Disaster Basics
IS-292
Table of Contents
Table of Contents
Unit 1: Course Overview...................................................................................... 1-1
Unit 2: Background of Federal Disaster Assistance................................................. 2-1
Unit 3: Government Response to an Incident ........................................................ 3-1
Unit 4: Response Operations ............................................................................... 4-1
Unit 5: Command Staff........................................................................................ 5-1
Unit 6: General Staff—Operations Section ............................................................. 6-1
Unit 7: General Staff—Planning Section ................................................................ 7-1
Unit 8: General Staff—Logistics Section ................................................................ 8-1
Unit 9: General Staff—Finance/Administration Section ........................................... 9-1
Unit 10: Course Summary.................................................................................. 10-1
Appendix A: Glossary/Terminology ....................................................................... A-1
Appendix B: Federal Emergency Teams ................................................................ B-1
Final Exam .................................................................................................... Exam-1
Disaster Basics
i
Unit 1
Course Overview
Unit 1
Course Overview
Course Overview
Welcome to IS-292, Disaster Basics. This course is designed so that you can move at
your own pace. You will remember the material best if you take your time. As an
estimate, you might expect to spend 30 minutes to 1 hour on each unit.
Purpose
The purpose of IS-292, Disaster Basics, is to provide a basic knowledge of incident
response and recovery operations, starting with the declaration process through the
Joint Field Office (JFO) programs and management. The course describes major
requirements, important features, and dynamics of the Federal Emergency Management
Agency (FEMA) disaster programs and activities.
Disaster Basics
1-1
Unit 1
Course Overview
Course Objectives
After completing this course, you will be able to:
•
List three significant dates in the development of disaster assistance since
1950.
•
Describe the purpose and function of the Stafford Act.
•
Describe the roles of the local, Tribal, State, and Federal governments in
responding to a declared incident.
•
List the steps in the declaration process.
•
Give three examples of assistance available for non-declared incidents.
•
Explain the relationship between the National Incident Management System
(NIMS), the National Response Plan (NRP), and the Incident Command
System (ICS).
•
List three features of ICS.
•
Explain the role and structure of the Command Staff.
•
Explain the role and structure of the General Staff.
•
Explain the purpose and the components of the Incident Action Plan (IAP).
•
List the key functions of the Operations, Planning, Logistics, and
Finance/Administration Sections.
•
State the purpose of the Individual Assistance (IA), Public Assistance (PA),
and Hazard Mitigation (HM) programs.
Disaster Basics
1-2
Unit 1
Course Overview
Completing the Course
Each unit of the course begins with a Check Your Knowledge section. You can use
these questions to assess your mastery of the topics covered in each unit. This will
help you determine what areas require particular attention. This approach will enable
you to tailor the course so it matches your level of knowledge on the topics covered.
The course includes a final exam which is a separate link on the same Web page as the
course materials. To save time, it is recommended that you download and print the
final exam, circle your answers on the exam, and then complete the online answer
sheet for electronic submission. Your test will be evaluated and the results will be
mailed to you within a few weeks. If you score 75% or higher, a certificate of
completion will be mailed to you.
For any questions related to the course, please send an e-mail directly to
[email protected] or contact:
EMI Independent Study Program
16825 South Seton Avenue
Emmitsburg, MD 21727
Disaster Basics
1-3
Unit 2
Background of
Federal Disaster Assistance
Unit 2
Background of Federal Disaster Assistance
Check Your Knowledge
1. The Stafford Act gives FEMA the
authority to manage disaster
assistance.
True_______
False_______
2. What is the minimum Federal/State
cost-share formula for Public
Assistance?
3. What are three significant dates and
events in the development of disaster
assistance?
4. List the three disaster assistance
programs authorized in the Stafford
Act.
5. What is the mission of FEMA?
Disaster Basics
2-1
Unit 2
Background of Federal Disaster Assistance
Check Your Knowledge
Answers
1. True.
2. 75%/25%.
3. Significant dates and events:
•
1950—Federal Disaster Relief Act passed.
•
1969—Disaster Relief Act of 1969 passed.
•
1974—Disaster Relief Act of 1974 passed.
•
1979—FEMA created by President Carter.
•
1988—Stafford Act passed.
•
2000—Disaster Mitigation Act passed.
•
2003—FEMA becomes part of the
Department of Homeland Security.
4. Individual Assistance, Public Assistance, Hazard
Mitigation.
5. To provide disaster assistance to individuals and
communities and to reduce the impact of future
events.
Disaster Basics
2-2
Unit 2
Background of Federal Disaster Assistance
Background of
Federal Disaster Assistance
Overview
Federal disaster assistance legislation and programs have been evolving since
1950. Through legislation, a variety of disaster relief programs have been
established and a wide range of needs addressed. This unit highlights the
milestones of Federal disaster assistance development.
Disaster Basics
2-3
Unit 2
Background of Federal Disaster Assistance
Upon completion of this unit, you will be able to:
•
List three significant dates in the development of disaster
assistance programs.
•
Describe the function and purpose of the Stafford Act.
•
Identify three sources of guidance and policy for the
Department of Homeland Security (DHS).
Disaster Basics
2-4
Unit 2
Background of Federal Disaster Assistance
Background
Prior to 1950, there was no comprehensive disaster program. Disaster recovery
was funded by Congress on an incident-to-incident basis. Starting in 1950 and
continuing to the present, disaster relief has been provided for through a series
of legislative acts. The following timeline shows the succession:
1950
Public
Law (PL)
81-875
2003
FEMA
becomes
part of DHS
1969
Disaster
Relief
Act
1974
Disaster
Relief
Act
PL 93-288
2000
Disaster
Mitigation
Act
1979
FEMA
Created by
President
Carter
1988
Stafford
Act
Public Law 81-875 was significant for a number of reasons. Funding was
authorized for a disaster relief program rather than a single-incident response.
The responsibility for determining when Federal disaster relief is required was
transferred from Congress to the President. The basic philosophy of Federal
disaster relief was developed establishing that Federal assistance is supplemental
to State and local resources. The basis for later legislation on cost-sharing
between Federal and State or local governments was put into place. Provisions
were made for emergency repairs to or temporary replacement of essential
public facilities. Aid was provided only to State and local governments.
Disaster Basics
2-5
Unit 2
Background of Federal Disaster Assistance
Nearly 20 years later, the Disaster Relief Act of 1969 was passed. This law
introduced the concept of the Federal Coordinating Officer (FCO), and placed the
management of Federal disaster relief under one individual who was appointed
by the President.
In April 1974, there was a series of devastating tornadoes that hit six Midwestern
States. This confirmed the need to add individual and family assistance to the
disaster relief program. As a result, the Disaster Relief Act of 1974 (Public
Law 93-288) was established. Under this law:
•
The Individuals and Households Grant Program is available.
•
Federal and State disaster relief operations are conducted on a
partnership basis, and a State Coordinating Officer (SCO) works jointly
with an FCO.
•
Federal assistance supports local, Tribal, and State activities and
resources.
•
Assistance is contingent upon a Presidential Declaration.
In 1979, the Federal Emergency Management Agency (FEMA) was
created by executive order of President Carter and was established for the
purpose of providing disaster assistance to individuals and communities. FEMA
was given the role of coordinating Federal, State, Tribal, and local efforts when a
Federal disaster is declared. FEMA was tasked with the mission of reducing loss
of life and property, protecting critical infrastructure, and organizing and
supporting a comprehensive emergency management plan.
Before 1981, the Public Assistance (PA) Program, which provided disaster
assistance to State and local governments, was in the form of a 100-percent
Federal grant. The response to the eruption of Mount St. Helens in May 1980
was the first administrative implementation of a 75-percent Federal and 25percent State and local cost sharing of disaster expenses. This response was the
first step toward a cost-sharing, full-partnership concept of managing disaster
response and recovery.
Disaster Basics
2-6
Unit 2
Background of Federal Disaster Assistance
During the 1980s, the Senate expressed concern about the use of disaster
authority for responding to non-natural disasters or emergencies such as
managing the Cuban refugee influx and the Three Mile Island incident. The
Three Mile Island incident, as well as a number of perceived deficiencies,
stimulated Congress to review disaster programs. Over the next several years,
legislation was initiated to change Public Law 93-288.
In November 1988, the Robert T. Stafford Disaster Relief and Emergency
Assistance Act was passed. This act provided a framework for continued
disaster relief and provided the authority for FEMA’s role in managing Federal
disaster assistance. It also legislated a minimum 75-percent Federal/25-percent
State and local cost sharing for the PA Program. The Stafford Act refocused
assistance for non-natural disasters, unless caused by fire, flood, or explosion, to
a more limited scope. It also confirmed the importance of individual assistance
and added an emphasis on mitigation of future losses.
Key features of the act are:
•
State, Tribal, and local governments have the primary responsibility to
respond to a disaster.
•
Federal assistance is designed to supplement the efforts and available
resources of State, Tribal, and local governments, and voluntary relief
organizations in alleviating the damage, loss, hardship, or suffering
resulting from a disaster.
•
FEMA may task any Federal agency, with or without reimbursement, to
provide assistance to State, Tribal, and local disaster efforts in a declared
disaster.
Disaster assistance programs included in the Stafford Act are:
•
Individual Assistance (IA), in the form of individual and household grants
and temporary housing.
Disaster Basics
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Unit 2
Background of Federal Disaster Assistance
•
PA, including grants for emergency work, repair and restoration, and
debris removal.
•
Mitigation grants, to reduce long-term risk to life and property from
natural or technological disasters.
Congress amended the Stafford Act in October 1993 to expand the scope of
mitigation to include acquisition of properties in floodplains. An October 1994
amendment incorporated most of the former Civil Defense Act of 1950, 50 U.S.C.
App., into the Stafford Act. This amendment allows FEMA to implement an allhazards approach to preparedness.
The Disaster Mitigation Act of 2000 further modified the Stafford Act to
establish a national program for pre-disaster mitigation, streamline
administration of disaster relief, and control Federal costs of disaster assistance.
In 2003, FEMA became part of the Department of Homeland Security
(DHS) established by President Bush in 2002. DHS was reorganized on July 12,
2005, with FEMA as a stand-alone agency within the department, responsible for
the response and recovery to Incidents of National Significance reporting directly
to the DHS Director.
Guidance, standards, policy, and procedures for DHS agencies are set forth in
the National Incident Management System (NIMS), the National
Response Plan (NRP), and the Incident Command System (ICS).
Summary
Disaster assistance has been evolving since 1950. Public Law 81-875 was the
first legislation to address disaster relief in a broad, ongoing way. Since then,
numerous laws and amendments have been passed to ensure systematic
disaster assistance. A key piece of this disaster legislation was the Stafford Act
which guides all Federal disaster relief and authorizes FEMA to manage Federal
disaster assistance. Since its incorporation into DHS, FEMA is guided by the
department standards, policies, and procedures set forth in NIMS, the NRP, and
ICS.
Disaster Basics
2-8
Unit 3
Government Response
to an
Incident
Unit 3
Government Response to an Incident
Check Your Knowledge
1. What are the primary responsibilities of local,
Tribal, State, and Federal governments in
response to an incident?
2. Put the following steps in the correct order:
Governor’s declaration request
Presidential Declaration
Incident
Preliminary Damage Assessment (PDA)
FEMA’s recommendation to the President
3. What assistance is available for non-declared
incidents?
4. What are FEMA’s pre-declaration
responsibilities to an incident?
5. What are FEMA’s post-declaration
responsibilities at an incident?
6. What are three types of Incidents of National
Significance that may qualify for a Presidential
Disaster Declaration?
Disaster Basics
3-1
Unit 3
Government Response to an Incident
Check Your Knowledge
Answers
1.
Local/Tribal
•
•
•
State/Tribal
•
•
•
•
Federal
•
•
•
•
•
Disaster Basics
Serves as first line of defense in
emergencies.
Warns and advises citizens.
Provides immediate aid.
Reviews and analyzes situation reports
from local agencies.
Deploys appropriate State resources and
personnel.
(Governor) considers appropriate
economic and legal controls.
(Governor) requests Presidential
Declaration.
Oversees incident management and
coordination.
Manages the Disaster Relief Fund (DRF).
Implements the disaster assistance
programs.
Manages and tracks resources.
Issues mission assignments.
3-2
Unit 3
Disaster Basics
Government Response to an Incident
2.
Incident
Preliminary Damage Assessment
Governor’s declaration request
FEMA’s recommendation
Presidential Declaration
3.
Search and rescue, flood protection, firefighting,
human health, conservation, agricultural loans, home or
business owner’s loans, tax refunds, voluntary agency
assistance.
4.
Damage assessment
Rapid Needs Assessment (RNA)
Advise President
Deploy Federal resources
Contingency planning
Coordinate other Federal and volunteer agencies
5.
Assist States in requesting additional types of
assistance
Evaluate assistance requests
Implement disaster assistance programs
Coordinate other Federal and volunteer agencies
6.
Emergency
Major disaster
Catastrophic incident
3-3
Unit 3
Government Response to an Incident
Government
Response to an Incident
Overview
This section describes how local, Tribal, State, and Federal governments respond to an
incident or a disaster declaration. The topics are:
•
Emergency management at the local, Tribal, State, and Federal levels
•
The disaster declaration process
•
FEMA’s role in managing disasters
At the end of this unit, you will be able to:
• Give three examples of types of incidents that would qualify for a Presidential
Declaration.
• List two examples of local government responsibilities in response to an
incident.
• List two examples of State or Tribal government responsibilities in response to
an incident.
• List two examples of Federal government responsibilities in response to an
incident.
• List three examples of assistance available for non-declared incidents.
Disaster Basics
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Unit 3
Government Response to an Incident
The Disaster Response
When a disaster or emergency occurs, local, Tribal, State, and Federal governments, as
well as voluntary agencies, respond immediately. This collective response follows a
step-by-step process that has been developed and revised through legislation and
through lessons learned in previous disasters. Initially, local, Tribal, and State
governments activate their Emergency Operation Plans (EOPs) and Emergency
Operations Centers (EOCs). Local governments are the first line of defense and are
primarily responsible for managing the response to emergencies and disasters.
Local Response and Recovery Activities
At the local level of government, the primary responsibility for the protection of citizens
belongs to local elected officials such as mayors, city councils, and boards of
commissioners. When a local government receives a warning that an emergency could
be imminent, its first priority is to warn citizens and take whatever actions are needed
to minimize damage and protect life and property. If necessary, an evacuation may be
ordered.
When an event or incident occurs, fire, police, medical, and
rescue personnel rush to emergency sites to provide aid
immediately following the emergency. The local government
works to ensure public order and security. Vital services (e.g.,
water, power, communications, transportation, shelter, and
medical care) are provided, and debris removal begins. Public
and private utility company crews, along with other emergency
teams, begin restoring essential services. In addition, the local
government coordinates efforts with local voluntary agencies
that assist individuals and families in need. When a local government responds to an
emergency, the level of the response and the types of resources required are
determined by several factors including the:
•
Onset speed of the emergency
•
Potential need for evacuation
•
Magnitude of the situation
•
Projected duration of the event
•
Extent of the threat to the citizens
Disaster Basics
3-5
Unit 3
Government Response to an Incident
In an emergency, the local government is responsible for responding to the event in a
way that will contain the emergency, protect people and property, and minimize
damage. The local government is also responsible for overall management and
coordination of an effective response.
State Response and Recovery Efforts
All States have laws that describe the responsibilities and authorities of the State
government in emergencies and disasters. These laws provide Governors and State
agencies with the authority to plan for and carry out the necessary actions to respond
to and recover from emergencies. State emergency management legislation describes
the duties and powers of the Governor. Gubernatorial authority includes the power to
declare a State of Emergency and to decide when to terminate this declaration.
State Emergency Management Agencies
Many of the responsibilities to perform and maintain the provisions of emergency
management legislation are generally delegated to the State emergency management
agencies. The names and organizational structures of these offices vary from State to
State. Emergency managers are responsible for advance preparation. They coordinate
the activation and use of State resources which are needed to help local and Tribal
governments respond to and recover from emergencies and disasters.
Role of the State Emergency Management Agency
In its coordinating role, the State emergency management agency is involved in
virtually all major emergencies or disasters. This organization is responsible for
receiving the situation reports from local agencies. Based on these reports and other
information, emergency management officials work in consultation with other agency
representatives and members of the Governor’s staff to determine what types of
resources and personnel should be deployed to the affected areas. Using procedures
specified in the State EOP, the State emergency management organization coordinates
deployment of State personnel and resources to the affected areas.
Disaster Basics
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Unit 3
Government Response to an Incident
State Resources
When a State emergency is declared, the Governor (or emergency management agency
official acting for the Governor) can mobilize the resources of State agencies to provide
any necessary assistance. Communities can then use State resources to supplement
their own supplies, equipment, and personnel. For example, in a situation in which
large populated areas are threatened by the continued rise of flood waters, the State
could assist in evacuation of the threatened area by prescribing evacuation routes and
helping to control points of entry and departure from the disaster area.
In many States, Governors can suspend State laws or local ordinances if it is
determined that the law in question will restrict or prohibit efforts to relieve human
suffering caused by the disaster. In some States, after a State emergency declaration,
the Governor may establish economic controls over such resources and services as
food, wages, clothing, and shelter in the affected area.
Under a State emergency declaration, Governors are empowered to mobilize the
National Guard and direct its efforts. Generally, Governors are granted the power to
use all available State resources needed to respond effectively and efficiently to the
event. The Governor is able to draw upon the resources, expertise, and knowledge of
State agencies as needed to assist in the effort. In many disasters, the States can
provide technical assistance and resources that would not be available to most local
officials within their own communities.
Links to most State emergency management agencies can be found at the following
site: http://www.fema.gov/gems. Scroll to: State Emergency Management
Agencies (U.S.A.).
A State may determine its resources are overwhelmed and request Federal assistance.
