Congressional Research Service ˜ The Library of Congress
CRS Report for Congress
Received through the CRS Web
Order Code RL33729
Federal Emergency Management Policy Changes
After Hurricane Katrina: A Summary of
Statutory Provisions
November 15, 2006
Keith Bea, Coordinator
Specialist, American National Government
Government and Finance Division
Elaine Halchin, Henry Hogue, Frederick Kaiser, Natalie Love,
Francis X. McCarthy, Shawn Reese, Barbara Schwemle
Government and Finance Division
Federal Emergency Management Policy Changes After
Hurricane Katrina: A Summary of Statutory Provisions
Summary
Reports issued by committees of the 109th Congress, the White House, federal
offices of Inspector General, and the Government Accountability Office ( GAO),
among others, concluded that the losses caused by Hurricane Katrina and other
disasters were due, in part, to deficiencies such as questionable leadership decisions
and capabilities, organizational failures, overwhelmed preparation and
communication systems, and inadequate statutory authorities. From these
conclusions the 109th Congress revised federal emergency management policies
vested in the President; reorganized the Federal Emergency Management Agency
( FEMA); and enhanced and clarified the mission, functions, and authorities of the
agency, as well as those of its parent, the Department of Homeland Security ( DHS).
Six statutes enacted by the 109th Congress are notable in that they contain
changes that apply to future federal emergency management actions. These public
laws include the following:
! Title VI of P. L. 109- 295 ( H. R. 5441), the Post- Katrina Emergency
Management Reform Act of 2006, referred to in this report as the
Post- Katrina Act;
! Sections of P. L. 109- 347 ( H. R. 4954), the Security and
Accountability for Every Port Act of 2005, known as the SAFE Port
Act;
! P. L. 109- 308 ( H. R. 3858), the Pets Evacuation and Transportation
Standards Act of 2006;
! P. L. 109- 63 ( H. R. 3650), the Federal Judiciary Emergency Special
Sessions Act of 2005;
! P. L. 109- 67 ( H. R. 3668), the Student Grant Hurricane and Disaster
Relief Act; and
! Sections of P. L. 109- 364 ( H. R. 5122), the John Warner National
Defense Authorization Act for Fiscal Year 2007.
Most of these statutes contain relatively few changes to federal authorities related to
emergencies and disasters. The Post- Katrina Act, however, contains many changes
that will have long- term consequences for FEMA and other federal entities. That
statute reorganizes FEMA, expands its statutory authority, and imposes new
conditions and requirements on the operations of the agency.
In addition to the public laws noted above, Congress enacted supplemental
appropriations, one- time waivers of requirements, and temporary extensions solely
associated with Hurricanes Katrina, Rita, and Wilma. This report does not address
such measures as they do not carry long- term implications for federal emergency
management. This report will be updated as developments warrant.
Contents
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Report Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Report Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Emergency Management Organizations and Functions . . . . . . . . . . . . . . . . . . . . . 4
Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
The New FEMA: Organization and Mission . . . . . . . . . . . . . . . . . . . . . . . . 6
The New FEMA Components . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
The New FEMA Missions ( Generally) . . . . . . . . . . . . . . . . . . . . . . . . . 7
Administrative Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Disaster Response . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Disaster Recovery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
National Disaster Housing Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Continuity of Government and Operations . . . . . . . . . . . . . . . . . . . . . 11
FEMA Sub- Units and Missions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Other DHS Entities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Effective Date for Organizational Changes . . . . . . . . . . . . . . . . . . . . . . . . . 15
Emergency Management Leadership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Leadership Positions Under the Post- Katrina Act . . . . . . . . . . . . . . . . 16
Abolished Positions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
New Positions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Changes to Existing Positions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
Qualifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
Personnel and Workforce . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Strategic Human Capital Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Career Paths . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Recruitment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Retention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Vacancy Rate Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Department Rotation Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Surge Capacity Force . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
National Preparedness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
National Preparedness System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
National Planning Scenarios . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
Target Capabilities and Preparedness Priorities . . . . . . . . . . . . . . . . . . 32
Preparedness Grants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
Federal Preparedness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
Evacuations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
Education and Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
Education and Training Institutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
Homeland Security Training and Exercise Programs . . . . . . . . . . . . . . . . . 36
Homeland Security Education Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
Equipment and Training Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
Stafford Act Assistance Amendments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
Expedited Federal Assistance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
Aid to Individuals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
Housing Assistance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
Public Assistance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
Grants and Loans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
Pilot Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
Mutual Aid . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
Hazard Mitigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
Administrative Changes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
Pets and Service Animals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
Procurement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
Advance Contracting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
Subcontracting Tiers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
Using Local Firms, Organizations, and Individuals . . . . . . . . . . . . . . . . . . . 46
Noncompetitive Contracts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
Contractor Registry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
Oversight and Accountability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
Oversight and Accountability of Federal Disaster Expenditures . . . . . . . . . 48
Fraud, Waste, and Abuse Controls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
Fraud Prevention Training Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
Report and Guideline Development Schedule . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
FEMA Requirement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
DHS Secretary Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
FEMA Administrator Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . 50
Federal Communications Commission Requirement . . . . . . . . . . . . . 52
Other Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
Effective Date . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
Authorizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
National Weather Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
Education Grants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
Federal Judiciary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
National Guard . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
Firearms Seizure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
Acronyms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
List of Tables
Table 1. Statutory Changes to Emergency Management Leadership
Positions Under P. L. 109- 295 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
