit, see CRS Report R43384, Emergency Relief for Disaster-Damaged Roads and Transit Systems: In Brief, by [author name scrubbed].
For more, see USDA's fact sheet on their programs at http://www.usda.gov/documents/usda-disaster-assistance-fact-sheet-oct-2012.docx. Also review CRS Report RS21212, Agricultural Disaster Assistance, by [author name scrubbed], and CRS Report RL33816, Broadband Loan and Grant Programs in the USDA's Rural Utilities Service, by [author name scrubbed], among others.
Most of the agency's disaster response work generally is funded through supplemental appropriations provided directly to the Corps. Until supplemental appropriations are provided, Congress has provided the Corps with authority to transfer money from ongoing Corps projects to emergency operations (33 U.S.C. §701n). For more on Corps-related supplemental appropriations, see CRS Report R42841, Army Corps Supplemental Appropriations: Recent History, Trends, and Policy Issues, by [author name scrubbed] and [author name scrubbed].
For a further discussion of disaster spending, see CRS Report R43665, Supplemental Appropriations for Disaster Assistance: Summary Data and Analysis, by [author name scrubbed] and [author name scrubbed].