Disaster Basics
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Unit 3
Government Response to an Incident
Federal Response
The Stafford Act, the NRP, and the Homeland Security Acts all give FEMA the authority
to exercise certain responsibilities before and after a disaster strikes. These include:
•
Deployment of Federal resources in anticipation of or response to an incident
o Staff the Emergency Response Team (ERT)
o Deliver supplies to disaster victims
o Provide staff and expertise to disaster operations
•
Coordination of incident communication, worker health, and safety
•
Coordination of Federal operations
•
Development of contingency plans and procedures
•
Training
Federal Disaster Assistance: Non-Stafford Act
Under the Stafford Act, assistance for major disasters and emergencies is available only
upon a declaration by the President. However, even when the President does not issue
a major disaster or an emergency declaration, there may be certain types of assistance
available through various Federal agencies including the Corps of Engineers, the
Department of Agriculture, and the Small Business Administration (SBA). Without a
Presidential Declaration, disaster assistance from other agencies may include any of the
following:
•
Urban search and rescue
•
Flood protection
•
Fire suppression assistance
•
Health and welfare
•
Emergency conservation programs
•
Emergency loans for agriculture
Disaster Basics
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Unit 3
Government Response to an Incident
•
Disaster loans for home or business owners
•
Tax refund assistance
•
Voluntary agency assistance
The Declaration Process
In order to obtain a Presidential Declaration, a specific process must be followed. This
process was established by the Stafford Act. It includes four steps:
Step 1. A joint FEMA/State Preliminary
Damage Assessment
Step 2. The Governor’s request for
assistance
Step 3. FEMA’s recommendation to the
President
Step 4. The Presidential Declaration
Step 1.
A joint FEMA/State Preliminary Damage Assessment. FEMA and State
representatives complete a PDA. This step involves an inspection of the area
to document the impact of the event and to make an initial estimate of the
dollar amount of the damage. This assessment establishes a foundation for
any request for assistance the Governor may decide to make and provides
estimates on the types of disaster assistance needed. The assessment also
provides background for FEMA’s analysis of the request and supplies
information that will be helpful to those who will manage the recovery
operation.
Step 2.
The Governor’s request for assistance. This request, by law, must state
that the Governor has taken appropriate action and directed execution of the
State EOP. The Governor must certify that the incident is of such severity
and magnitude that State and local resources are inadequate. It must also
include a damage estimate, describe the State and local resources committed
to response and recovery, describe the assistance being requested, and
agree to cost- share.
Disaster Basics
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Unit 3
Government Response to an Incident
Step 3.
FEMA’s recommendation to the President regarding the request.
The Governor’s request is addressed to the President through the FEMA
Regional Director. The Regional Office transmits the request to FEMA
Headquarters along with an analysis and recommendation. FEMA
Headquarters reviews the request to ensure it meets all the requirements of
the Stafford Act. FEMA’s Director then recommends a course of action to the
President, and the request is hand-carried to the White House.
Step 4.
The Presidential Declaration. After a White House review, the President
decides whether or not to declare that a major disaster exists. In the event
the declaration is issued, assistance is made available under the Stafford Act.
The FEMA Director designates an FCO to oversee the disaster operations.
Under normal circumstances, this process may take several days. In cases where an
immediate Federal response is needed to save lives or protect public health and safety,
an expedited disaster request may start the process within hours.
FEMA’s Role in Managing Disasters
Once the President declares a Federal emergency or disaster, FEMA assumes several
roles in the disaster recovery process, which include the following:
•
Helping State governments request additional types of disaster assistance or
adding counties to the declaration.
•
Evaluating requests for additional assistance.
•
Making recommendations to the Executive Associate Director.
•
Implementing disaster assistance programs.
•
Coordinating the delivery of assistance from other Federal and voluntary
agencies under the NRP.
•
Continuing to manage the President’s DRF.
Disaster Basics
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Unit 3
Government Response to an Incident
Types of Incidents
The Stafford Act defines the kinds of incidents covered by a Presidential Declaration. It
identifies two categories of eligible events:
1. Emergency. Emergencies involve any event for which the President determines
there is a need to supplement State and local efforts in order to save lives, protect
property and public health, and ensure safety. A variety of incidents may qualify as
emergencies. The Federal assistance available for emergencies is more limited than
that available for a major disaster.
An emergency is defined as, “Any occasion or instance for which, in the determination
of the President, Federal assistance is needed to supplement State and local efforts and
capabilities to save lives and to protect property and public health and safety, or lessen
or avert the threat of a catastrophe in any part of the United States.”
A Presidential Declaration of an emergency provides assistance that:
•
Is beyond State and local capabilities
•
Serves as supplementary emergency assistance
•
Does not exceed $5 million of Federal assistance
The Governor must request a Presidential Declaration for an emergency within 5 days
of the incident.
2. Major Disaster. Major disasters may be caused by such natural events as floods,
hurricanes, and earthquakes. Disasters may include fires, floods, or explosions that the
President feels are of sufficient magnitude to warrant Federal assistance. Although the
types of incidents that may qualify as a major disaster are limited, the Federal
assistance available is broader than for emergencies.
A major disaster is defined as, “Any natural catastrophe …
or, regardless of cause, any fire, flood, or explosion, in any
part of the United States, which in the determination of the
President causes damage of sufficient severity and
magnitude to warrant major disaster assistance under this
chapter to supplement the efforts and available resources of
States, local governments, and disaster relief organizations in
alleviating the damage, loss, hardship, or suffering caused
thereby.”
Disaster Basics
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Unit 3
Government Response to an Incident
A Presidential Disaster Declaration provides assistance that:
•
Is beyond State and local capabilities
•
Supplements available resources of State and local governments, disaster
relief organizations, and insurance
The Governor must request a Presidential Declaration for a major disaster within 30
days of the incident.
After the President declares a major disaster, the FEMA
State Agreement is signed by the FEMA Regional
Director and the Governor. This agreement establishes
the period of the incident, identifies the types of
assistance to be provided, lists the areas eligible for
assistance, sets forth the agreed-upon cost-share
provisions, and describes other terms and conditions.
The NRP defines emergencies and disasters as, “Incidents of National Significance”
along with catastrophic incidents. Catastrophic events are also eligible for the same
Federal disaster assistance and are defined as, “any natural or manmade incident,
including terrorism, which results in extraordinary levels of mass casualties, damage, or
disruption severely affecting the population, infrastructure, environment, economy,
national morale, and/or government functions.”
Disaster Basics
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Unit 3
Government Response to an Incident
Anatomy of a Disaster Declaration
The following table provides basic information about the disaster declaration process
and initial Federal response activities. In catastrophic situations or incidents of national
significance, the process can be expedited.
Incident Occurs
The incident causes widespread destruction or losses that
may trigger a disaster declaration. The event may be a
flood, fire, hurricane, or other event as specified in disaster
assistance legislation.
While the event may be considered a disaster in a given area,
as far as FEMA or other Federal agencies are concerned, no
Federal recovery programs may be implemented until the
President signs a Disaster Declaration. Not all incidents
result in Presidential Declarations. According to the Stafford
Act, response to the incident must be beyond the combined
capability of local and State governments to qualify for a
Declaration.
Initial Federal
Response
The Regional Response Coordination Center (RRCC) is
activated. Staff is deployed to the RRCC either at the
Regional Office or Federal Regional Center (FRC) to provide
technical assistance and coordinate with the State.
The RRCC may be staffed before an incident occurs, e.g., a
hurricane.
The National Response Coordination Center (NRCC) is
activated at FEMA Headquarters. It coordinates the
deployment of the ERT-A to field locations, assesses damage
information, develops situation reports, and issues initial
mission assignments. The NRCC supports RRCC efforts to set
up response operations in the field by deploying national
assets when needed.
The National Emergency Response Team (ERT-N) can
be deployed from FEMA Headquarters by the Director of
FEMA in catastrophic situations, providing staff to direct the
response in support of State and FEMA regional resources.
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Unit 3
Preliminary
Damage
Assessments
Government Response to an Incident
The State asks FEMA, through the Regional Office, to
participate in a PDA. The PDA identifies the potential need
for IA, PA, or HM. Teams consisting of representatives from
FEMA, the State, local governments, and other Federal or
State agencies (as appropriate) review the impact on
individuals and public facilities.
PDA findings are used as the basis for the Governor’s request
and also are used by FEMA in developing two key
documents: the Regional Disaster Summary and the
Regional Analysis and Recommendation. These documents
are prepared after a request for a disaster declaration is
received from the Governor and completion of the PDA.
In catastrophic or severe situations, the Governor’s request
may be submitted to FEMA prior to the PDA; thereby a
declaration may be expedited.
Governor’s
Request
The Governor will request a major disaster declaration based
on a determination by the State that the response is beyond
the financial or operational capabilities of both the local and
the State governments. The request is submitted through
FEMA to the President.
Once a request is received, it is considered “in process”
until a determination is made by the President. This process
can take a matter of hours in a catastrophic situation or
several days, depending on the situation.
Regional
Summary/
Regional Analysis
and
Recommendation
Disaster Basics
These documents outline the scope of the losses and make
recommendations as to the needs of the disaster-affected
area. The FEMA Director reviews these documents and
forwards a recommendation to the President.
3-14
Unit 3
Presidential
Disaster
Declaration
Government Response to an Incident
If the situation is of significant severity and magnitude to
warrant a major disaster or an emergency declaration, the
President signs the declaration. If, after careful review by FEMA
and the White House, the situation does not meet the standards
established by the Stafford Act, a request may be denied. A
letter explaining the denial is sent to the Governor by the
Director of FEMA. States have the right to appeal.
When a disaster is declared by the President, the scope of the
assistance programs is delineated and the affected counties are
designated. The FEMA Director appoints an FCO to manage the
Federal response and recovery activities.
Joint Field
Office
Established
The JFO is established within 48 hours of the declaration to
provide a base of operations for Federal and State agencies
involved in the response and recovery activities.
FEMA/State
Agreement
The FEMA/State Agreement details the terms under which
Federal aid is granted, including any cost-sharing provisions.
This document is signed by the Governor and the FEMA Regional
Director. The FCO may amend this agreement. Examples of
amendments include the addition of other counties to the
declaration or establishment of an end date for the incident
period if one was not determined at the onset of the disaster.
Federal/State
Meeting
This meeting involves representatives from all Federal, State,
and voluntary agencies offering programs for people and
communities affected by the disaster. The programs are
explained to the State during this meeting.
Summary
All levels of government have specific procedures, authorities, and resources for
emergency and disaster response. Local government has the primary responsibility for
incident management. If these resources are overwhelmed, State and ultimately the
Federal government may add to the response and recovery efforts. The Stafford Act
outlines most of the statutes and procedures for Federal assistance including types of
incidents and the Presidential Declaration process. A Presidential Declaration identifies
the scope of Federal assistance that can be provided.
Disaster Basics
3-15
Unit 4
Response Operations
Unit 4
Response Operations
Check Your Knowledge
1. What is the relationship among NIMS, the
NRP, and ICS?
2. ESFs are organized based on __________.
3. Unity of Command, span of control, common
terminology, standardized operating
structure, and ability to expand and
contract are features of ______.
4. Fill in the following typical ERT chart with
the correct personnel titles:
FCO
____
____
____
___
5. What are the four emergency teams that
each FEMA region must maintain?
Disaster Basics
4-1
Unit 4
Response Operations
Check Your Knowledge
Answers
1. NIMS establishes consistent standards, protocols, and
procedures so that all responders can work together
effectively. The NRP is the plan for implementing the
procedures and policies set forth in NIMS. The ICS is
the structure used to manage actual incidents and
achieve specific objectives.
2. Function.
3. ICS.
4.
Operations
Section
Chief
FCO
Planning
Section
Chief
Safety Officer
Liaison Officer
Information Officer
Logistics
Section
Chief
Finance/Admin.
Section
Chief
5. ERT-A, ERT, RNA, RST.
Disaster Basics
4-2
Unit 4
Response Operations
Response Operations
Overview
The focus of response operations is to save lives, protect property, and meet basic
human needs. This requires the cooperation and collaboration of local, State, and
Federal agencies to achieve maximum results. Local governments are charged with
conducting immediate response activities. The State assesses needs and commits
additional resources, and FEMA manages and coordinates disaster assistance from a
variety of Federal departments and agencies. At each level, consistency and continuity
of service are established by the National Incident Management System (NIMS),
the National Response Plan (NRP), and the Incident Command System (ICS).
This unit will focus on the purpose and application of these three sources of guidance.
In addition, the role of the Emergency Support Functions (ESFs) and emergency teams
will be discussed.
At the conclusion of the unit, you will be able to:
•
Describe the purpose of response operations.
•
Describe NIMS.
•
Describe the NRP.
•
Describe ICS, and list three key features.
•
Explain the relationship among NIMS, the NRP, and ICS.
•
Describe the purpose of the ESFs.
•
Create an organizational chart for a natural disaster at a typical JFO.
•
List five emergency response teams, and describe their functions.
Disaster Basics
4-3
Unit 4
Response Operations
Common Direction and Unifying Guidance
Multiple agencies and levels of government work together in response operations. It is
essential that they share a common focus, work compatibly, and seek mutual
outcomes. Three sources of guidance exist to help provide this type of unified
approach:
The National Incident Management System (NIMS)
The National Response Plan (NRP)
The Incident Command System (ICS)
NIMS was created to provide a comprehensive, national approach to incident
management. It is applicable to all jurisdictional levels across functional disciplines. It
establishes standard incident management processes, procedures, and protocols so all
responders can work together with maximum effectiveness. The components included
in NIMS are:
•
Command and Management
•
Preparedness
•
Resource Management
•
Communications and Information Management
•
Supporting Technologies
•
Ongoing Management and Maintenance
The NRP is a comprehensive plan that aligns a multitude of Federal incident
management and emergency response plans into an effective and efficient structure.
The NRP brings together coordination structures, capabilities, and resources. It is a
unified, all-hazards approach to domestic incident management. The NRP serves as the
blueprint for how multiple agencies work together to respond to an incident.
Disaster Basics
4-4
Unit 4
Response Operations
Features of the NRP
Application
Has wide applicability across a spectrum of activities
including prevention, preparedness, response, and
recovery.
Scope
Covers a full range of complex, changing requirements.
Addresses site-specific activities as well as
regional/national issues related to an incident.
Maintenance
Involves periodic updating to incorporate new
Presidential directives, legislative changes, and
procedural changes based on lessons learned from
exercises and actual events.
Support Functions
Identifies Emergency Support Functions (ESFs) and
assigns them to specific agencies.
The NRP provides the overarching, coordinating structures, processes, and protocols to
be followed in responding to an Incident of National Significance.
Role of Emergency Support Functions
To facilitate the provision of Federal assistance, the NRP uses a functional approach to
group the types of Federal assistance that a State is most likely to need under the 15
Emergency Support Functions (ESFs). Each ESF is headed by a primary agency that
has been selected based on its authorities, resources, and capabilities in the particular
functional area. Other agencies have been designated as support agencies for one or
more ESFs based on their resources and capabilities to support the functional area.
Disaster Basics
4-5
Unit 4
Response Operations
The ESFs and their coordinating agencies are as follows:
Title
Coordinating Agency
• ESF-1:
Transportation
DOT
• ESF-2:
Communications
DHS/IAIP/NCS
• ESF-3:
Public Works and Engineering
DOD/USACE
• ESF-4:
Fire Fighting
USDA/FS
• ESF-5:
Emergency Management
DHS/FEMA
• ESF-6:
Mass Care, Housing, and Human
Services
DHS/FEMA
• ESF-7:
Resource Support
GSA
• ESF-8:
Public Health and Medical Services
HHS
• ESF-9:
Urban Search and Rescue
DHS/FEMA
• ESF-10:
Oil and Hazardous Materials
Response
EPA
• ESF-11:
Agriculture and Natural Resources
USDA
• ESF-12:
Energy
DOE
• ESF-13:
Public Safety and Security
DHS/DOJ
• ESF-14:
Long-Term Community Recovery
and Mitigation
DHS/FEMA
• ESF-15:
External Affairs
DHS
Depending on the situation, a response may require no ESF presence, some ESF
involvement, or activation of most or all ESFs. When ESFs are activated, their
representatives work on emergency teams to provide needed support and services.
Most ESFs are incorporated into the Operations Section at the JFO.
Disaster Basics
4-6
Unit 4
Response Operations
Emergency Teams
The NRP identifies several emergency teams that are established to respond to an
incident. Some teams are identified before an incident takes place. Other teams are
developed after the incident and are formed to meet the specific needs of that incident.
The table below describes the purpose and the responsibilities of each team.
Title
ERT-A
Emergency
Response
Team
Advanced
FIRST
Federal
Incident
Response
Team
ERT-N
Emergency
Response
Team
National
Disaster Basics
Purpose
Description
To work with the
State to obtain
information on the
impact of the event
and to identify
specific State needs
for Federal
assistance.
Deployed by the RRCC to State operating facilities.
Can include RNA personnel and appropriate ESF
representatives. Makes preliminary arrangements
to set up Federal field facilities. May establish an
Interim Operations Facility (IOF) as a facility until
the JFO is established. Team members are preidentified to facilitate rapid response. Headed by
team leader from FEMA. Consists of program and
support staff and representatives from selected
ESF primary agencies.
To support the
Federal response
on-site at the event
within 12 hours of
notification.
A forward component of the ERT-A, deployed by
FEMA. Provides technical assistance in assessing
the situation, identifying critical and unmet needs,
making protective action recommendations, and
identifying potential targets for Federal assistance.
Oversees on-site Federal assistance which could
include critical life-saving and life-sustaining items.
Becomes part of the Operations Section when the
ERT is established.
To coordinate
damage assessment,
Mission Assignments
for direct Federal
assistance, and
selection of locations
for field facilities
with the State.
Deployed by the Secretary of Homeland Security
for large-scale, high-impact incidents. Consists of
pre-assigned staff from FEMA HQ, regional offices,
and other Federal agencies. Three ERT-N teams
are structured, with each team on call every third
month. Fourth team on call year-round to
manage incidents in the National Capital Region.
Works with the RRCC and NRCC to ensure smooth
integration of national and regional assets.
4-7
Unit 4
Title
ERT
Emergency
Response
Team
DEST
Domestic
Emergency
Support
Team
RST
Regional
Support
Team
Other
Federal
Teams
Response Operations
Purpose
Description
To staff the JFO and
achieve the incident
objectives.
Principal interagency group deployed to the JFO
by FEMA. Composed of FEMA staff and ESF
personnel. Ensures Federal resources are
available to meet Federal incident management
and State requirements. Size and composition of
the ERT is flexible and scalable depending on
scope and magnitude of the incident. Headed by
the FCO.
To provide technical
support for
management of
potential or actual
terrorist incidents.