1 P. L. 109- 295, H. R. 5441.
2 P. L. 107- 296, 116 Stat. 2140- 2321, as amended, 6 U. S. C. 101 et seq.
3 P. L. 93- 288, 88 Stat. 143- 164, as amended, 42 U. S. C. 5121 et seq.
4 In addition to the listed statutes, Congress also enacted H. R. 4979, the Local Community
Recovery Act of 2006 ( P. L. 109- 218). Congress included in the Post- Katrina Act the text
of the changes made by P. L. 109- 218 as an amendment to Section 307( a)( 3) of the Robert
T. Stafford Disaster Relief and Emergency Assistance Act.
Federal Emergency Management Policy
Changes After Hurricane Katrina: A
Summary of Statutory Provisions
Overview
Hurricane Katrina struck Florida and the Gulf Coast states in the last days of
August 2005, followed within weeks by Hurricanes Rita and Wilma. These disasters
will long be remembered for disrupting families, changing and ending lives, and
forcing Americans to rethink vulnerability and risk assumptions. In addition to these
impacts, the hurricanes served as catalysts for significant changes in federal policy
and the organization of responsible federal entities, notably within the Department
of Homeland Security ( DHS).
Most of those changes were included in Title VI of the DHS appropriations
legislation for FY2007.1 Among other provisions, Title VI, officially titled the “ Post-
Katrina Emergency Management Reform Act of 2006” ( hereafter referred to as the
Post- Katrina Act), established new leadership positions and position requirements
within the Federal Emergency Management Agency ( FEMA), brought new missions
into FEMA and restored some that had previously been removed, and enhanced the
agency’s authority by directing the FEMA Administrator to undertake a broad range
of activities before and after disasters occur. The Post- Katrina Act contains
provisions that set out new law, amend the Homeland Security Act ( HSA), 2 and
modify the Robert T. Stafford Disaster Relief and Emergency Assistance Act ( the
Stafford Act). 3
In addition to the Post- Katrina Act, Congress enacted five other statutes that
have long- term implications for the administration of federal emergency policies. 4
These include:
! Sections of P. L. 109- 347 ( H. R. 4954), the Security and
Accountability for Every Port Act of 2005, known as the SAFE Port
Act;
CRS- 2
5 To address the needs of the disaster victims, Congress enacted legislation within weeks of
the disasters to provide: supplemental appropriations ( P. L. 109- 61 — H. R. 3645 and P. L.
109- 62 — H. R. 3673), higher levels of borrowing for the federal flood insurance program
( P. L. 109- 65 — H. R. 3669), increased benefits to low- income families ( P. L. 109- 68 — H. R.
3672), expanded loans to stricken communities ( P. L. 109- 88 — S. 1858), and other benefits
intended to provide immediate assistance to victims and their communities. For information
on such provisions see, CRS Report RS22239, Emergency Supplemental Appropriations for
Hurricane Katrina Relief, by Keith Bea; CRS Report RS22246, Temporary Assistance for
Needy Families ( TANF): Its Role in Response to the Effects of Hurricane Katrina, by Gene
Falk; CRS Report RS22344, The Gulf Opportunity Zone Act of 2000, by Erika Lunder; and
CRS Report RL33174, FEMA’s Community Disaster Loan Program, by Nonna A. Noto and
Steven Maguire.
6 See CRS Report RL32594, Public Safety Communications Policy and CRS Report
RL32939, An Emergency Communications Safety Net: Integrating 911 and Other Services,
both reports authored by Linda K. Moore.
! P. L. 109- 308 ( H. R. 3858), the Pets Evacuation and Transportation
Standards Act of 2006;
! P. L. 109- 63 ( H. R. 3650), the Federal Judiciary Emergency Special
Sessions Act of 2005;
! P. L. 109- 67 ( H. R. 3668), the Student Grant Hurricane and Disaster
Relief Act; and
! Sections of P. L. 109- 364 ( H. R. 5122), the John Warner National
Defense Authorization Act for Fiscal Year 2007.
Through these enactments the 109th Congress acted on findings and conclusions
reached by House and Senate investigators, White House staff, offices of federal
Inspectors General ( especially those published by the DHS office) and the
Government Accountability Office ( GAO), among others, who evaluated the
consequences of and response to Hurricane Katrina. The investigators and their
studies presented findings on major shortcomings, and most urged a reconsideration
of existing policies and practices. This CRS report summarizes information on the
emergency management modifications adopted by Congress in response to the
widespread calls for change.
Report Limitations. This report summarizes provisions from legislation
enacted by the 109th Congress with regard to federal emergency management
authorities. The report does not cover all public laws enacted by the 109th Congress
in response to Hurricanes Katrina, Rita, and Wilma. Information on legislation that
provided funds, extended benefits, or authorized temporary waivers of statutory or
administrative requirements solely for the victims of Hurricane Katrina or other
specific disasters is available elsewhere. 5 The focus here is on far- reaching and
potentially permanent change in federal approaches to emergency management.
Also, the emergency communications provisions in the Post- Katrina Act ( Subtitle D,
cited as the “ 21st Century Communications Act of 2006”) are not summarized in this
report. 6
CRS- 3
7 For more information on the Stafford Act see, CRS Report RL33053, Federal Stafford Act
Disaster Assistance: Presidential Declarations, Eligible Activities, and Funding, by Keith
Bea.
The content of this report is limited to congressional action. The Bush
Administration has taken steps since Hurricane Katrina to revise practices and
policies. For example, the framework that guides federal agency activities after a
major disaster, the National Response Plan, is under review. Preparation for other
hazards, notably a pandemic influenza outbreak, continues. Officials, and their
leadership duties, have been reconsidered and replaced or reassigned. This report
does not reference such administrative actions.
This CRS report is not analytical; its sole purpose is to summarize selected
provisions of legislation enacted during the 109th Congress. In order to provide some
context, the report does include background information on the relevant policy areas.
Report Organization. This report comprises ten sections, as follows:
! the location and status of FEMA and the scope of the agency’s
authorities;
! the capabilities, responsibilities, and requirements associated with
leadership positions;
! modifications to the statutory provisions relevant to the workforce
charged with implementing emergency management policies;
! changes in national preparedness system components and
requirements ( those not specifically included in FEMA’s mission);
! new emergency management education and training requirements
and authorities;
! amendments to the Robert T. Stafford Disaster Relief and
Emergency Assistance Act ( the Stafford Act) that provide additional
or modified assistance authority to the President; 7
! changes in procedures governing federal contracting and
procurement;
! oversight and review requirements that are expected to reduce fraud
and waste practices in emergency response;
! requirements for the production of reports and guidelines; and
! miscellaneous provisions.
CRS- 4
8 By Henry Hogue, Francis X. McCarthy, and Keith Bea of the Government and Finance
Division.
9 For information about the history of the organization of federal emergency management
functions, see CRS Report RL33369, Federal Emergency Management and Homeland
Security Organization: Historical Developments and Legislative Options, by Henry B.
Hogue and Keith Bea. For a summary of FEMA’s CEM mission and the agency’s
underlying authorities as of February 2000, see CRS Report RS20272, FEMA’s Mission:
Policy Directives for the Federal Emergency Management Agency, by Keith Bea.
10 Patrick S. Roberts, “ FEMA and the Prospects for Reputation- Based Autonomy,” Studies
in American Political Development, v. 20, Spring 2006: 75. See also discussion of
organizational changes, pages 75- 78.
11 FEMA’s responsibility for carrying out the CEM concept was established in HSA Sec.
507, 116 Stat. 2214. The terrorism- related preparedness responsibilities carried out by
FEMA prior to enactment of the HSA were transferred to the Office for Domestic
Preparedness within BTS in 6 U. S. C. 238( c)( 8).