Deployed by the Attorney General in consultation
with the Secretary of the Department of
Homeland Security. Serves as a stand-alone
advisory team at the JFO or incident location.
To staff the RRCC,
monitor incidents
within the home
region, and
coordinate with the
affected States.
Deployed by the Region. Coordinates early
response operations with a State. Usually the first
Federal emergency team activated to deal with an
incident. Supports deployment of the ERT-A.
Receives assessment information and provides
operational response to requests from the ERT-A.
To support incident
management and
disaster response
and recovery
operations.
Depending on the needs of a specific incident, a
variety of additional Federal teams may be used.
Examples include:
•
Veterinary Medical Assistance Teams
(VMATs)
•
Disaster Mortuary Operational Response
Teams (DMORTs)
•
Disaster Medical Assistance Teams (DMATs)
Emergency teams perform a variety of essential functions. Some are tailored to meet
specific needs identified in the assessment phase of disaster response. Other teams are
pre-identified to ensure prompt response. Each region maintains an ERT-A, an RST,
RNA personnel, and cadres of personnel to staff the ERT.
Disaster Basics
4-8
Unit 4
Response Operations
Incident Facilities
The NRP describes the primary facilities that emergency teams may utilize to position
resources and to achieve incident objectives during response operations.
The following table shows the location and function of each facility:
Facility Name
Function
NRCC
National Response
Coordination Center
Multi-agency center located at FEMA Headquarters. Multiagency center that provides overall Federal response
coordination of Incidents of National Significance.
Operates on a 24/7 basis and monitors
potential/developing incidents. Supports response efforts
of regional and field components. Resolves Federal
assistance conflicts and implementation issues forwarded
by the JFO.
RRCC
Regional Response
Coordination Center
Regional center that serves as the Federal government’s
immediate emergency operations center in an affected
region. Operates during initial period following an incident.
This facility is also operational for pre-incident events such
as a hurricane.
IOF
Interim Operating Facility
Temporary field facility used by a FEMA-led ERT in the
early stages of an incident prior to establishing the JFO.
Generally located near the State EOC or the incident site.
Site of interaction with State representatives and key ESF
agencies, collection and assessment of information, and
initiation of assistance programs.
JFO
Joint Field Office
Multi-agency coordination center established near the
incident site. Provides central location for coordination of
Federal, State, local, Tribal, nongovernmental, and privatesector organizations. Enables the effective and efficient
coordination of Federal prevention, preparedness,
response, and recovery activities.
DRC
Disaster Recovery Center
Satellite component of the JFO. Central facility, separate
from the JFO, where individuals can obtain information on
disaster assistance programs available from various
agencies.
Disaster Basics
4-9
Unit 4
Response Operations
Other types of facilities may also be utilized in disaster response activities. These
include:
•
Mobilization centers
•
Territorial logistics centers
•
Staging areas
•
Bases
•
Camps
A Mobilization Center is a facility established by the emergency team Logistics staff
to receive and dispatch response personnel and resources.
•
Federal resources may be pre-positioned at a Mobilization Center until they are
requested by the State.
•
Mobilization Centers are established by FEMA, with assistance from the
Government Services Administration (GSA) and the United States Forest Service
(USFS), as needed.
•
An Incident Management Team (IMT) is a USFS managed unit with primary
responsibility, when tasked by FEMA, for setting up and operating Mobilization
Centers.
Disaster Basics
4-10
Unit 4
Response Operations
Territorial Logistics Centers are locations where commodities, supplies, and
equipment are warehoused for shipment to emergency or disaster sites when needed.
Disaster Information
Systems Clearinghouse:
Berryville, VA
West
Territory
Logistics
Center-West:
Moffett Field, CA
Central
East
Agency Logistics
Center:
Berryville, VA
Territory Logistics
Center-East:
Ft. Gillem, GA
Territory Logistics
Center-Central:
Ft. Worth, TX
The type and scope of a particular incident determine the type and number of support
facilities that will be put into place.
Disaster Basics
4-11
Unit 4
Response Operations
The Incident Command System
The third source of guidance which helps ensure the consistency and continuity of
disaster assistance recovery programs is the Incident Command System (ICS). This
system, along with NIMS and the NRP, provides structure and uniformity for response
operations. It is the management system that is used to identify the objectives for a
specific incident and oversee the resources needed to achieve those objectives. The
ICS structure can be applied to all incidents. It can be expanded or contracted to meet
the demands of a particular incident.
The typical ICS organization chart at a JFO is shown below:
Disaster Basics
4-12
Unit 4
Response Operations
The following is a list of key features of ICS:
•
Applies across all emergency management disciplines.
•
Applies to a broad range of incidents from small to complex.
•
Uses a management by objectives approach.
•
Utilizes an Incident Action Plan (IAP).
•
Is organized by function.
•
Standardizes operating structures.
•
Allows for organizational flexibility.
•
Establishes common terminology.
ICS establishes accountability at all levels of the management structure. This is done
by limiting supervisory responsibility for managers. The span of control is one
supervisor for a maximum of seven staff members. If incident needs require additional
personnel, a section, branch, or unit may be further divided into components with
additional supervisory staff. Also, ICS uses unity of command which means that every
individual has a designated supervisor. These principles clarify reporting relationships
and eliminate confusion. ICS includes Command Staff and General Staff components.
Command and General staff members work together to identify, plan for, and achieve
the incident objectives.
Summary
Effective response operations require the smooth integration of Federal, State, Tribal,
and local resources. NIMS, the NRP, and the ICS have been designed for that express
purpose. They provide a consistent and cohesive set of procedures, processes, and
plans that guide numerous agencies in disaster response operations. They offer clear
guidelines with regard to facilities, emergency teams, response functions, and incident
management structure.
Disaster Basics
4-13
Unit 5
Command Staff
Unit 5
Command Staff
Check Your Knowledge
1. What are the positions in a typical JFO
Command Staff?
2. What is the difference between Command and
General Staff?
3. Who is responsible for disseminating
information to the public?
4. Who is responsible for coordinating with
representatives from cooperating agencies?
5. Who is responsible for ensuring employee
safety at a JFO?
Disaster Basics
5-1
Unit 5
Command Staff
Check Your Knowledge
Answers
1. Incident Commander, Public Information Officer,
Liaison Officer, Safety Officer.
2. The Command Staff is responsible for overall incident
management. The General Staff carries out activities
and assignments needed to meet incident objectives.
3. Public Information Officer.
4. Liaison Officer.
5. Safety Officer.
Disaster Basics
5-2
Unit 5
Command Staff
Overview
This unit describes the function of the Command Staff during emergency management
operations. Incident Command is organized into four main areas of responsibility:
•
Incident Command
•
Safety
•
Public Information
•
Liaison
At the end of this unit, you will be able to:
•
Identify at least three positions in a typical JFO Command Staff.
•
Explain the difference between Command and General Staff.
•
Describe the main responsibilities of the Safety Officer.
•
Describe the main responsibilities of the Liaison Officer.
•
Describe the main responsibilities of the Public Information Officer.
Disaster Basics
5-3
Unit 5
Command Staff
Incident Command
The Command Staff’s primary responsibility is that of overall incident management.
This begins with the Incident Commander. After a declaration, the President appoints
an FCO to oversee Federal response and recovery activities.
The FCO’s initial responsibilities include:
•
Assessing the situation or reviewing current briefings.
•
Establishing the organization.
•
Establishing immediate priorities.
•
Ensuring adequate safety measures.
•
Authorizing release of information to the media.
•
Building partnerships with key officials and agencies.
The FCO sets the incident objectives and develops strategies to meet those objectives.
In doing this, the FCO works closely with the four General Staff Section Chiefs.
The Command Staff can be expanded to assist the FCO with three important
functions—ensuring safety, disseminating public information, and maintaining
relationships with cooperating agencies.
On Incidents of National Significance, a Principal Federal Official (PFO) will be
designated by the President to oversee the management of Federal response actions.
Disaster Basics
5-4
Unit 5
Command Staff
Safety Officer
The Safety Officer is responsible for and assigned to develop measures for employee
safety. In a disaster recovery environment, the Safety Officer assesses and ensures
safety conditions for employees at the JFO and for those who may be working in the
field.
Public Information Officer
The DHS External Affairs Emergency Support Function (ESF 15) is made up of several
cadres:
•
Public Affairs
•
Community Relations
•
Congressional Affairs
•
International Affairs
•
State and Local Coordination
•
Tribal Affairs
On the ERT, the Public Information Officer (PIO) is responsible
for developing and releasing information about the incident to the
media. He or she oversees the Federal Joint Information Center
(JIC), which is the focal point for the coordination and
dissemination of information to the public and media concerning
incident prevention, preparedness, response, recovery, and
mitigation. One of the main responsibilities of ESF 15 in a disaster is
to alert, warn, and instruct the public.
Disaster Basics
5-5
Unit 5
Command Staff
Liaison Officer
As smaller governments’ resources are overwhelmed, more and more agencies become
involved with incident response and recovery. The Liaison Officer is the point of
contact for any cooperating and assisting agency representatives who are not part of
the JFO structure. The Liaison Officer also gathers information from these agencies
about the status and limitations of the resources they can contribute to recovery efforts.
Summary
During the incident period, it is the primary responsibility of the Incident Commander to
manage emergency response, recovery, and coordination. Examples of Incident
Commanders could include Fire Chiefs, Law Enforcement personnel, or Public Health
Officials. If the incident is severe enough to warrant a Presidential Declaration, then it
is the FCO or PFO who sets the incident objectives and the overall strategy for
emergency management actions. The FCO may activate functions of the Command
Staff for support in the special areas of safety, public information, and liaison services.
Disaster Basics
5-6
Unit 6
General Staff—
Operations Section
Unit 6
General Staff—Operations Section
Check Your Knowledge
1. What are the functions of the four
branches of the Operations Section?
2. Name three types of disaster
assistance managed by the Operations
Section.
3. What is a mission assignment?
4. List the four requirements for Public
Assistance eligibility.
5. What is the difference between 404
and 406 Mitigation programs?
6. Give three examples of assistance
programs offered through Individual
Assistance.
Disaster Basics
6-1
Unit 6
General Staff—Operations Section
Check Your Knowledge
Answers
1. Human Services Branch
• Provides for short- and long-term disaster
housing.
• Coordinates non-medical mass care services.
• Initiates delivery of Individual Assistance
programs authorized by the Stafford Act.
• Assures provision of victim-related recovery
efforts such as counseling.
Infrastructure Support Branch
• Debris clearance and disposal operations.
• Initiates delivery of Public Assistance programs
authorized by the Stafford Act.
Emergency Services Branch
• Detects and suppresses fires on Federal, State,
Tribal, and local lands.
• Urban search and rescue.
• Hazardous materials response.
Mitigation Branch
• Supports efforts to eliminate or reduce degree
of long-term risk to human life and property.
2. Individual Assistance, Public Assistance,
Hazard Mitigation.
3. A work order issued by FEMA to a Federal
agency for the completion of a task to meet an
urgent, immediate need of the State.
4. Cost, Work, Applicant, Facility.
Disaster Basics
6-2
Unit 6
General Staff—Operations Section
5. 404
406
Mitigation funds projects that are part
of a long-range comprehensive mitigation
plan.
Mitigation funds repairs of eligible, damaged
facilities and infrastructure.
6. Individuals and Households Program
• Permanent Housing Construction Assistance
• Replacement Assistance
• Repair Assistance
• SBA loans
• Business Physical Loss Disaster Loans
• Economic Injury Disaster Loans
• Aging Services
• Agricultural Assistance
• Consumer Services
• Disaster Unemployment Assistance
• Disaster Legal Services
• Cora Brown Fund
Other Needs Assistance
Disaster Basics
6-3
Unit 6
General Staff—Operations Section
General Staff—
Operations Section
FCO
General
Staff
Operations
Section
Planning
Section
Logistics
Section
Finance/
Administration
Section
Overview
The General Staff component of the Incident Command System is divided into four
main sections: Operations, Planning, Logistics, and Finance/Administration. This unit
will look at the Operations Section, the programs it manages, and its basic structure.
The purpose of the Operations Section is to direct the delivery of Federal assistance
along with several recovery program groups. Mission Assignment is used to complete
specific tasks which support the incident objectives.
Disaster Basics
6-4
Unit 6
General Staff—Operations Section
At the completion of this unit, you will be able to:
•
Explain the main responsibilities of each branch in the Operations Section.
•
Name and differentiate the three major types of disaster assistance
managed by the Operations Section.
•
Define and explain the purpose of Mission Assignment.
•
List the four building blocks of Public Assistance eligibility.
•
Differentiate between the 404 and 406 Mitigation programs.
•
List three disaster assistance programs available through the Human
Services Branch.
Disaster Basics
6-5
Unit 6
General Staff—Operations Section
The Four Branches of the Operations Section
The Operations Section consists of four branches:
•
Human Services Branch
•
Infrastructure Support Branch
•
Emergency Services Branch
•
Community Recovery and Hazard Mitigation Branch
The branches represent groups of related ESFs and program functions. Working
together, they provide a coordinated approach to the delivery of disaster assistance to
victims and affected States.
Human Services Branch
When the President declares a major disaster, a wide range of assistance becomes
available to individual disaster victims. Individual Assistance (IA) programs meet a
variety of individual needs, depending on the disaster.
The Human Services mission is to:
•
Ensure that applicants for disaster assistance have
timely access to IA programs.
•
Provide quality customer service.
•
Develop partnerships with States, voluntary
agencies, private sector, and other Federal
agencies.
This branch also includes representatives from ESFs 6 and 11.
Disaster Basics
6-6
Unit 6
General Staff—Operations Section
Delivery Sequence
The Robert T. Stafford Disaster Relief and Emergency Assistance Act PL 93-288 as
amended specifies the order in which assistance should be provided.
The delivery sequence is:
•
Emergency assistance provided by
voluntary agencies
•
Insurance
•
Disaster Housing assistance
•
SBA loans
•
Other Needs Assistance (ONA)
•
Additional assistance
•
The Cora Brown Fund
Delivery Sequence
Safety Nets:
Emergency Assistance
Insurance
DH
SBA
ONA
Additional Assistance
Cora Brown Fund
Emergency Assistance
Emergency needs include shelter, food, clothing, and first aid. Local agencies such as
the fire department, emergency medical services, American Red Cross, and other
voluntary agencies provide emergency assistance during immediate response.
Insurance
Applicants pursue assistance through their private insurance carriers. If the insurance
settlement is delayed, insurance is insufficient, or claims are denied, applicants may
receive Disaster Housing assistance, but must guarantee repayment of FEMA funds if
insurance covers the losses.
Disaster Basics
6-7
Unit 6
General Staff—Operations Section
Individuals and Households Program—Disaster Housing
Disaster Housing is administered and funded by FEMA. Assistance may include the
following:
•
Temporary Housing (Rent and Lodging Expense)—Money to rent a different
place to live or a temporary housing unit, when rental properties are not
available.
•
Repair—Money for homeowners to repair disaster damage that is not covered
by insurance. The goal is to repair the home to a safe and sanitary living or
functioning condition. FEMA may provide up to $5,000; then the homeowner
must apply for a Small Business Administration disaster loan for additional repair
assistance. FEMA will not pay to return a home to its pre-disaster condition.
Flood insurance may be required if the home is in a Special Flood Hazard Area
(SFHA).
•
Replacement—Money to replace a disaster-damaged home, done under rare
conditions, with limited funds. If the home is located in a SFHA, the homeowner
must comply with flood insurance purchase requirements and local flood codes
and requirements.
•
Permanent Housing Construction—Direct assistance or money for the
construction of a home. This type of assistance occurs only in very unusual
situations, in remote locations specified by FEMA where
no other type of housing assistance is possible.
Construction will aim toward average quality, size, and
capacity, taking into consideration the needs of the
occupant.
Small Business Administration (SBA) Loans
Low-interest disaster loans are available to homeowners,
renters, business owners, and non-profit organizations. This
program is administered and funded by the SBA under its own
authority.
The SBA Administrator can make loans available, or a Presidential Declaration including
IA in its parameters will provide the authority for SBA loans.
SBA uses income tables as an initial screen for eligibility. The tables are based on
income and household composition and are updated annually.
Disaster Basics
6-8
Unit 6
General Staff—Operations Section
SBA loans make substantial amounts available to help disaster victims recover from the
disaster and return their property to pre-disaster condition. Applicants must be able to
repay their loans. SBA loans can be personal or for business purposes. Loans are:
•
Limited to verified loss and mitigation in some circumstances.
•
Up to a maximum of $200,000 for real property and $40,000 personal property.
•
Up to a maximum of $1.5 million for businesses.
Individuals and Households Program—Other Needs Assistance
(ONA)
Personal Property—Money to repair or replace personal property that is damaged or
destroyed as a result of the disaster and is not covered by insurance. The goal is to
help with the cost for the necessary expenses and serious needs. All applicants must
apply for an SBA disaster loan for personal property before being considered for ONA.
Funds may be used for clothing, household items, specialized tools, educational
materials, and clean-up items.
Transportation—This money is intended to pay for the repair and/or replacement of
an individual’s primary means of transportation.
Medical and Dental Expenses—This money is intended for medical and/or dental
treatment costs or the purchase of medical equipment required because of physical
injuries received as a result of the disaster.
Funeral and Burial Costs—This money is intended for the payment of funeral
services, burial or cremation, and other funeral expenses caused by the disaster.
Other Items—This money is to cover specific disaster-related costs such as fuel,
moving and storage expenses, towing, utilities setup, or the cost of a National Flood
Insurance Program (NFIP) Group Flood Insurance Policy.
The maximum grant amount is adjusted annually based on the Consumer Price Index
(CPI).
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Additional Individual Assistance Programs
Disaster Unemployment Assistance (DUA): Disaster Unemployment Assistance
(DUA) and job placement assistance are available for people who have become
unemployed as a result of the disaster, but who are ineligible for regular unemployment
benefits. There is a 30-day application period from the date the State issues a public
notice of DUA availability. Benefits can extend from the incident date until 26 weeks
after the declaration date. Individuals must register with the local unemployment
office. Program benefits can include self-employed and agricultural workers.
FEMA funds DUA, which is administered by the U.S. Department of Labor through the
State Employment Security Agency.
Crisis Counseling Assistance (CCA) is intended to relieve mental health problems
caused or aggravated by the disaster or its aftermath.