Emergency Management Organizations
and Functions
Background8
Since 1979, when the agency was first established, FEMA has been charged
with carrying out activities that enable the federal, state, and local governments to
address a broad spectrum of emergency management functions. In carrying out its
mission, FEMA has ( 1) funded and coordinated emergency preparedness activities,
( 2) provided and coordinated immediate federal response to save lives and property,
( 3) funded the reconstruction of damaged homes and infrastructure to help stricken
families and communities recover, and ( 4) supported hazard mitigation activities to
ensure that future disasters do not recur, or are less destructive in the future. These
four elements of preparedness, response, recovery, and hazard mitigation constitute
what has been generally referred to as the comprehensive emergency management
( CEM) system.
As a small independent agency from 1979 through 2000, FEMA exercised
responsibility for federal implementation of the CEM concept. For part of that time,
from 1993 through 2000, agency officials also used those concepts to organize the
agency. 9 Beginning in the spring of 2001 ( before the September terrorist attacks),
the Bush Administration reorganized FEMA reportedly to take “ the agency in a new
direction by refocusing its efforts on civil defense and counterterrorism.” 10 After the
terrorist attacks, through enactment of the Homeland Security Act of 2002 ( HSA),
the 107th Congress and the Bush Administration continued the reorganization of the
agency by divesting it of certain CEM responsibilities. Of particular relevance to this
examination, the HSA transferred emergency preparedness functions related to
terrorism from FEMA to the Border and Transportation Security ( BTS) Directorate. 11
The reassignment of certain CEM responsibilities, and concomitant
organizational changes, continued in 2005, both before and after Hurricane Katrina.
Pursuant to the HSA, which authorizes the Secretary to reorganize most parts of the
CRS- 5
12 6 U. S. C. § 452.
13 For background see CRS Report RL33042, Department of Homeland Security
Reorganization: The 2SR Initiative, by Harold C. Relyea and Henry B. Hogue.
14 The office and assistant secretary titles are listed in various ways on the DHS website,
including Office of Cyber and Telecommunications [ http:// www. dhs. gov/ xabout/ structure/
editorial_ 0794. shtm], Assistant Secretary for Cyber Security and Telecommunications
[ http:// www. dhs. gov/ xabout/ structure/ gc_ 1157655281546. shtm], and Assistant Secretary
for Cyber and Telecommunications Security [ http:// www. dhs. gov/ xnews/ speeches/
speech_ 0255. shtm].
15 The primary authority for this responsibility rests with two presidential documents,
Executive Order 12656, Assignment of Emergency Preparedness Responsibilities, issued
in 1988, and Presidential Decision Directive 67, Enduring Constitutional Government and
Continuity of Government Operations, issued in 1998. For background information see CRS
Report RL31857, Executive Branch Continuity of Operations ( COOP): An Overview, by R.
Eric Petersen.
16 See 6 U. S. C. 238( c)( 8), 116 Stat. 2191. An examination of the difference between the
broad statutory mandate given to FEMA in the HSA and authorities that vested emergency
management functions in other federal entities is presented in CRS Report RL33064,
Organization and Mission of the Emergency Preparedness and Response Directorate:
( continued...)
department, 12 Secretary Chertoff initiated what he called the Second Stage Review,
or 2SR initiative, in the winter of 2005. After roughly six months, Secretary Chertoff
recommended, and Congress approved, the division of responsibility for CEM
functions. 13
Since October 1, 2005, CEM functions have been divided between two
components of the department — FEMA and the new Preparedness Directorate ( PD).
The FEMA Director, who also held the title of Under Secretary for Federal
Emergency Management, has reported directly to the Secretary and has overseen
three divisions ( Response, Mitigation, and Recovery), ten regional offices, and
numerous other components. Emergency preparedness functions have been vested
in PD, which has been headed by an under secretary who has reported to the
Secretary. Major components in this directorate have included the Assistant
Secretary of Homeland Security for Infrastructure Protection; the Chief Medical
Officer of DHS; the Office of Grants and Training; the U. S. Fire Administration; the
Office of the National Capital Region Coordination; the Center for Faith- Based and
Community Initiatives; and the Office of Cyber and Telecommunications, 14 which
includes the National Communications System and the National Cybersecurity
Division. Of note, however, is the exclusion of one preparedness function from the
PD portfolio. FEMA has continued to exercise a limited role in coordinating and
guiding the efforts of federal agencies to prepare, maintain, and exercise contingency
plans to ensure that essential government functions continue after catastrophes. 15
In examining the lessons learned from Hurricane Katrina, the 109th Congress
considered this dynamic history of functional and organizational changes. It appears
that Congress concluded that while the HSA vested responsibilities of leading and
supporting a national, risk- based CEM program in FEMA, the assignment of
authorities and the organization of the agency indicated otherwise. 16 Some contended
CRS- 6
16 (... continued)
Issues and Options for the 109th Congress, by Keith Bea.
17 The new law elevates FEMA within DHS by raising the status of the FEMA
Administrator to the Deputy Secretary level, increasing the scope of his or her
responsibilities, mandating that he or she report directly to the Secretary, and giving him or
her a statutory advisory relationship to the President, the Homeland Security Council, and
the Secretary, particularly during disasters. ( For more on the new Administrator position,
see “ New Positions” in the “ Emergency Management Leadership” section of this report.)
18 P. L. 109- 295, § 611( 13), new section 505 of the Homeland Security Act of 2002 ( HSA).
The transfers are of these entities as they existed on June 1, 2006. Based on information
obtained from the DHS website and conversations with DHS officials ( both on Nov. 8,
2006), it appears that the agencies to be transferred from the Preparedness Directorate to
FEMA will include the U. S. Fire Administration, the Office of Grants and Training, the
Office of National Capital Region Coordination, and the Center for Faith- Based and
Community Initiatives [ http:// www. dhs. gov/ xabout/ structure/ editorial_ 0794. shtm]. DHS
officials indicate that the department is developing a reorganization plan that will clarify
which portions of the Preparedness Directorate will be transferred as well as the status of
those entities remaining outside FEMA.
19 P. L. 109- 295, § 611( 13), new HSA Sec. 507.
that, as a result of these mission and organizational shifts, FEMA’s capabilities
deteriorated as functions, resources, and responsibilities moved to other DHS units.
Others argued that an emphasis on terrorist- caused incidents within DHS dominated
planning and allocation decisions and contributed to FEMA’s diminished capabilities
for all hazards. These findings led to congressional enactment of significant
revisions to FEMA’s structure and mission in the Post- Katrina Act, as summarized
below.
The New FEMA: Organization and Mission
The Post- Katrina Act reorganizes DHS with a reconfigured FEMA ( effective
March 31, 2007) with consolidated emergency management functions, elevated status
within the department, 17 and enhanced organizational autonomy. The organization
and many of the authorities and responsibilities assigned to FEMA under the act are
summarized in this section of the report, except for authorities specific to
preparedness activities. Many of those responsibilities are vested in the President
( and are to be carried out by the FEMA Administrator), so they are summarized in
the “ National Preparedness” section of this report.
The New FEMA Components. Under the Post- Katrina Act, the new FEMA
will comprise the Preparedness Directorate and all of the functions of the existing
FEMA. This includes, for each of the entities, personnel, assets, components,
authorities, grant programs, liabilities, and the functions of their respective Under
Secretaries. Several entities from the Preparedness Directorate, noted below in the
“ Other DHS Entities” sub- section, are excepted from transfer to the newly configured
FEMA. 18 In addition, the act provides for 10 regional offices with specified
responsibilities and features. 19 It also provides, in statute, for the National Integration
Center, specifying the center’s responsibilities and role with regard to incident
CRS- 7
20 P. L. 109- 295, § 611( 13), new HSA Sec. 509.
21 P. L. 109- 295, § 611( 13), new HSA Sec. 513( a).
22 P. L. 109- 295, § 689g.
23 P. L. 109- 295, § 611( 13), new HSA Sec. 508( a).
24 P. L. 109- 295, § 611( 13), new HSA Sec. 507( e)-( f).
25 P. L. 109- 295, § 671( b), new HSA Sec. 1805( a).
26 P. L. 109- 295, § 638( a).
27 P. L. 109- 295, § 611( 13), new HSA Sec. 506( a). Two organizations — the U. S. Coast
Guard and the U. S. Secret Service — were transferred into DHS as “ distinct entities” ( 6
U. S. C. § 381; 6 U. S. C. § 468). The Transportation Security Administration was also
maintained as a distinct entity for two years following the enactment of HSA ( 6 U. S. C. §
234).