Crisis Counseling is:
•
Administered through the State Mental Health Agency in cooperation with the
Center for Mental Health Services (CMHS).
•
Available to victims and disaster workers in major disasters.
•
Provided as immediate services during the first 60 days following a declaration,
and must be supplied within 14 days of the disaster declaration. The regular
program provides up to 9 months of CC services and must be applied for
separately by the Governor within 60 days of the declaration. Outreach services
include public information, community networking, and education services.
Disaster Legal Services (DLS): FEMA, through an agreement with the Young
Lawyers Division of the American Bar Association, provides free legal help for disaster
victims. Services are intended for low-income individuals and legal advice is limited to
cases that will not produce a fee.
Assistance typically includes:
•
Insurance claims
•
Home repair contracts
•
New wills and other lost legal documents
•
Problems with landlords
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•
Powers of attorney
•
Guardianships and similar legal problems
Legal services cannot be used to process claims against the Government or for incomeproducing lawsuits.
Cora Brown Fund
This fund was established in 1977 when Cora C. Brown of Kansas City, Missouri, left a
portion of her estate to the United States. These funds were to be used as a special
fund for the relief of human suffering caused by natural disasters.
The Cora Brown Fund provides funds for unmet disaster-related needs, administered by
FEMA. Disaster victims need not apply. Verification is conducted by the Regional
Director who prepares a recommendation to the Assistant Director for Readiness,
Response and Recovery.
Other Agencies’ Programs
•
Internal Revenue Service (IRS): Counseling on deducting casualty losses
and other tax advice.
•
Department of Veterans Affairs (VA): Financing and refinancing of
mortgages with low or no down payment to eligible veterans, death benefits,
pensions, and insurance settlements.
•
Farm Service Agency (FSA): Loans to farmers, ranchers, and agricultural
operations.
•
Food and Nutrition Service: Food donations and emergency food stamps.
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General Staff—Operations Section
•
Donations Management: Keeping unneeded, unsolicited goods, and
volunteer service away from the disaster area. Encourages appropriate
donations such as financial contributions and goods and services that are needed
to meet the needs of disaster victims. Includes the activation of the State
Donations Plan, the establishment of a Donations Coordination Center, a
Donations Coordination Team, and a Donations Phone Bank.
Duplication of Benefits
An applicant cannot receive Disaster Housing assistance if assistance for the same
purpose is provided from another source.
An agency which pays an applicant duplicate assistance is responsible for recovering
the funds. Delivery sequence dictates assistance order.
The delivery sequence can be disrupted as a result of unreasonable delays with
insurance or SBA loans. Applications are automatically checked for duplicate phone
numbers, Social Security numbers, and other identifiers.
Assistance Facilities
Assistance facilities can include DRCs and National Processing Service Centers (NPSCs).
A DRC is a temporary facility where a person can meet face-to-face with
representatives of Federal agencies, State, Tribal, and local governments, and voluntary
agencies. If the decision is made to open DRCs, they are established close to the
disaster area and jointly operated by the State and FEMA. At the DRC, a disaster victim
can get assistance with applications, advice, and materials. The number of DRCs
depends on the magnitude of the disaster and the size of the area included in the
declaration.
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National Processing Service Centers (NPSCs) process applications for assistance.
Hyattsville, MD
Denton, TX
Mt. Weather, VA
Assistance Process
The assistance process includes the following steps.
Registration/Application
Inspection/Verification
Eligibility Determination
Financial Assistance
Helpline/Customer Service
Registration/Application
FEMA activates the toll-free telephone numbers as needed:
1-800-621-FEMA (3362)
1-800-462-7585 (TTY)
Typically an estimated 80 percent of calls require processing. An application requires
approximately 20 minutes to complete. Multi-lingual operators are available in a variety
of languages.
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Inspection/Verification
Registrations are downloaded from FEMA to the contractor responsible for inspections.
The contractor assigns inspectors to visit damaged dwellings. The inspectors verify
registration information, occupancy, and/or ownership. They also survey and record
damage.
The inspection report serves as a “combined verification” for Disaster Housing and
damage to real and personal property. Inspectors also gather and report additional
information, such as special needs and accessibility problems. The inspectors
electronically transmit inspection results from the field to FEMA for processing.
Eligibility Determination
An eligibility determination is based on returning damaged dwellings and essential living
areas to habitable, safe, sanitary, and secure condition. Family rooms and finished
basements are excluded from the repair program; however, removal of contaminated
carpets, etc., can be authorized.
There is no minimum level of repair assistance, but a maximum is set and periodically
adjusted. The amount of assistance an individual receives often is determined
automatically.
Assistance
Payments are authorized through the Disaster Finance Center (DFC) and transmitted to
the U.S. Department of the Treasury. Checks to applicants are disbursed through the
appropriate Treasury branch.
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Helpline/Customer Service
The Helpline is a toll-free number that individuals can call when they need additional
help or have questions.
The Helpline operator handles calls from applicants who need additional assistance or
have questions about the assistance received. Helpline staff provide application status
information, request re-inspection when appropriate, provide information about
additional rental assistance, and make referrals to other programs or services.
The Helpline numbers are:
1-800-621-FEMA (3362)
1-800-462-7585 (TTY)
The Human Services Branch offers a wide variety of assistance programs that meet a
broad range of needs. The programs are designed to provide help starting with
emergency needs and continuing through more far-reaching recovery activities.
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The Infrastructure Support Branch
This branch provides technical assistance, coordinates direct Federal resources, and
administers financial assistance for State, local, and Tribal governments, and certain
non-profit organizations. Typically this involves administering Federal grants to help
rebuild public facilities such as roads, bridges, buildings, utilities, and recreational
facilities damaged by disasters.
The purpose of the Infrastructure Support Branch is to:
•
Address immediate threats to life, public health and safety, and to protect
improved public and private properties.
•
Ensure the public is served in a timely and efficient manner.
•
Provide assistance to repair, restore, or replace eligible permanent facilities.
•
Encourage mitigation measures.
The Infrastructure Support Branch also includes representatives from ESFs 3 and 12.
Branch Functions
The primary functions of the Infrastructure Support Branch include:
•
Debris clearance, removal, and disposal operations.
•
Emergency protective measures operations.
•
Identification and support of incident-damaged public works or infrastructure.
•
Administration of Public Assistance (PA) authorized by the Stafford Act.
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The Foundations of Public Assistance
The Stafford Act is the primary document governing the PA programs. It defines and
describes the various elements of the program. Another important PA document is
Title 44 of the Code of Federal Regulations, Part 206 or 44 CFR as it is also called.
FEMA regulations for PA are spelled out here, as is the guide to program
implementation. FEMA also uses policies issued by Headquarters in the delivery of the
PA program. These policies may be either subject-specific or disaster-specific.
Overview of the PA Process
Once a disaster occurs and is officially declared, the PA process begins. There are
several specific PA phases or steps which take place. The sequence of events is shown
below:
1.
Disaster strikes.
2.
PDA conducted and immediate needs funding provided.
3.
Declaration issued.
4.
Applicants’ briefing conducted.
5.
Request for assistance submitted.
6.
Kickoff meeting held.
7.
Small and large project formulation takes place.
8.
Small projects validated and large projects begun.
9.
Projects funded.
10. Project closeout completed.
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The steps show just how the PA process unfolds. After an incident occurs, a PDA is
conducted by local, State, and Federal teams. The Governor of the affected State may
request assistance from the President. If the President declares a disaster, then the full
PA process begins.
•
Applicant Briefing: State emergency officials conduct a briefing to inform
potential applicants of available assistance and the procedures for applying. The
State is responsible for conducting one or more applicant briefings.
•
Request for Public Assistance: Applicants complete a Request for Public
Assistance form (RPA) to document their intention to apply for PA. Once the
RPA is submitted to the State, the information is forwarded to FEMA.
•
Kickoff Meetings: The applicant, the State, and FEMA meet to explain the PA
process and procedures, discuss applicant damages, assess applicant needs, and
explain eligibility. The participants then agree upon a plan of action. Kickoff
meetings ensure that applicants have the information needed to identify and
complete a PA project. The State receives specific details on documentation and
reporting requirements.
•
Project Formulation: PA staff works with applicants to complete
documentation of proposed projects to ensure that projects meet PA eligibility
criteria.
•
Project Worksheets: PA staff work with applicants as needed to complete
Project Worksheets that provide FEMA with a detailed scope of work and an
accurate cost estimate for each project.
•
Closeout: This takes place when projects are completed.
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General Program Eligibility
A hierarchy of statutes, regulations, and policies govern the eligibility criteria of the PA
Program. The Stafford Act and Title 44 Code of Federal Regulations, Part 206 specify
eligibility guidelines for receiving PA. Using these guidelines, FEMA has established
funding criteria which form the four components of eligibility. They are:
Applicant
Facility
Work
Cost
These components act as building blocks that support each other. Each individual
component, starting with the applicant and working up, must be eligible in order for the
total project to be eligible.
Let’s take a closer look at each of the four eligibility components starting with eligible
applicants.
Applicant
There are four types of applicants which are considered eligible:
•
State Government Agencies
•
Local Governments
•
Federally Recognized Indian Tribes or Tribal Organizations
•
Certain Private Non-Profit Organizations
Private non-profits (PNP) must meet the PNP requirements of the IRS or the State
as well as provide services that would otherwise be performed by a government
agency. Examples of such services would include education, medical, fire and
emergency, utilities, custodial care, and essential government services. Essential
government services are defined by law and can be facilities such as museums, zoos,
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General Staff—Operations Section
community centers, libraries, homeless shelters, senior citizen centers, and
rehabilitation facilities.
If an organization meets the requirements of one of these categories, it qualifies as an
eligible applicant. It can apply for Public Assistance.
Facility
Next let’s discuss what makes a facility eligible.
Generally speaking, an eligible facility is a building, industrial or public works, system,
or equipment that is built or manufactured. It can also be an improved and maintained
natural feature that is owned by an eligible non-profit applicant.
To be eligible for PA, a facility must:
•
Be the legal responsibility of an eligible applicant.
•
Be located in a designated disaster area.
•
Not be under the specific authority of another Federal agency.
•
Be in active use at the time of the incident.
Examples of eligible public facilities are roads, sewage treatment plants, airports,
schools, bridges, dams, and irrigation channels. Examples of private non-profit, eligible
facilities are educational facilities, utilities, fire stations, and medical facilities. If a
facility is being used for purposes other than what it was originally designed for,
eligibility is limited to restoring it to its immediate pre-disaster use.
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Work
For work to be eligible, the following three general criteria must be met:
•
Work must be the result of a declared incident.
•
Work must be in the designated disaster area.
•
Work must be the legal responsibility of the applicant.
There are two classifications of work under the PA Program:
•
Emergency work refers to any activity necessary to protect public health and
safety. It includes debris removal and emergency protective measures.
•
Permanent work refers to any activity that must be performed for the
restoration of a facility to its pre-disaster condition. It includes, but is not limited
to, work on roads, bridges, buildings, utilities, and recreational facilities.
There are different work completion deadlines and cost eligibility guidelines associated
with these two classifications of work.
Costs
Generally, costs that can be directly tied to approved work are eligible. Costs which can
be reimbursed include appropriate labor, materials, equipment, contracts, and
administrative allowance. These costs must be:
•
Reasonable and necessary to accomplish the work.
•
Compliant with Federal, State, Tribal, and local requirements for procurement.
•
Reduced by all applicable credits such as insurance proceeds and salvage values.
A cost is reasonable if it does not exceed that which a prudent person would spend
under the same circumstances. FEMA determines reasonable rates through the use of
historical documentation for similar work. In addition, FEMA uses average costs for
similar work in the area, published unit costs from national cost-estimating databases,
and FEMA cost codes.
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Public Assistance Roles and Responsibilities
In the overall recovery effort, FEMA and the State work as
a team to see that all needed services and assistance are
delivered to those who are eligible. Several individuals
are involved in carrying out the PA process. They include
the Applicants, State personnel, and FEMA staff. This
section will look at the responsibilities of several key
FEMA roles.
Public Assistance Officer (PAO)
The PAO heads the PA Group in the Infrastructure Support Branch, and often serves as
the Infrastructure Branch Chief.
The PAO:
•
Manages all PA functions at the JFO for the
disaster.
•
Coordinates with the FCO, State, and other
programs.
•
Funds projects up to specified dollar amounts.
•
Ensures compliance with laws and regulations.
Additionally, the PAO advises the FCO on all PA matters, manages the operation of the
PA staff, and handles coordination between the PA program and other parts of the
Federal recovery effort. The PAO also works closely with State counterparts to ensure
that the program is meeting the needs of applicants.
After the JFO closes, the PAO at the host Region manages the PA program for the
disaster.
Public Assistance Coordinator (PAC)
The PAC manages all aspects of the applicant’s request for assistance from start to
finish. It’s the PAC who is the main point of contact between the applicant and FEMA.
He or she monitors the applicant’s needs, oversees progress, and coordinates the work
of the Project Officers and Specialists. The PAC coordinates with the State as needed
to resolve problems. By being involved from the declaration to the obligation of funds,
the PAC ensures continuity of service throughout the delivery of the PA program.
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The duties of the PAC include:
•
Providing customer service and technical assistance to applicants.
•
Maintaining the applicant case management files.
•
Conducting the kickoff meeting.
•
Approving projects up to a specified dollar amount.
•
Assisting States in conducting applicant briefings if needed.
Project Officer (PO)
The responsibilities of the PO include:
•
Providing technical assistance and guidance.
•
Formulating large projects.
•
Coordinating with staff and applicants.
The PO is responsible for developing the scope of
work (in partnership with State and local
representatives) and for preparing the cost estimate for applicants’ large projects. The
PO is also responsible for ensuring that the necessary reviews for special considerations
(e.g., historic, environmental, insurance, 406 hazard mitigation, etc.) are performed, for
preparing all required reports, and for coordinating with appropriate internal and
external staff. The PO may be required to assist applicants with small project
formulation, and may conduct small project validations. The PO also delegates and
coordinates the work of specialists assigned to a project.
Resource Coordinator
The duties of the Resource Coordinator include:
•
Assisting in determining staff
requirements.
•
Developing a resource plan.
•
Assigning and tracking resource staff.
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The Resource Coordinator is responsible for managing the resource pool, determining
Federal staffing needs, coordinating requests for specialists, and maintaining schedules
and assignments. The Resource Coordinator works closely with the PAO, the PAC, and
State counterparts to ensure that staffing needs are met.
Specialists
The functions of a specialist include:
•
Serving as a resource to the PAO, PAC, PO, and applicants.
•
Providing expertise on small and large projects.
•
Validating small projects.
Specialists are responsible for providing assistance in technical and special consideration
areas such as debris removal, insurance, and hazard mitigation. They also conduct
PDAs and are available to do cost estimating. Specialists are assigned to the resource
pool.
Special Considerations
The term Special Considerations was coined by FEMA to describe issues other than
program eligibility that can affect the scope of the work and the funding for a project.
They are areas requiring special attention and include:
•
Insurance
•
Hazard Mitigation
•
Floodplain Management
•
Historic Preservation
•
Environmental Factors
•
Compliance with other Federal laws and regulations
Special Considerations issues receive attention early in the recovery phase. Review of
the issues continues throughout the entire PA process. The review starts with the PDA.
A scoping process to identify potential issues takes place at the same time as the
applicant’s briefing. At the kickoff meeting, the PAC and the applicant discuss Special
Considerations issues that apply to the applicant’s projects.
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Specialists are used to work with the applicant on the identified issues. During project
formulation, the Project Officer works with the PAC on large projects to make sure
Special Considerations are resolved. For small projects, Special Considerations are
identified and separated out during validation. Documentation of Special
Considerations resolution occurs throughout validation and project approval.
Underlying all Special Considerations work are key questions presented in a worksheet
the applicant must complete. The worksheet is used to ensure that projects are done
correctly and in compliance with applicable laws and regulations.
There are significant consequences for non-compliance with Special Considerations
requirements. They include loss of funding, delays in funding, legal action, and
negative publicity.
The Infrastructure Support is responsible for a variety of activities following an
incident. These include providing funding for immediate response efforts; assisting with
debris removal and emergency protective measures; supplementing State, Tribal, and
local recovery efforts; repairing, restoring, reconstructing, or replacing public
infrastructure; and promoting mitigation measures.
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Emergency Services Branch
In addition to Human Services and Infrastructure Support, the Operations Section
includes Emergency Services. The Emergency Services Branch responds to immediate
threats to life and property by providing services in:
•
Firefighting
•
Hazardous materials response
•
Search and rescue
•
Emergency medical care
•
Control of contagious diseases
•
Assistance with public safety and security
Firefighting
U.S. Department of Agriculture (USDA), USFS, leads firefighting efforts. The National
Interagency Fire Center (NIFC) coordinates resources for firefighting on Federal lands.
The Emergency Services Branch can support State and local firefighting organizations
by:
•
Providing logistical support.
•
Identifying available firefighting
resources.
•
Managing Federal wildfire
suppression activities.
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Hazardous Materials Response
Hazardous materials response provides support to actual or potential discharge and/or
release of hazardous materials following an incident. Activities include identifying,
evaluating, and monitoring actual and potential releases of oil or hazardous materials.
The Environmental Protection Agency (EPA) coordinates the requests for hazardous
materials response assistance. It is supported by the Department of Transportation
(DOT), the Department of Energy (DOE), the National Regulatory Commission (NRC),
the Department of Health and Human Services (DHHS), and other agencies.
Urban Search and Rescue (ESF 9)
Urban Search and Rescue’s (US&R’s) purpose is to supplement State and local
resources in locating, medically stabilizing, and extricating individuals trapped as a
result of structural collapse due to:
•
Earthquake
•
Hurricanes
•
Explosions
•
Tornadoes
•
Other possible events causing structural collapses
The National US&R Response System includes Task Forces, Incident Support Teams,
and technical specialists.
The US&R Response System follows a carefully developed sequence of operations. At
the initial Staging Area, the team receives the site assignment and travels to the site.
At the site, the team contacts the local Incident Commander and receives a detailed
briefing of the situation. A Base of Operations is established. The team then receives
the tactical assignment and begins on-site operations under the local Incident
Commander.
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The diagram below illustrates this process.
P oint of
D eparture
D onor S tate
P oint of A rrival
M obilization
C enter
S taging A rea
A ffected A rea
Incident
C m d. Post
A ffected State
B ase of
O perations
Public Health and Medical Services (ESF 8)
Health and Medical Care provides assistance to supplement State and local resources
for public health and medical care needs during a disaster.
FEMA activates the National Disaster Medical System (NDMS) as needed to provide
health and medical care assistance.
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DMATs are deployed to the appropriate areas. A DMAT is a unit of 35 physicians,
nurses, and technicians, with equipment and supply caches. The team provides vital
medical care. Once in the field, a DMAT is supported by a Management Support Team
(MST), which manages the required health and medical resources.
A DMORT provides a temporary morgue facility, victim identification, processing,
preparation, and disposal of remains.
A Metro Medical Strike Team (MMST) provides assistance in the medical treatment/
management of chemical, biological, or nuclear incidents resulting from deliberate or
accidental acts.
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Community Recovery and Hazard Mitigation Branch
The fourth branch of the Operations Sections is the Community Recovery and
Hazard Mitigation Branch. Hazard Mitigation is defined as any action of a longterm, permanent nature that reduces the actual or potential risk of loss of life or
property from a hazardous event.
Sample mitigation measures include:
•
Acquisition of structures, also referred to as buyouts
•
Relocation of structures out of hazardous locations
•
Strengthening/retrofitting structures to withstand forces
•
Making utilities, structural components, and contents resistant to damage
•
Diverting the hazard
•
Elevating structures
•
Managing vegetation to reduce wildfires
•
Implementation of local mitigation standards
Opportunities exist for both pre- and post-incident mitigation activities.
Pre-Disaster Mitigation Programs/Activities
Pre-disaster mitigation focuses on State mitigation planning.
Before a disaster occurs, the State decides on the types of mitigation projects it wants
to pursue and sets priorities on potential mitigation projects. FEMA requires States to
create and maintain an Administrative Plan and a State Mitigation Plan to qualify for
mitigation assistance.
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The following table gives examples of pre-incident mitigation programs.
Program
Description
National Flood
Insurance Program
(NFIP)
The NFIP is the premier, fundamental mitigation program in
the United States. It provides the availability of flood
insurance in exchange for the adoption of a minimum local
floodplain management ordinance that regulates new and
substantially improved development in identified flood hazard
areas.
Flood Insurance Rate
Maps (FIRMS)
FIRMS are the mechanism by which flood hazard areas are
identified. When a community participates in FIRMS, FEMA
provides the community with the FIRMS.
NFIP Increased Cost
of Compliance
This program provides added coverage to standard flood
insurance policies to supplement the cost of elevating
structures.
Community Rating
System (CRS)
The CRS is a program that rewards communities for going
beyond the minimum requirements of the NFIP. If certain
criteria are met, the community receives a 5-percent
reduction to its insurance premium.
Flood Mitigation
Assistance Program
(FMAP)
The Flood Mitigation Assistance Program, which began in
1997, provides pre-disaster grants for both planning and
implementation. Grant funds are made available from NFIP
insurance premiums and are only available to communities
participating in the NFIP. Grants will be made available in
each region, distributed based on the number of NFIP
policies in force, and awarded on the number of repetitive
claims paid.
Hurricane Program
(HP)
FEMA and State efforts combine with the National Oceanic
and Atmospheric Administration (NOAA) and the United
States Army Corps of Engineers (USACE) to develop
evacuation plans for coastal communities vulnerable to
hurricanes and severe coastal storms. Grants are available
to State and local governments for property protection,
hazard analysis and evacuation planning, post-storm
analyses, training, exercises, public awareness, and
education efforts.
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Program
National Earthquake
Hazards Reduction
Program (NEHRP)
Description
The National Earthquake Hazards Reduction Program is a
partnership between four Federal entities: FEMA, the United
States Geological Survey (USGS), the National Science
Foundation, and the National Institute for Standards and
Technology (NIST). The program’s purpose is to reduce the
risks to life and property from earthquakes.
Post-Disaster Mitigation Actions
After a disaster is declared, the Community Recovery and Mitigation
Branch assists in conducting damage assessments. A major
consideration is the repair or replacement of damaged structures so
that they do not suffer the same damages again. The damage
assessment focuses on:
•
Identifying where mitigation measures can be implemented.
•
Conducting site visits and researching current community
plans and codes, past disaster damages, and recurrence
probabilities.
Soon after the disaster, an interagency Hazard Mitigation Team, consisting of Federal,
State, Tribal, and local officials, compiles a report which incorporates existing statewide
hazard mitigation plans with damage assessment information. The team determines
what mitigation measures can be achieved following a disaster and makes
recommendations. The recommendations included in the report serve as a blueprint for
disaster funding of mitigation projects.
409 Program
States develop and implement a comprehensive all-hazards mitigation plan as a
condition of Federal assistance. The plan must evaluate the hazards in the areas where
Federal disaster assistance has been or may be provided, and it must set forth a plan of
action to mitigate those hazards. Mitigation staff duties may include:
•
Providing planning assistance to States.
•
Coordinating the provision of technical assistance available through other Federal
agencies.
•
Reviewing and evaluating the plans.
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404 Hazard Mitigation Grant Program (HMGP)
FEMA’s 404 Program is a post-disaster Hazard Mitigation Grant Program which funds
the implementation of mitigation measures that are developed in conformance with the
State priorities identified in the “409” plan. The HMGP goal is to develop a long-term
comprehensive mitigation program. The program is available upon State request and
FEMA approval of the State plan. FEMA staff complete required analyses and
coordination. The HMGP, which funds mitigation projects after a disaster declaration, is
the major source for FEMA’s mitigation funding.
The amount of funding is based on Federal expenditures during the disaster response
and recovery. FEMA may contribute up to 80 percent of the costs.
HMGP objectives are:
•
To identify and implement cost-effective mitigation measures that will reduce
future losses.
•
To coordinate mitigation needs with existing State and Federal efforts.
•
To capitalize upon previous mitigation planning efforts to maximize the financial
opportunities available under the HMGP.
The HMGP provides funding for mitigation measures that substantially reduce the risk of
future damages.
HMGP Project Eligibility Criteria
Eligible applicants for HMGP grants include State agencies, local units of government,
and certain private non-profit organizations. HMGP projects are not restricted to the
disaster area. They may be implemented anywhere within a State that receives a
declaration.
HMGP projects must:
•
Conform to the State Hazard Mitigation Plan.
•
Provide a beneficial impact upon the disaster area.
•
Meet requirements set by environmental regulations.
•
Solve a problem independently or be a functional part of a solution.
•
Be cost-effective.
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406 Mitigation Program
FEMA’s 406 Program is the Public Assistance program that funds the repair of damaged
facilities and infrastructure. Under this program, all repairs must conform to applicable
codes and standards, and damaged facilities can be improved for mitigation purposes if
proposed measures are technically feasible, cost effective, and environmentally sound.
FEMA may prescribe codes and standards where they are lacking. Each repair must be
generated by a Project Worksheet (PW). Mitigation staff duties include:
•
Reviewing PWs for mitigation opportunities.
•
Making recommendations based on PW review.
•
Ensuring that the solution is physically part of the damaged facility.
The program seeks to ensure that mitigation opportunities are incorporated into
infrastructure projects to the greatest extent possible.
Applicant Briefings
Local governments, private non-profit organizations, individuals, and businesses are
eligible for different types of mitigation assistance. Applicant briefings are conducted to
inform officials and individuals of the types of assistance that are available. Mitigation
staff is responsible for:
•
Informing people of the opportunities to
implement mitigation measures.
•
Providing guidance for the process that
must be followed.
•
Preparing materials for distribution.
•
Coordinating public information releases.
Additional Post-Disaster Responsibilities
Additional post-disaster mitigation staff duties might include:
•
Supporting community education programs.
•
Staffing multiple DRCs.
•
Providing a general discussion option available to applicants at the DRCs.
Disaster Basics
6-34
Unit 6
General Staff—Operations Section
•
Referring applicants to specific programs and reference materials.
•
Monitoring compliance with local NFIP floodplain management ordinances or
Federal Executive Orders and other regulations that pertain to the disbursement
of Federal resources.
•
Assisting in the coordination of mitigation efforts with FEMA’s Human Services
and/or Infrastructure programs.
•
Gathering data for environmental assessments.
•
Analyzing benefit-cost ratios for proposed projects.
•
Researching issues related to Historic Preservation.
Regulations
Various laws and executive orders impose reviews and conditions on Federally funded
projects. Major regulations which have an impact on mitigation projects include:
•
Coastal Barriers Resources Act (COBRA)
•
National Environmental Policy Act (NEPA)
•
Endangered Species Act
•
National Historic Preservation Act
•
Clean Air and Water Acts
•
Executive Order 12898—Environmental Justice
•
Executive Order 11988—Floodplain Management
•
Executive Order 11990—Protection of Wetlands
Disaster Basics
6-35
Unit 6
General Staff—Operations Section
State and FEMA mitigation staffs coordinate with a variety of State and Federal
agencies as part of an environmental review. Most mitigation projects receive
Categorical Exclusions, a finding of little or no adverse environmental or social impact.
Failure to complete the environmental review process usually means that funding for a
project cannot be approved. Rare exceptions are actions initiated in an emergency
situation when life, health, property, or severe economic losses are threatened.
Mitigation is the cornerstone and foundation for FEMA and for our partners. We
encourage individuals, communities, States, Tribal nations, and others to take
preventive measures to minimize damage. Action before an incident rather than after is
the goal of the Mitigation Branch.
Getting the Job Done – Mission Assignment
The Operations Section relies on its staff in the Emergency Services, Infrastructure,
Human Services, and Community Recovery and Hazard Mitigation Branches to carry out
key responsibilities. It also taps into other Federal agencies for support in meeting
critical needs dictated by an incident. The process is called Mission Assignment (MA).
An MA is a work order issued by FEMA to a Federal agency that directs completion of a
specific task. It is intended to meet urgent, immediate, and short-term needs of the
State. An MA is given in anticipation of, or in response to, a Presidential Declaration of
a major disaster or emergency.
FEMA uses MAs to assign and monitor work done by the 15 ESF agencies identified in
the NRP or to any Other Federal Agency (OFA) with the required expertise. MAs are
issued to activate specific agencies to send representatives to emergency teams, and to
task the activated agencies to supply goods or services. As agencies complete assigned
work, they bill FEMA and are reimbursed for their expenses.
Disaster Basics
6-36
Unit 6
General Staff—Operations Section
Types of MA Assistance
There are three types of MAs. The type of MA assistance determines financial
responsibility and the respective roles of the Federal government and the State. The
Federal government requests and pays the total cost for some MAs, but the State may
be responsible for requesting, approving, and paying a cost share for others.
The three types of MA assistance are:
•
Federal Operations Support
•
Technical Assistance
•
Direct Federal Assistance
Debris-related MAs provide examples of the MA types. Debris is a typical disaster
response issue that involves MAs. USACE is responsible for debris removal as the
primary agency for ESF 3—Public Works and Engineering. USACE can receive debrisrelated MAs for each of the three types of MAs.
Type 1—Federal Operations Support (FOS)
FOS is support to Federal responders, and is 100-percent federally funded. It is
available prior to and after a Presidential Declaration.
As an example, FEMA may issue an MA for Federal Operations Support to USACE to
activate and pre-position a Debris Planning and Response Team.
Type 2—Technical Assistance (TA)
TA is advice and expertise provided to State and local jurisdictions. It is requested by
the State, 100-percent federally funded, and available before and after a Presidential
Declaration.
As an example, FEMA could issue an MA for Technical Assistance to USACE to advise
State government concerning contracts and planning specifications for clearing and
removing debris.
Disaster Basics
6-37
Unit 6
General Staff—Operations Section
Type 3—Direct Federal Assistance (DFA)
DFA is support to State and local governments, and is used for functions normally
performed as State/local responsibilities. It is requested by the State, and is subject to
cost-share which the President may waive. It is not available until after a Presidential
Declaration. Because DFA imposes obligations on the State, the State must approve all
MAs for DFA.
For example, if the State asks for assistance to remove debris, FEMA could issue an MA
for Direct Federal Assistance to USACE to assist the State in performing the work of
removing debris. The cost for the work done by USACE would be subject to a costshare by the State.
Disaster Basics
6-38
Unit 6
General Staff—Operations Section
MA Roles and Responsibilities
MAs are documented via a Request for Federal Assistance (RFA) form that is entered
and approved in the National Emergency Management Information System (NEMIS).
The following officials and FEMA staff members play MA roles. See the table for the
specific position and major responsibility.
Position
Major Responsibility
Operations Section
Chief
Coordinates the Federal response, including management
of the MA process. Receives any requests from the State
concerning assistance, Action Request Form (ARF), and
determines whether MAs should be issued. Oversees the
tasking and execution of the work.
Project Officer
Monitors and approves work done under an MA. FEMA
staff member designated by the Operations Chief, usually
someone involved in managing the ESF. For any projects
assigned to USACE, the Infrastructure Branch Director on
the emergency team that issues the MA most likely serves
as Project Officer, because ESF 3—Public Works and
Engineering, is in the Infrastructure Branch.
Action Officer
Scopes the task to determine timelines and costs.
Normally a representative of an ESF or a Federal agency.
Mission Assignment
Coordinator (MAC)
Ensures that all necessary information is documented on
the ARF which is entered into the Enterprise Coordination
Approval Processing System (ECAPS) for routing and
review. Works in close coordination with the Operations
Section Chief, the Project Officer, and the Action Officer in
reviewing and amending MAs as needed.
Comptroller
Disaster Basics
Ensures that funds are available and obligates funds for
MAs after all required approvals are obtained.
6-39
Unit 6
General Staff—Operations Section
Position
Major Responsibility
Approving Officials
Approve MAs. The Regional Director and the FCO have
authority to approve MAs as the Federal Approving Official
(FAO). Signatory authority may be delegated to the
Operations Section Chief. FEMA officials use ECAPS to
approve ARFs. The State Approving Official (SAO) must
approve all MAs for DFA, since required State assurances
must be given, even if the State cost-share is waived.
MA Issuance
To issue an MA:
•
The Operations Section Chief determines that the request is best met by an MA.
The ARF is forwarded to an ESF/OFA and a Project Officer is assigned to prepare
a statement of work, estimated timeline, and cost estimate.
•
The MAC ensures all necessary information is documented on the ARF. The
information from the ARF is entered in ECAPS and routed for review and
approval.
•
The Project Officer reviews and signs the ARF in ECAPS.
•
If the MA is for DFA, the SAO approves and signs the ARF in ECAPS.
•
The FAO (usually the Operations Section Chief or FCO) approves and signs the
ARF in ECAPS.
•
The Comptroller verifies funds availability and upon their “acceptance” in NEMIS,
funds are obligated in the Integrated Financial Management Information System
(IFMIS).
Some common disaster MAs are pre-scripted, so they can be issued quickly.
Statements of work and standard costs are determined by prior agreement between
FEMA and the performing agency. Funding amounts may be adjusted up or down, and
tasks may be added later as amendments.
Disaster Basics
6-40
Unit 6
General Staff—Operations Section
Executing an MA
After the MA is issued, the performing agency can do the tasked work. The agency
begins the task and reports progress to FEMA. It provides funding for the work and
tracks all expenditures. The MA serves as an accounts receivable against which costs
are incurred.
ESF lead agencies that need assistance may subtask support agencies, which report to
the lead agencies. They may also contract with vendors.
MA Monitoring and Tracking
Tracking and monitoring roles and responsibilities include:
•
Project Officer: Monitors execution
•
MAC: Refines MA documentation as necessary
•
Comptroller: Tracks MA financial status
•
Performing agency: Submits progress and financial reports
Disaster Basics
6-41
Unit 6
General Staff—Operations Section
Reimbursement and Closeout
The final steps in the process are:
•
Lead agencies bill FEMA.
•
Lead agencies review and forward support agency bills to FEMA.
•
The DFC reviews the bills and pays the agencies.
•
The FEMA program staff and the FAO review the work and approve payment.
•
The remaining funds are de-obligated, and the MA file is closed.
Summary
The Operations Section, comprised of the Human Services, Emergency Services,
Infrastructure Support, and Community Recovery and Hazard Mitigation Branches,
implements and manages a wide variety of disaster assistance programs. These
programs address both immediate and long range needs. The delivery of services is
facilitated by the use of MAs which bring additional agencies into the recovery process.
Disaster Basics
6-42
Unit 7
General Staff—
Planning Section
Unit 7
General Staff—Planning Section
Check Your Knowledge
1.
What is the function of each unit of the
Planning Section?
2. What is the Incident Action Plan (IAP)?
3. Which unit is responsible for Geospatial
Intelligence?
4. Which unit is responsible for preparing the
Situation Report?
5. Put the following into correct order –
•
•
•
•
•
Disaster Basics
Prepare for the planning meeting.
Conduct planning meeting/develop IAP.
Assess the incident.
Determine objectives.
Evaluate IAP.
7-1
Unit 7
General Staff—Planning Section
Check Your Knowledge
Answers
1.
Situation Unit — collects, analyzes, displays
information.
Resource Unit — tracks and reports resources.
Documentation Unit — writes Situation Reports and
maintains records.
Demobilization/IAP Unit — writes Incident Action
Plan and the demobilization plan.
Technical Specialists — provide expertise in a
specific field or area, e.g., meteorologists,
geologists, etc.
2. The Plan which establishes the incident objectives
and details the activities and resources needed to
accomplish the objectives.
3. Situation Unit.
4. Documentation Unit.
5. •
•
•
•
•
Disaster Basics
Assess the incident.
Determine objectives.
Prepare for the planning meeting.
Conduct the planning meeting/develop the IAP.
Evaluate IAP.
7-2
Unit 7
General Staff—Planning Section
Planning
FCO
General
Staff
Operations
Section
Planning
Section
Logistics
Section
Finance/
Administration
Section
Overview
This unit deals with the Planning Section as one of four general sections under the FCO
during disaster recovery. The contents are:
•
The five Planning Units
•
The Planning Process
•
The Incident Action Plan (IAP)
•
The Situation Report
•
Other Support
At the end of this unit, you will be able to:
•
Explain the responsibilities of each unit in the Planning Section.
•
Describe the Incident Action Plan (IAP).
•
List the steps in the planning process.
•
Identify other types of information or support provided by the Planning
Section.
Disaster Basics
7-3
Unit 7
General Staff—Planning Section
Planning Section Organization and Functions
The Planning Section consists of five units.
Situation Unit
•
•
•
•
•
Documentation
Unit
•
•
•
•
•
•
Resource Unit
•
•
•
•
Demobilization
Unit
•
•
•
•
•
Disaster Basics
Receives information from all assisting and cooperating
agencies (Federal, State, local, and Tribal).
Analyzes all incoming information and converts general data
into intelligence.
Prepares and conducts briefings.
Manages the Situation room.
Develops and maintains informational displays and maps.
Validates information received from the Situation Unit.
Produces Situation Reports (SITREPS).
Produces fact sheets, organization charts, and initial
operating reports.
Assists Operations with certain facets of IAP implementation
as needed.
Records (scribes) daily planning and senior staff meetings.
Maintains historical records.
Tracks and maintains status of all operational resources
(including personnel).
Coordinates efforts with Operations and Logistics for
resource tracking.
Provides timely data related to resources and actions with
respect to implementing, executing, and completing
objectives during a specific operational period.
Provides products and displays for the Situation Unit.
Facilitates daily IAP meeting for the FCO.
Facilitates the development of the IAP for the specified
operational period.
Develops long-range plans required to support response and
recovery operations.
Develops contingency plans and other ERT management
plans.
Assists with development of functional plans for other
sections and ESFs. Integrates these plans into the overall
Strategic Plan.
7-4
Unit 7
Technical
Specialists
General Staff—Planning Section
•
•
Assist with many different aspects of emergency
management. Address staffing needs for a particular type
of experience, skill, or knowledge.
Can include Environmental, Seismological, Statisticians,
Meteorologists, Intelligence, Law Enforcement, Training.
The Planning Section is responsible for a wide range of written documents. Among the
most important products are the Situation Report and the Incident Action Plan.
The Situation Report (SITREP) is a comprehensive, accurate overview of significant
operations actions, plans, and issues related to a disaster or emergency for a specified
time period. SITREP information is used routinely for governmental reports and
briefings. FEMA SITREP information is used by DHS, Congress, and the White House.
A good SITREP includes an analysis and an interpretation of the information presented.
Because the report provides the basis for decisionmaking, accuracy is essential.
The Incident Action Plan
The Incident Action Plan (IAP) contains the incident objectives and the overall
strategies for reaching those objectives. The Planning Section prepares and distributes
the IAP after input from appropriate Sections and staff. The Plan is designed for one
operational period and identifies specific, measurable objectives set by the FCO. The
plan can be stated orally or written. For large incidents, frequent staff changes, and
multiple agency involvement, a written IAP is used.
The operational period is set by the FCO. It may be as short as 8 hours or longer
than a week, depending on operational requirements. Generally, the operational period
is 24 hours during the initial weeks of a response and progresses to a longer duration
as the recovery phase sets in. During Federal response and recovery operations, the
FCO, with advice from the Operations and Planning Section Chiefs, will set the “O
period”.
Disaster Basics
7-5
Unit 7
General Staff—Planning Section
The Planning Process
There are six steps in the planning process:
1. Assess the incident.
2. Establish incident objectives.
3. Prepare for the planning meeting.
4. Conduct the planning meeting and develop the IAP.
5. Conduct the operations briefing and implement the IAP.
6. Evaluate the IAP.
When an Incident Commander/FCO arrives on the scene, he or she will assess the
incident by asking these key questions:
•
What happened?
•
What is the current status of the incident and the victims?
•
What is the physical, economic, social, and political impact of the incident?
•
What is the current status of response efforts?
•
What are the needed resources?
•
What are the available resources?
The answers are the Essential Elements of Information, known as EEIs. The situation
will be continually reassessed by the FCO during recovery operations. The Planning
Section provides information vital to this process.
The FCO sets the general strategy for the most efficient and effective disaster recovery.
Along with the Planning Section, he/she will develop contingencies if the projected
situation or strategy changes. Establishing incident objectives is the next phase of
the process. Multiple factors and considerations play a role in this and the FCO focuses
on developing objectives consistent with State needs.
Disaster Basics
7-6
Unit 7
General Staff—Planning Section
Incident objectives must be:
• Coordinated among ERT elements.
• Measurable—so the ERT can determine progress and
achievement.
• Attainable—with available resources.
• Flexible—enough to allow Operations to achieve
them in the best possible way.
On larger incidents, the Planning Section may prepare for the planning meeting by
facilitating the Command Meeting and the Tactics Meeting ahead of time. These are
smaller meetings and involve upper JFO management. Objectives, strategies, tactics,
priorities, jurisdictions, geographic boundaries, and operational periods are discussed at
these meetings.
Conduct the Planning Meeting
FEMA JFO personnel refer to this as the Senior Staff meeting. It is the Planning
Section’s responsibility to notify participants when and where the meeting will take
place. It is the Planning Section Chief’s responsibility to facilitate the meeting in an
organized fashion, complete with ground rules and a standard agenda. The Operations
Section describes the selected tactics and the assignments. The members of the
Command and General Staffs indicate their ability to support the plan. All participants
should be prepared, and the meeting should last about 30 minutes.
Develop the Incident Action Plan
Following the planning meeting, the Planning Section compiles the plan onto the correct
forms and distributes it to the appropriate staff. If there is a prolonged lapse of time
between the development of the IAP and its release, the General Staff reviews the plan
again to ensure that it reflects the current situation and actions.
Conduct the Operations Briefing Meeting and Implement the Plan
Depending on the type of disaster and the response to it, Planning may conduct the
operations briefing. The final plan is presented with as much detail as possible. The
plan is tactically executed after its distribution.
Disaster Basics
7-7
Unit 7
General Staff—Planning Section
Evaluate the IAP
During the operational period, the FCO and Command and
General Staffs regularly assess work and progress toward the
incident objectives. Appropriate adjustments are made as
necessary.
The planning process allows the FCO and other leaders and
managers to measure performance against objectives. It ensures
that all ERT components operate in a unified, synchronized
manner toward the same goals.
Other Types of Planning Information and Support
The Planning Section offers other services to the ERT. The Section can prepare or
provide:
•
Information Collection plan (targets and concentrates collection activities on
high-value information, a.k.a., EEIs)
•
Special Function plans
•
Transition plans
•
Trend analysis
•
Critical resource analysis
•
Jurisdictional profiles
•
Daily intelligence summaries
•
Special analyses
•
Disaster assessment information
•
Status of mission assignments
•
Status of incident objectives
•
Critical issues
•
Status of programs
Disaster Basics
7-8
Unit 7
General Staff—Planning Section
•
Functional area statistics (daily and cumulative)
•
Situation briefings
Geographic Information Systems (GIS)
GIS is defined as:
•
An information system designed to work with data referenced by spatial or
geographic coordinates.
•
Both a database system and a set of operations for working with the data.
GIS is used to:
•
Conduct geospatial analyses of information.
•
Depict disaster boundaries and estimate impacts.
•
Identify various categories of key facilities located in, or around, a damaged
area.
Remote Sensing
Satellite Imaging and/or aerial photography can:
•
Provide for developing assessment strategy information.
•
Operate in some difficult weather conditions (depending on capabilities).
•
Be imposed on GIS products.
•
Cover wide geographical areas.
Summary
Information management supports every aspect of disaster response. The Planning
Section has particular responsibilities relating to collection, management, and
dissemination of information. The planning process is one tool that gathers information
from many different areas of the JFO. The Incident Action Plan and the Situation
Report, prepared by the Planning Section, are two important documents that share
information with the ERT.
Disaster Basics
7-9
Unit 8
General Staff—
Logistics Section
Unit 8
General Staff—Logistics Section
Check Your Knowledge
1.
What is the main purpose of the Logistics
Section?
2. What are the main functions of the two
branches of the Logistics Section at a JFO?
3. Which of the following is not a responsibility of
the Logistics Section?
a.
b.
c.
d.
Facilities
Supplies
Technology support
Mapping services
4. Which branch is responsible for processing
requests for goods and services?
5. Which branch maintains the Help Desk?
Disaster Basics
8-1
Unit 8
General Staff—Logistics Section
Check Your Knowledge
Answers
1. Logistics is primarily responsible for internal support of
operations and services for the JFO/ERT to meet the
needs of the incident or event.
2. Support—Sets up and manages JFO, physically handles
resources and supplies to disaster areas and responsible
for property management and records.
Services—Coordinates and supports all communication
and IT needs at the JFO.
3. Mapping services.
4. Support Branch.
5. Services Branch.
Disaster Basics
8-2
Unit 8
General Staff—Logistics Section
Logistics
FCO
General
Staff
Operations
Section
Planning
Section
Logistics
Section
Finance/
Administration
Section
Overview
Logistics is one of the four General Staff sections under the Incident Commander during
disaster response and recovery operations. Included in this unit are:
•
Logistics Section organization and functions
•
Other support
At the end of this unit, you will be able to:
•
Describe the overall function of Logistics in disaster recovery.
•
Describe the main responsibilities of the Section Chief.
•
Explain the responsibilities of each branch in the Logistics Section.
•
Describe other logistical support available to the ERT.
Disaster Basics
8-3
Unit 8
General Staff—Logistics Section
Logistics Section Organization and Functions
The Logistics Section Chief’s main responsibilities are as follows:
•
Logistics support of disaster operations.
•
Execution of services for the ERT.
•
Management of office environment and staff.
•
Point of Contact for other Sections.
Along with the two Branch Directors, the Chief may have a Deputy, an Administrative
Assistant, and the JFO Help Desk all reporting directly to him or her.
The Logistics Section consists of two branches: Support and Services. The two
branches carry out the following functions:
Coordination
and Planning
•
•
•
•
•
•
Resource
Management
•
•
•
•
Supply/Facilities
•
•
•
•
Disaster Basics
Reviews requests for Mobilization Center support or
services.
Ensures on-time delivery of correct items.
Processes re-supply requests for depleted items.
Restocks supplies.
Coordinates with other FEMA entities, primarily Operations
Section and the RRCC.
Coordinates with other Federal agencies, ESFs, the MAC,
Mobilization Center management, and State logistics
counterparts.
Processes requests for goods and services.
Fills orders in a timely and cost efficient manner.
Has responsibility for property management and record
keeping.
Coordinates with Procurement Group in Finance Section.
Selects, sets up, and manages JFO facility in coordination
with Safety and Security.
Manages supplies and equipment specifically for the JFO,
including print and copy services.
Transports equipment and supplies received for and sent
to recovery areas as well as the JFO.
Performs same functions for JFO satellites.
8-4
Unit 8
General Staff—Logistics Section
Services
•
•
•
•
Is responsible for approval, implementation, and
coordination of all ERT IT resources required to support
the response and recovery effort.
Identifies network and telecommunications needs for JFO
and its satellite operations. Stocks and staffs
appropriately.
Establishes and operates JFO message center and
switchboard help desk.
Is supplemented by MERS IS resources.
Other Logistics Support
At a JFO, the Logistics Section coordinates logistical support for control and
accountability of Federal supplies and equipment. It conducts resource ordering and
delivery, facility setup and operations, information and technology systems, and
services for the ERT or to the JFO facility.
The FEMA Headquarters Logistics Directorate prepares and provides procedures for
other types of logistical support during disaster response and recovery.
Mobile Emergency Response System/Support (MERS) is deployed by the MERS
Operations Section Director in conjunction with the Response or Recovery Directors to
provide logistical and operational support to Federal, State, Tribal, and local agencies.
MERS detachments:
•
Are strategically placed around the country (five units)—Bothell, Washington;
Denver, Colorado; Denton, Texas; Thomasville, Georgia; and Maynard,
Massachusetts.
•
Are self-sufficient and have a stand-alone capacity to support emergency
responders for 10 days.
•
Provide prompt and rapid communications and IT.
There are eight Logistics Centers (LC) that receive, store, and maintain supplies.
They can also issue supplies and equipment to disaster areas.
The Directorate also manages the Pre-Deployed Disaster Supply Program and
maintains the Pre-Positioned Equipment Program.
Disaster Basics
8-5
Unit 8
General Staff—Logistics Section
After a disaster strikes, the FEMA Regional Director may deploy the ERT-A. The
logistical responsibilities of this team are to support assessment activities and establish
a JFO.
Summary
The Logistics Section Chief is primarily responsible for logistical support of operations
and performing services for the ERT. Logistics provides facilities, transportation,
supplies, equipment maintenance and fuel, communications, IT equipment and support,
and some medical services for the ERT. In the first response phase, the Logistics
Section provides other critical needs such as food services. Effective logistics
management ensures reduced costs, appropriate support actions, decreased delivery
times, and improved property accountability.
Disaster Basics
8-6
Unit 9
General Staff—
Finance/Administration
Section
Unit 9
General Staff—Finance/Administration Section
Check Your Knowledge
1.
What is the main function of the
Finance/Administration Section?
2. What are the four units that make up the
Finance/Administration Section at a JFO?
3. Which unit has the responsibility to negotiate
vendor contracts?
4. Which unit is responsible for cost data analysis
for the incident?
5. The Finance/Administration Section is headed by
the ________.
6. Match the letter of the financial term on the left
with the applicable description on the right.
A. Obligation
B. Drawdown
C. Allocation
D. Deobligation
E. Disbursement
____ A payment to liquidate
an obligation.
____ The process of setting
aside funds for a
specific program.
____ A formal reservation of
funds.
____ Process of requesting
and receiving payments
into a grantee’s account.
____ Downward adjustment of
a previously recorded
obligation.
Disaster Basics
9-1
Unit 9
General Staff—Finance/Administration Section
Check Your Knowledge
Answers
1. Finance/Administration is primarily responsible for
financial management, analysis, cost projections, and
tracking of all Federal costs related to the incident.
2. Cost—Performs incident cost analysis and reimburses
FEMA personnel for travel.
Time—Maintains personnel time records.
Procurement—Procures equipment and supply contracts.
Compensation and Claims—Handles employee injury and
compensation claims.
3. Procurement Unit.
4. Cost Unit.
5. Comptroller.
6. E C A B D.
Disaster Basics
9-2
Unit 9
General Staff—Finance/Administration Section
Finance/Administration
FCO
General
Staff
Operations
Section
Planning
Section
Logistics
Section
Finance/
Administration
Section
Overview
The Finance/Administration Section is one of four General Staff sections and functions
under the FCO for financial management and analysis. This unit includes:
•
Section organization and functions
•
Funds control
•
Grants management
•
Financial management
At the end of this unit, you will be able to:
•
Describe the role of the Comptroller.
•
Identify the four units of Finance/Administration Section organization.
•
Describe the primary functions of each unit.
•
List the main steps of the process of disaster relief funding.
Disaster Basics
9-3
Unit 9
General Staff—Finance/Administration Section
Finance/Administration Section Organization and Functions
The Finance/Administration Section can be organized with up to four units, each with a
Unit Leader.
Comptroller
Procurement
Unit
Time
Unit
Cost
Unit
Compensation/
Claims
Unit
The Comptroller is the Senior Financial Advisor to the FCO at a JFO. Once activated,
he or she determines the need for establishing subordinate units. Comptroller
responsibilities include:
• Ensuring all financial decisions are within the scope of established policies and
procedures.
• Making financial recommendations to the FCO and other JFO managers.
• Managing and monitoring financial transactions for all program offices within the
JFO.
The Procurement Unit administers all financial matters pertaining to vendor
contracts, and coordinates with local jurisdictions to prepare and review equipment and
supply contracts. Coordination with the Supply Unit in the Logistics Section is key.
The Time Unit is primarily responsible for proper daily recordings of personnel time.
The Cost Unit provides cost estimates and analysis data for the incident, and
maintains information on the cost of assigned resources. The travel manager is
responsible for the administration of travel reimbursement to FEMA personnel.
The Compensation and Claims Unit handles employee injury and compensation
claims. Personnel from this Unit will ensure that all required paperwork and statements
are completed. Other responsibilities are maintaining files on injuries and illnesses
associated with the incident, and coordinating these efforts with Medical and Safety
personnel.
Disaster Basics
9-4
Unit 9
General Staff—Finance/Administration Section
Funds Allocation and Budget Formulation
The budgeting and funding process for each disaster program or activity begins by
setting aside initial funding during the declaration process. The action of setting aside
funds is called an allocation.
FEMA Headquarters automatically prepares the initial allocation for an emergency or
disaster. The initial allocation provides predetermined amounts for disaster programs
and activities in FEMA’s agency-wide IFMIS.
The initial allocation is intended for short-term use only. Program managers formulate
their budgets by adjusting the initial amounts to fit actual needs and circumstances,
factoring in costs associated with all aspects of their program areas. Most programs
and activities have developed aids for making budget estimates.
Immediately after IFMIS accepts the initial allocation prepared automatically at FEMA
Headquarters, a program office can amend the allocation amounts to reflect the actual
budget. This is done by submitting a document called a Request for Allocation
Advice (RAA).
Note: Amended allocations go through a number of processing steps, so
managers need to submit their RAAs as soon as actual costs are established.
To begin the process, the program office uses NEMIS to complete an RAA Worksheet.
The amended funds are allocated and available for the program after the RAA process
is complete.
Funds Obligation
An obligation formally reserves funds for spending. A commitment is a funding step
that may come before obligation. Commitments authorize obligations based on
documents such as approved requisitions or procurement requests. After funds have
been allocated for a particular program and committed, if required, the funds can be
obligated.
Program managers need to make sure allocations are in place before making
obligations. The Antideficiency Act prohibits managers from making or
authorizing obligations or expenditures under any appropriation or fund in
excess of the funds available.
Disaster Basics
9-5
Unit 9
General Staff—Finance/Administration Section
Grants Management
After a grant is awarded, the program office ensures that the amount of the grant is
allocated, and requests an amended allocation if needed. When the funds become
available, program managers can obligate some or the entire grant amount to the
grantee.
The grant funds remain obligated until the grantee actually spends funds to administer
or perform work under the grant. The amount spent is termed a disbursement, also
termed a payment or expenditure. A disbursement liquidates or reduces some or the
entire obligation amount. Different grant programs use a variety of ways to get funds
to grantees for disbursement.
SMARTLINK is a major disbursement mechanism. SMARTLINK is the system used to
process grants payments to the States through the DHHS computer link with the
Department of the Treasury.
A drawdown is a process used by a State to transfer funds from the FEMA account to
a State account to meet immediate cash needs. States must disburse funds within
3 days after a drawdown from SMARTLINK. SMARTLINK rejects any drawdown that
exceeds the current balance of the State’s program account. If the State draws down
funds in excess of its eligibility, it must return the funds to FEMA.
Financial reports are available through NEMIS, IFMIS, and SMARTLINK to allow
program managers to monitor the status of grant obligations and grantee
disbursements. The Comptroller, Finance/Administration Section, and the Regional
Office work with program managers to identify and access available financial reports.
When reviewing financial reports, program managers should compare amounts spent
to grant program progress reports and follow up to ensure that funds are being spent
as intended. Reports can identify projects within grants that show large obligations
and little or no progress.
Unspent or unliquidated obligations for grants have been a persistent problem cited by
the Office of the Inspector General. Obligated funds that remain unspent for long time
periods are not in accordance with the intent of Congress for the use of grant program
funds. The funds remain in FEMA’s financial system and are unavailable for other
purposes if the grantee fails to spend them.
Excess funds not needed by grantees should be deobligated. A deobligation is a
downward adjustment of an obligation. Funds obligated in a prior fiscal year are
returned to the DRF.
Disaster Basics
9-6
Unit 9
General Staff—Finance/Administration Section
Financial Management
Financial management includes program accountability, reporting, audit, and review.
Program and activity managers meet their financial responsibilities by:
•
Establishing budgets to meet operational needs.
•
Reviewing financial reports to ensure that all funds are accounted for and that
required reports are submitted in a timely manner.
•
Assisting in reconciling financial data to ensure that systems reflect the same
funding information, that funds are accounted for, and that FEMA provided the
State with sufficient funds to meet the Federal share of program costs.
•
Reviewing accounting reports to ensure that grant funds are
allocated/deallocated, obligated/deobligated, and disbursed in a timely manner
and in accordance with the terms of the grant.
•
Monitoring cash disbursements/drawdowns to ensure that funds are disbursed
according to regulations.
•
Ensuring that adequate controls are in place for retention of records.
•
Ensuring that assistance programs are in compliance with FEMA’s auditing
requirements.
The Comptroller is an important partner at the JFO to help program and activity
managers fulfill their financial management responsibilities.
Summary
The Finance/Administration Section is activated when the
agencies involved in incident management need financial
and other administrative support. Until the Section is
activated, the Incident Commander or FCO is responsible
for these functions. The Section is responsible for the
financial management, analysis, cost projections, and
tracking of all Federal costs related to the incident.
Functions include personnel records, cost analysis, contract
negotiating and maintenance, overseeing employee claims
and compensation, and human resources. The Comptroller
is the Section Chief and part of the General Staff.
Disaster Basics
9-7
Unit 10
Course Summary
Unit 10
Course Summary
Congratulations! You have completed all the Check Your Knowledge sections and
each of the units for IS-292, Disaster Basics.
This last unit highlights the key concepts and information presented in the course.
When you have finished this review, you’ll be ready to take the final test and receive
credit for the course.
Start by looking again at the course objectives.
•
List three significant dates in the development of disaster assistance since
1950.
•
Describe the purpose and function of the Stafford Act.
•
Describe the roles of the local, Tribal, State, and Federal governments in
responding to a declared incident.
•
List the steps in the declaration process.
•
Give three examples of assistance available for non-declared incidents.
•
Explain the relationship between the National Incident Management
System (NIMS), the National Response Plan (NRP), and the Incident
Command System (ICS).
•
List three features of ICS.
•
Explain the role and structure of the Command Staff.
•
Explain the role and structure of the General Staff.
•
Explain the purpose and the components of the Incident Action Plan.
•
List the key functions of the Operations, Planning, Logistics, and
Finance/Administration Sections.
•
State the purpose of the Individual Assistance, Public Assistance, and
Hazard Mitigation programs.
If you feel you cannot meet these objectives, take some time and re-read the
appropriate sections of the course.
Disaster Basics
10-1
Unit 10
Course Summary
Conclusion
Disaster assistance programs have evolved continually since 1950. One of the key
points in this evolution was the establishment of FEMA and its authority for managing
disaster recovery. The Stafford Act, passed in 1988, provided for continued disaster
relief and included Individual Assistance, Public Assistance, and Mitigation. It
established cost sharing for the Public Assistance Program.
When an incident occurs, the local, Tribal, State, and Federal governments have specific
roles and responsibilities. The local government is the first line of defense and, if
needed, works in concert with the State. When the resources of these two are
exhausted, a request may be made for Federal assistance.
If the incident receives a Presidential Declaration, a variety of services and grants are
available to the impacted area. Numerous emergency teams are activated in response
to the incident and various Emergency Support Functions are tasked. Certain work is
accomplished through the use of Mission Assignment, a process which utilizes a variety
of Federal agencies to accomplish specific tasks. In the event an incident does not
receive a declaration, some types of aid are still available such as fire suppression
assistance and emergency conservation programs.
When FEMA and other Federal agencies respond to an incident, they are guided by
three key sources:
•
The National Incident Management System (NIMS).
•
The National Response Plan (NRP).
•
The Incident Command System (ICS).
Disaster Basics
10-2
Unit 10
Course Summary
The use of these sources ensures a consistent approach and an efficient response to an
incident. Together they provide the standards, processes, procedures, and structure to
be used by all DHS agencies. NIMS, the NRP, and ICS provide the direction that allows
multiple agencies to work together harmoniously and to achieve maximum
effectiveness.
Under the ICS structure, the Command and
General Staffs work as a team to achieve the
incident objectives set forth in the Incident Action
Plan (IAP). The Command Staff is headed by the
FCO. General Staff sections are headed by
section chiefs. Together they make resource and
strategic decisions based on the objectives to be
met. Span of control and unity of command are
an integral part of ICS.
The four sections of the General Staff are
Operations, Planning, Logistics, and
Finance/Administration. Each has prescribed
responsibilities. Each has well-defined supervisory
positions and sub-structures which can be used
depending on the size of the incident. This helps
maintain accountability on all levels which is another
integral part of ICS.
As you can tell, having completed the course content for
IS-292, providing disaster assistance calls for significant
planning. It also requires clarity of roles and responsibilities,
teamwork, and commitment to common objectives. If these
elements are in place, maximum results are achieved.
Disaster Basics
10-3
Appendices
Appendix A
Glossary/Terminology
Appendix A
Glossary/Terminology
Glossary, Common Terms, and Acronyms
American Red Cross (ARC). A quasi-governmental agency whose mission is to
provide humanitarian assistance during war and disaster. The ARC operates under a
congressional charter and is supported by the public. Internationally, it operates in
accordance with the Treaty of Geneva.
Applicant. An individual, family, State or local government, or private non-profit
organization applying for assistance as a result of a declaration of a major disaster or
emergency.
Applicant Briefings. Meetings for all potential applicants for Public Assistance. The
Governor’s Authorized Representative conducts these meetings, which address
application procedures, administrative requirements, funding, and program eligibility
criteria.
Application Period. Period of time during which individuals and/or small business
owners within a declared area can apply for assistance. This is typically 60 days from
the date of declaration; however, it may be extended in cases of severe disasters.
Automated Construction Estimating (ACE). The computer system used to record
electronically inspection information for real estate and personal property.
Catastrophic Event. Page 43 of the National Response Plan defines this as: any
natural or manmade incident, including terrorism, which results in extraordinary levels
of mass casualties, damage, or disruption severely affecting the population,
infrastructure, environment, economy, national morale, and/or government functions.
A catastrophic event could result in sustained national impacts over a prolonged period
of time; almost immediately exceeds resources normally available to State, local, Tribal,
and private-sector authorities in the impacted area; and significantly interrupts
governmental operations and emergency services to such an extent that national
security could be threatened. All catastrophic events are Incidents of National
Significance.
Community Relations. This part of the Emergency Response Team strives to help
affected individuals and the communities where they live in understanding the relief
process. Community Relations is an information collection and dissemination function
that creates FEMA visibility and establishes confidence that disaster assistance is being
delivered as quickly as possible. Community Relations involves identifying community
and organization leaders, assessing needs, resolving or referring problems, setting
realistic expectations, and building a positive image of people helping people.
Disaster Basics
A-1
Appendix A
Glossary/Terminology
Congressional and Legislative Affairs (CLA). Situated in the External Affairs Office
and provides the FCO with support in dealing with the Congressional delegation,
coordinates with the Regions and with Headquarters, and supervises the Congressional
Member Specialists.
CONUS. Continental United States.
Crisis Counseling (CC). A program under FEMA’s Individual Assistance administered
by the National Institutes of Mental Health. This program provides individual and group
treatment procedures that are designed to improve the mental and emotional crises
and their subsequent psychological and behavioral conditions resulting from a major
disaster or its aftermath.
Damage Assessment. The process of determining the extent of damage and the
amount of loss to individuals, businesses, the public sector, and the community
resulting from a disaster or emergency event.
Declaration. The formal action by the President to make a State eligible for major
disaster or emergency assistance under the Stafford Act.
Deductible. The fixed amount or percentage of any loss covered by insurance that is
borne by the insured prior to the insurer’s liability.
Defense Coordinating Officer (DCO). Supported and provided by the Department
of Defense (DOD) to serve in the field as the point of contact to the FCO and the
Emergency Support Functions (ESFs) regarding requests for military assistance. The
DCO and staff coordinate support and act as liaisons to ESF personnel.
Department of Homeland Security (DHS). Part of the primary mission of DHS is
to prevent terrorist attacks in the United States, reduce the vulnerability of the United
States to terrorism, minimize the damage, and assist in the recovery from terrorist
attacks that do occur in the United States, and ensure that the functions of the
agencies within the department that are not related directly to securing the homeland
are not diminished or neglected. There are four major directorates within DHS: Border
and Transportation Security, Emergency Preparedness and Response, Science and
Technology, and Information Analysis and Infrastructure Protection.
Designation. The action by the Associate Director of the Recovery Division to
determine the type of assistance authorized under the Stafford Act for a particular
declaration and the action by the FEMA Regional Director to determine specifically what
counties, or county equivalents, are eligible for such assistance.
Disaster Assistance Employee (DAE). (See Stafford Act Employee.)
Disaster Basics
A-2
Appendix A
Glossary/Terminology
Disaster Assistance Programs. Programs available to aid disaster victims. Federal
programs fall under Public Assistance Support, Mitigation, and Human Services. Other
agencies, such as the Small Business Administration, also provide disaster assistance
programs.
Disaster Finance Center (DFC). A facility which processes all financial transactions
related to the disaster.
Disaster Finance Division. The Disaster Finance Division provides financial support
and services for FEMA’s Disaster Relief Fund, including disbursements, receivables, debt
collection, and financial statements.
Disaster Information Helpline. A toll-free number (1-800-521-3362) set up for
disaster victims who have already applied for disaster assistance through FEMA or need
general disaster information.
Disaster Information Support Center (DISC). The DISC consolidates, at one
central location, designated Information System (IS) hardware, software, and related
equipment for rapid shipment to support disaster response and recovery requirements
as directed by FEMA authorities.
Disaster Recovery Center (DRC). A temporary facility, established in the disaster
area, where disaster victims can obtain assistance information and apply for assistance.
Disaster Unemployment Assistance (DUA). Financial assistance and/or
reemployment services to individuals who are unemployed as a result of a major
disaster and who are ineligible for regular unemployment assistance (e.g., selfemployed individuals).
Eligible Community. A community for which the Federal Insurance Administrator has
authorized the sale of flood insurance under the National Flood Insurance Program.
Emergency. As defined in the Stafford Act, an emergency is any occasion or instance
for which, in the determination of the President, Federal assistance is needed to
supplement State and local efforts and capabilities to save lives and to protect property
and public health and safety. The Act also includes authority for the President to direct
Federal agencies to provide emergency assistance to save lives and protect property
and public health and safety for emergencies other than natural disasters. The
President may direct the provision of emergency assistance either at the request of a
Governor or upon determination by the President that an emergency exists for which
the primary responsibility for response rests with the United States.
Disaster Basics
A-3
Appendix A
Glossary/Terminology
Emergency Operations Center (EOC). The site from which State and/or local
government officials exercise centralized direction and control in an emergency. The
EOC also serves as a resource center and coordination point for additional field
assistance. It also provides executive directives, interacts with State and Federal
governments, and considers and mandates protective actions.
Emergency Response Team (ERT). An interagency team, consisting of the lead
representative from each Federal department or agency assigned primary responsibility
for an ESF and key members of the FCO’s staff, formed to assist the FCO in carrying out
response coordination responsibilities. The ERT provides a forum for coordinating the
overall Federal response, reporting on the conduct of specific operations, exchanging
information, and resolving issues related to ESF and other response requirements. ERT
members respond and meet as requested by the FCO. The ERT may be expanded by
the FCO to include designated representatives of other Federal departments and
agencies as needed.
Emergency Response Team-Advance Element (ERT-A). The portion of the
Emergency Response Team (ERT) that is the first group deployed to the field to
respond to a disaster incident.
Emergency Response Team-National Element (ERT-N). A national “on-call”
team that is ready to deploy to a large disaster. There are several different ERT-N
teams and one team is on call each month. Each ERT-N has key staff assigned to fill all
critical functions in the Joint Field Office. The primary purpose of the ERT-N is to assist
with the response phase of the disaster operation. The ERT-N transitions the operation
to the Region as soon as the situation has stabilized.
Emergency Support Function (ESF). The functional area of response activity
established to facilitate the delivery of Federal assistance required during the immediate
response phase of a disaster to save lives, protect property and public health, and
maintain public safety. ESFs represent those types of Federal assistance that the State
will most likely need because of the overwhelming impact of a catastrophic or
significant disaster on its own resources and response capabilities or because of the
specialized or unique nature of the assistance required. ESF missions are designed to
supplement State and local response efforts.
Emergency Support Team (EST). Group located at FEMA Headquarters pending
and during disasters and other events to coordinate information to the media and
Congress, provide support to field operations, and assess the need to augment FEMA
regional resources with national assets and personnel from other Federal agencies.
Equal Employment Opportunity (EEO). A policy of equal opportunity and
affirmative action in all aspects of hiring and employment.
Disaster Basics
A-4
Appendix A
Glossary/Terminology
Equal Rights Officer (ERO). Person designated to discuss perceived problems with
employees and to assist employees who believe they have been denied the full benefit
of equal opportunity as it applies to employment and hiring.
External Affairs. (ESF 15) ensures that sufficient assets are deployed to the field to
provide accurate, coordinated, and timely information to affected audiences, including
governments, media, the private sector, and the local populace.
Federal Coordinating Officer (FCO). The senior Federal official appointed by the
President in accordance with the provisions of the Stafford Act to coordinate the overall
response and recovery activities. The FCO represents the President for the purpose of
coordinating the administration of Federal assistance activities in the designated area.
Additionally, the FCO is delegated and performs responsibilities for the FEMA Director as
well as those responsibilities delegated to the FEMA Regional Director.
Federal Emergency Management Agency (FEMA). FEMA is the lead agency in the
Emergency Preparedness and Recovery Directorate of DHS tasked with responding to,
planning for, recovering from, and mitigating against disasters. FEMA is responsible for
the administration of disaster assistance programs.
Federal/State Meeting. A meeting of representatives from all Federal, State, and
voluntary agencies offering programs for people and communities affected by the
disaster.
FEMA-State Agreement. A formal legal document between FEMA and the affected
State outlining the understandings, commitments, and binding conditions for assistance
applicable as the result of the major disaster or emergency declared by the President.
It is signed by the FEMA Regional Director, or designee, and the Governor.
Flood Insurance. Insurance coverage provided under the National Flood Insurance
Program.
Governor’s Authorized Representative (GAR). The person empowered by the
Governor in the FEMA/State Agreement to execute, on behalf of the State, all necessary
documents for disaster assistance and to evaluate and transmit local government,
eligible private non-profit facility, and State agency requests for assistance to the FEMA
Regional Director following a major disaster or emergency declaration.
Hazard Mitigation (HM)(Mit). Any measure that will reduce or eliminate the long-
term risk to life and property from a disaster event. Mitigation is the FEMA department
that assists States, communities, and individuals with information and, if applicants are
eligible, provides funds to protect their communities and homes from future damage.
Disaster Basics
A-5
Appendix A
Glossary/Terminology
Helpline. A toll-free number, 1-800-621-3362, set up for disaster victims who have
already applied for disaster assistance through FEMA or who need general disaster
information.
Home Repairs. Disaster loans or grants may be made available to homeowners to
repair or replace homes damaged by the disaster. Home Repair Assistance is money to
restore essential living areas to a habitable condition. The amount of the check is
based on damages incurred, as determined by a FEMA inspection.
Housing Assistance (HA). FEMA administers the HA Program. If the applicant does
not have insurance to cover temporary living expenses, then HA may provide funds for
rental assistance to homeowners and renters whose homes have been damaged so
severely that they cannot or should not be lived in. Homeowners may also receive
money to repair their homes in order to make them safe, sanitary, and secure to live in.
HA includes the mobile home program, and minimal repairs.
Incident Command System (ICS). A combination of facilities, equipment,
personnel, procedures, and communications, operating within a common organizational
structure, with responsibility for managing assigned resources to effectively direct and
control the response to an incident. Intended to expand or contract as a situation
requires, without requiring a new, reorganized command structure.
Incident Period. The time interval stated in the FEMA/State Agreement during which
a disaster-causing incident occurs. The incident period may be extended due to
cascading effects or long-term recurrence of the same disaster.
Individual and Households Program (IHP). Federal assistance provided to
families or individuals following a disaster or emergency declaration. Under a major
disaster declaration, assistance to individuals and families is available through grants,
loans, and other services offered by various Federal, State, local, and voluntary
agencies.
Individual Assistance (IA). This includes those services and programs that benefit
individuals, households, businesses, and farmers. FEMA’s Individual Assistance
programs include “Assistance to Individuals and Households” (providing for housing
assistance and other needs), crisis counseling, legal services, disaster unemployment
assistance, and referrals to other appropriate forms of aid. Other Federal agencies’
Individual Assistance programs include: tax refund assistance (Internal Revenue
Service), disaster loans (the Small Business Administration and Farm Service Agency),
veterans’ assistance (Veterans Affairs), and health and social security recipients’
assistance (Health and Human Services).
Disaster Basics
A-6
Appendix A
Glossary/Terminology
Joint Field Office (JFO). The office established in or near the designated area to
support Federal and State response and recovery operations. The JFO houses the FCO,
the ERT, the State Coordinating Officer (SCO), and support staff.
Joint Information Center (JIC). A central point of contact for all news media at the
scene of an extraordinary situation. News media representatives are kept informed of
activities and events via public information officials who represent all participating
Federal, State, and local agencies and who are collocated at the JIC.
Local Hire (LH). A person who is working within the disaster area and who has been
hired locally as a temporary FEMA employee.
Major Disaster. Any natural catastrophe (including any hurricane, tornado, storm,
high water, wind-driven water, tidal wave, tsunami, earthquake, volcanic eruption,
landslide, mudslide, snowstorm, or drought) or, regardless of cause, any fire, flood, or
explosion in any part of the United States that, in the determination of the President,
causes damage of sufficient severity and magnitude to warrant major disaster
assistance under the Stafford Act to supplement the efforts and available resources of
States, local governments, and disaster relief organizations in alleviating the damage,
loss, hardship, or suffering caused thereby.
Mitigation. (See Hazard Mitigation.)
Mobile Emergency Response Support (MERS) Detachments. Provide
operational, logistical, and information systems support to the Joint Field Office and
other emergency responses.
Mobile Home Assistance. FEMA may provide short-term rental or purchase of
mobile homes or trailers to families or individuals who are eligible.
National Flood Insurance Program (NFIP). The Federal program, created by an
act of Congress in 1968, that makes flood insurance available in communities that enact
satisfactory floodplain management regulations.
National Incident Management System (NIMS). A comprehensive, national
approach to incident management that is applicable to all jurisdictional levels and
across disciplines. The intent of NIMS is to:
•
Be applicable across a full spectrum of potential incidents and hazard scenarios,
regardless of size or complexity.
•
Improve coordination and cooperation between public and private entities in a
variety of domestic incident management activities.
Disaster Basics
A-7
Appendix A
Glossary/Terminology
National Processing Services Center (NPSC). The National Processing Services
Center (NPSC) is responsible for processing registrations for assistance that have been
filed by individuals affected by a disaster. This includes:
•
Gathering and reviewing information in order to consider the eligibility of
applicants who have been referred to the Disaster Housing Assistance program.
•
Responding to the questions, concerns, and issues of those who have been
referred to the Disaster Housing Assistance program.
•
Maintaining records for individuals who have been referred to the SBA.
•
Maintaining records for applicants who have been referred to the Individual and
Households Program along with various other Federal, State, local, and voluntary
agencies engaged in providing assistance to those individuals affected by a
disaster.
National Response Plan (NRP). The National Response Plan (NRP) is an all-
discipline, all-hazards plan that establishes a single, comprehensive framework for the
management of domestic incidents. It provides the structure and mechanisms for the
coordination of Federal support to State, local, and Tribal incident managers and for
exercising direct Federal authorities and responsibilities.
National Teleregistration Center (NTC). Promotes a nationwide toll-free telephone
number (1-800-621-FEMA) or (1-800-621-3362) that applicants can use to apply for
disaster assistance.
Other Needs Assistance (ONA). Individual assistance program intended to meet the
necessary expenses and serious needs of disaster victims. ONA operates within
established grant limits that are funded through a 75% Federal/25% State cost share.
Participating Community. A community in which the administrator has authorized
the sale of flood insurance. (See also Eligible Community.)
Permanent Full-Time (PFT). Permanent full-time FEMA employee.
Preliminary Damage Assessment (PDA). The damage assessment performed by
Federal, State, and local representatives in disaster situations clearly beyond the
recovery capabilities of State and local governments. PDAs are used to determine the
extent of damage caused by the incident. Generally, PDAs are performed following an
event but before a declaration. In the case of catastrophic events, however, the PDAs
may be completed after the declaration.
Disaster Basics
A-8
Appendix A
Glossary/Terminology
Preparedness. Those activities, programs, and systems that exist before an
emergency and that are used to support and enhance response to an emergency or
disaster.
Project Worksheet (PW). Identifies the eligible work under the Public Assistance
Program and prepares a quantitative estimate for that work. Synonymous with the
term “Damage Survey Report”.
Public Affairs. (See External Affairs.)
Public Assistance (PA). Under a major disaster declaration, Public Assistance may
be approved to fund a variety of projects, including:
•
Debris clearance, when in the public interest, on public or private lands or
waters.
•
Emergency protective measures for the preservation of life and property.
•
Repair or replacement of public roads, streets, and bridges.
•
Repair or replacement of public water control facilities (dikes, levees, irrigation
works, and drainage facilities).
•
Repair or replacement of public buildings, utilities, and related equipment.
•
Repair or restoration of public recreational facilities and parks.
Recovery. Activities traditionally associated with providing Federal supplemental
disaster recovery assistance under a disaster declaration. These activities usually begin
within days after the event and continue after the response activities cease. Recovery
includes individual and public assistance programs that provide temporary housing
assistance, grants, and loans to eligible individuals and government entities to recover
from the effects of a disaster.
Recovery Centers. (See Disaster Recovery Centers.)
Region (and Regional Office). One of 10 geographic areas of responsibility. Each
has a central Regional Office.
Regional Director. The Director of one of FEMA’s 10 regional offices and principal
representative for working with other Federal Regions, State and local governments,
and the private sector in that jurisdiction.
Disaster Basics
A-9
Appendix A
Glossary/Terminology
Regional Response Coordination Center (RRCC). The temporary operations
facility for the coordination of Federal response activities until the JFO becomes
operational. Coordination of operations shifts to the State EOC upon arrival of the ERTA at that location. From that time forward, the RRCC performs a support role for
Federal staff at the disaster scene.
Reservist. (See Stafford Act Employee.)
Response. Activities to address the immediate and short-term effects of an
emergency or disaster. Response includes immediate actions to save lives, protect
property, and meet basic human needs. Based on the requirements of the situation,
response assistance will be provided to an affected State under the NRP using a partial
activation of selected ESFs or the full activation of all ESFs to meet the needs of the
situation.
Situation Report (SITREP). A summary of the disaster situation, status of
operations, and identification of future priorities for response and recovery operations.
Small Business Administration (SBA). The SBA lends money to homeowners and
renters at low interest rates to repair or replace homes and/or personal belongings not
covered by insurance. The SBA also offers low-interest business loans to qualifying
businesses and non-profit organizations that suffered physical and/or economic injury
damages/losses not covered by insurance.
Social Security Benefit Assistance. The Social Security Administration Regional
Commissioner provides staff support to process Social Security claims, provide advice
and assistance in regard to regular and survivor benefits payable through Social
Security programs, process disaster-related death certificates, resolve problems
involving lost/destroyed Social Security checks, make address changes, and replace
Social Security cards.
Stafford Act. Robert T. Stafford Disaster Relief and Emergency Assistance Act,
PL 100-707, signed into law November 23, 1988; amended the Disaster Relief Act of
1974, PL 93-288. A Federal statute designed to supplement the efforts of the affected
States and local governments in expediting the rendering of assistance, emergency
services, and the reconstruction and rehabilitation of devastated areas.
Stafford Act Employees (SAE). This term refers to the Reservists, CORE, and local
hire personnel working within a disaster area. Also known as DAEs (Disaster Assistance
Employees).
Standard Operating Procedures (SOPs). A set of instructions having the force of a
directive and covering, without loss of effectiveness, those features of operations that
lend themselves to a definite or standardized procedure.
Disaster Basics
A-10
Appendix A
Glossary/Terminology
State Coordinating Officer (SCO). The person appointed by the Governor to act in
cooperation with the FCO to administer disaster recovery efforts.
Veterans Benefit Assistance. The Department of Veterans Affairs (VA) provides a
variety of disaster assistance specifically targeted to veterans and their survivors.
These benefits include medical assistance; burial assistance; priority in acquiring VAowned properties; health care supplies and equipment; prescription medications, and
other medical items; and temporary use of housing units owned by the VA.
Voluntary Agency (VOLAG). Any chartered or otherwise duly recognized tax-exempt
local, State, or national organization or group that has provided or may provide needed
services to the States, local governments, or individuals in coping with an emergency or
a major disaster.
Volunteer Organizations Active in Disasters (VOAD). The organization that
brings together State voluntary organizations. Its purpose is to foster more effective
cooperation, coordination, and communication between volunteer agencies and State
and local governments.
Disaster Basics
A-11
Appendix B
Federal Emergency Teams
Appendix B
Federal Emergency Teams
•
Damage Assessment Teams
•
Disaster Medical Assistance Teams (DMATs)
•
Disaster Mortuary Operational Response Teams (DMORTs)
•
DOL/OSHA’s Specialized Response Teams
•
Donations Coordination Teams (DCT)
•
Emergency Response Team—Advance Element (ERT-A)
•
Emergency Response Team—National Element (ERT-N)
•
Emergency Response Team (ERT)
•
Federal Incident Response Support Team (FIRST)
•
Federal Type 1 and Type 2 Incident Management Teams (IMTs)
•
HHS Secretary’s Emergency Response Team
•
National Medical Response Teams (NMRTs)
•
Nuclear Incident Response Team (NIRT)
•
Preliminary Damage Assessment (PDA)
•
Rapid Needs Assessment (RNA)
•
Regional Support Team (RST)
•
Scientific and Technical Advisory and Response Teams (STARTs)
•
Urban Search and Rescue (US&R) task forces
•
US&R Incident Support Teams
•
Veterinarian Medical Assistance Teams (VMATs)
Disaster Basics
B-1
Disaster Basics Final Exam – IS 292
1. The year 1988 is significant as the year FEMA was officially established.
a. True.
b. False.
2. Which one of the following best describes the main purpose of the
Stafford Act:
a. To establish procedures for State, local and Federal disaster
recovery activities.
b. To establish authority for FEMA’s managerial role in disaster
assistance.
c. To provide guidelines and regulations for Public Assistance
programs.
d. To give a management and operating structure for disasters and
emergencies.
3. Three
are:
a.
b.
c.
d.
key sources of guidance for the Department of Homeland Security
4. Funds
a.
b.
c.
d.
obligation:
Authorizes funds for commitments based on requisition documents.
Must be in place before making allocations.
Formally reserves funds for spending.
Sets aside initial funding for disaster recovery programs.
NIMS, 44CFR, ICS.
NRP, NIMS, ICS.
44 CFR, NRP, Stafford Act.
NRP, ICS, 2000 Disaster Mitigation Act.
5. The initial, primary responsibility for emergency management, response
coordination, and protecting citizens belongs to state governments.
a. True.
b. False.
6. FEMA is involved in emergency management before, during, and after a
Presidential declaration.
a. True.
b. False.
Rev. 2/7/2007
7. Which of the following is available Federal assistance, regardless of
declaration status?
a. Temporary housing.
b. Emergency conservation.
c. Debris removal.
d. Emergency Services reimbursement.
8. What must happen before the President declares a disaster?
a. The State must run out of resources.
b. The FEMA Regional Director and the FEMA Director meet and
review the affected areas.
c. The State governor must request assistance
d. Local officials petition for a declaration.
9. NIMS brings together a variety of emergency plans and merges them into
a single comprehensive set of procedures.
a. True.
b. False.
10. Which of the following is a primary feature of the Incident Command
System (ICS):
a. Applies only to large incidents.
b. Allows for flexibility.
c. Certifies people to perform specific jobs.
d. Standardizes procedures.
11. The National Response Plan (NRP)
a. Provides loans and grants to states and local governments.
b. Groups types of Federal assistance under 15 Emergency Support
Functions.
c. Designates only primary agency for each ESF.
d. Applies to only natural hazards.
12. FEMA’s national roster of response personnel deployed to high-visibility/
impact incidents is the:
a. ERT-A.
b. EST.
c. ERT.
d. ERT-N.
Rev. 2/7/2007
13. The Emergency Response Team (ERT) :
a. Is located at the Regional Response Coordination Center(RRCC).
b. Is located at FEMA Headquarters.
c. Is located at the Joint Field Office (JFO).
d. Is located at the Disaster Recovery Center (DRC) .
14. Which facility is established by logistics to receive and dispatch response
personnel and resources?
a. Disaster Recovery Center (DRC)
b. National Response Coordination Center (NRCC)
c. Mobilization Center
d. Camps
15. Emergency Support Functions are sub-functions of FEMA, designed to
assist in disaster response and recovery efforts.
a. True.
b. False.
16. ESF-5 is:
a. Transportation.
b. Emergency Management.
c. Information and Planning.
d. Energy.
17. Which of the following is part of the Command Staff?
a. Comptroller.
b. Operations Section Chief.
c. Safety Officer.
d. Human Services Branch Director.
18. The Time Unit:
a. Ensures proper recording of personnel time.
b. Monitors time sensitive grant spending.
c. Sets the operational period.
d. Sets the “end date” of the incident period.
19. The Principal Federal Official (PFO) is designated on what type of
incident?
a. A localized hazardous material incident.
b. Events that encompass several counties such as a tornado.
c. Incidents of National Significance.
d. All events regardless of size and type of hazard.
Rev. 2/7/2007
20. The Liaison Officer:
a. Is the FCO’s point of contact for the General Staff.
b. Is the FEMA point of contact for other agencies within the JFO.
c. Negotiates contracts for outside vendors for supply and equipment
contracts.
d. Is the FEMA point of contact for other agencies outside the JFO.
21. The Safety Officer does not ensure employee safety in the field, but only
at the JFO.
a. True.
b. False.
22. The Operations Section does not include which of the following:
a. U.S. Army Corps of Engineers grants.
b. Hazard Mitigation.
c. Individual Household Program.
d. Public Assistance.
23. The purpose of the Operations Section is to establish recovery centers,
order resources, and use Mission Assignments to complete work.
a. True.
b. False.
24. The State solely operates Disaster Recovery Centers:
a. True.
b. False.
25. The last type of assistance in the Individual Assistance sequence of
delivery is:
a. Cora Brown fund.
b. SBA loans.
c. Individuals and Households Program.
d. Emergency assistance from volunteer organizations.
26. The four criteria for project eligibility are:
a. Cost, Work, Applicant, Facility.
b. Cost, Location, Applicant, Special Considerations.
c. Scope, Applicant, Facility, Location.
d. Declaration, Location, Special Considerations, Work.
27. The State can request Technical Assistance under Mission Assignments
and is 100 percent federally funded.
a. True.
b. False.
Rev. 2/7/2007
28. Public Assistance grants are awarded only to State government and
certain non-profit organizations.
a. True.
b. False.
29. The Incident Action Plan should be coordinated with all ERT elements
and functions.
a. True.
b. False.
30. Non-compliance with Special Considerations requirements can result in:
a. Congressional review.
b. Public EPA hearings.
c. Required validation of projects.
d. Legal action.
Rev. 2/7/2007
31. Which of the following is true of Mission Assignment:
a. Mission Assignments are coordinated by the PAC.
b. Individuals tasked with a Mission Assignment are assigned to work
at FEMA Headquarters.
c. There are three types of Mission Assignment.
d. Direct Federal Assistance Mission Assignment is available in pre and
post incident phases.
32. An example of Emergency Services is:
a. Elevation of structures.
b. Bridge repairs.
c. Disaster loans.
d. Hazardous materials response.
33. State officials are responsible for requesting Mission Assignments.
a. True.
b. False.
34. An example of Individual Assistance is:
a. Housing repairs.
b. Evacuation planning.
c. Hurricane shutters.
d. Debris clearance.
35. An example of Public Assistance disaster assistance is:
a. Disaster loans.
b. Road repairs.
c. Vegetation management.
d. Housing repairs.
36. An example of Mitigation is:
a. Acquisition of structures.
b. Search and rescue program.
c. Debris removal.
d. Road and bridge repairs.
37. The National Processing Service Centers (NPSCs) provides:
a. Public Assistance Grants.
b. Kickoff meeting information.
c. Helpline Services.
d. Mitigation Advisory Services.
Rev. 2/7/2007
38. Which of the following is part of the Planning Section:
a. Mobilization Unit.
b. Status Unit.
c. Documentation Unit.
d. Supply Unit.
39. As part of the planning process, the Incident Action Plan:
a. Is evaluated before it is distributed for implementation.
b. Is developed by the Operations Section Chief.
c. Is evaluated during the operational period.
d. Contains only long term objectives for the disaster recovery
program.
40. The first step in the planning process is:
a. Establish incident objectives.
b. Conduct the planning meeting.
c. Assess the incident.
d. Implement the plan.
41. Technical Specialists assigned to the Planning Section:
a. Provide expertise in a narrow aspect of Planning areas.
b. Operate specialized field equipment for program areas.
c. Are only used for IT support.
d. Provide expertise in many aspects of emergency management.
42. The Documentation Unit tracks employee time and payroll.
a. True.
b. False.
43. Logistical Section Chief has the primary responsibility of the:
a. Supplies and services for supporting the disaster operations.
b. Implementation of Operational Objectives.
c. Management of human resources.
d. Demobilization of all expendable commodities.
44. The Information Services:
a. collects and disseminates information for the ERT.
b. provides expertise in many areas of emergency management.
c. collects and disseminates information for the public.
d. coordinates IT resources for the ERT and JFO satellites.
Rev. 2/7/2007
45. Logistics has specific disaster recovery responsibilities only after the
JFO is established.
a. True.
b. False.
46. MERS detachments:
a. Have enough supplies to support the entire JFO.
b. Are located in 5 of the 10 FEMA Regions.
c. Provide all communication and IT support required by the JFO.
d. Can issue all equipment needed to set up a DRC.
47. The Logistics Section provides:
a. Cost Analysis of disaster expenses.
b. Training.
c. Transportation to lodging.
d. Printing and copying services.
48. The Finance/ Administration Section does not administer first aid to JFO
employees, even though it handles their claims for on the job injuries.
a. True.
b. False.
49. The Finance/ Administration Section is led by the:
a. Human Resources Lead.
b. Treasurer.
c. Chief of Staff.
d. Comptroller.
50. The four units of the Finance/ Administration Section are:
a. Procurement, Time, Cost, Compensation/ Claims.
b. Procurement, Acquisition, Time, Claims.
c. Time, Budget, Funds, Allocation.
d. Funds Management, Time, Human Resources, Compensation.
Rev. 2/7/2007