28 P. L. 109- 295, § 611( 13), new HSA Sec. 506( b).
29 P. L. 109- 295, § 611( 11), new HSA Sec. 503( c)( 4)( B)( iii).
30 P. L. 109- 295, § 611( 11), new HSA Sec. 503( b).
management. 20 In addition to these existing elements, the new FEMA will include
two positions and one entity, both newly established by the Post- Katrina Act — a
Disability Coordinator, 21 a Small State and Rural Advocate, 22 and a National
Advisory Council. 23 At the regional level, the Post- Katrina Act provides for the
creation of Regional Advisory Councils, Regional Office Strike Teams, 24 and
regional Emergency Communications Coordination Working Groups. 25 The act also
permits the Administrator to establish Hurricane Katrina and Hurricane Rita recovery
offices in Mississippi, Louisiana, Alabama, and Texas. 26
In addition to the aggregation of these offices and entities into FEMA, the Post-
Katrina Act gives FEMA more organizational autonomy than it has had since
becoming part of DHS. Like the U. S. Coast Guard and the U. S. Secret Service,
FEMA is now classified as a distinct entity within DHS. 27 In addition, the agency is
no longer subject to the Secretary’s broad reorganization authority under HSA. 28 The
act authorizes the FEMA Administrator, as of March 31, 2007, to provide
emergency- management- related recommendations directly to Congress after
informing the Secretary. 29 ( Additional provisions strengthening FEMA’s
organizational autonomy, related to funding and functions, are noted in the next
section.)
The New FEMA Missions ( Generally). As of March 31, 2007, the Post-
Katrina Act will restore to FEMA the responsibility to lead and support efforts to
reduce the loss of life and property and protect the nation from all hazards through
a risk- based system that focuses on expanded CEM components. The statute also
adds a fifth component — protection — to the four CEM components, but does not
define the term. 30
The act transfers to the new FEMA all functions previously administered by
FEMA, specifically emergency alert systems, continuity of operations, and continuity
CRS- 8
31 P. L. 109- 295, § 611( 13), new HSA Sec. 505.
32 P. L. 109- 295, § 611( 12), revised HSA Sec. 504.
33 P. L. 109- 295, § 611( 13), new HSA Sec. 506( c)( 1).
34 P. L. 109- 295, § 611( 13), new HSA Sec. 506( c)( 2).
35 P. L. 109- 295, § 611( 13), new HSA Sec. 506( d).
36 The Post- Katrina Act defines the term “ catastrophic incident” in P. L. 109- 295, § 602( 4).
37 P. L. 109- 295, § 611( 11), new HSA Sec. 503( b)( 2).
of government activities, as well as those functions administered by the Preparedness
Directorate, as they were administered, effective June 1, 2006. The legislation
exempts from the transfer the functions of four Preparedness Directorate units —
Office of Infrastructure Protection, National Communications System, National
Cybersecurity Division, and the Office of the Chief Medical Officer. 31 In addition,
the Post- Katrina Act includes activities and responsibilities for FEMA beyond those
first included in the HSA in 2002.32
The act also explicitly prohibits substantial or significant reductions, by the
Secretary, of the authorities, responsibilities, or functions of FEMA, or FEMA’s
capability to perform them. 33 Furthermore, the Post- Katrina Act prohibits most
transfers of FEMA assets, functions, or missions to other parts of DHS. 34 With
regard to reprogramming or transfer of funds, the act requires that the Secretary
comply with any applicable appropriations act provisions. 35
Among the specific activities given to FEMA in the Post- Katrina Act are the
following:
! leading the nation’s CEM efforts ( including protection) for all
hazards, including catastrophic incidents; 36
! partnering with non- federal entities to build a national emergency
management system;
! developing federal response capabilities;
! integrating FEMA’s CEM responsibilities;
! building robust regional offices to address regional priorities;
! using DHS resources under the Secretary’s leadership;
! building non- federal emergency management capabilities, including
those involving communications; and
! developing and coordinating the implementation of a risk- based all
hazards preparedness strategy that addresses the unique needs of
certain incidents. 37
CRS- 9
38 P. L. 109- 295, § 611( 12), HSA revised Sec. 504 ( as redesignated).
39 P. L. 109- 295, § 611( 11), HSA new Sec. 503( b)( 2)( H).
40 P. L. 109- 295, § 636.
41 P. L. 109- 295, § 637.
42 P. L. 109- 295, § 640.
43 P. L. 109- 295, § 640a.
44 P. L. 109- 295, § 611( 11), HSA new Sec. 510.
45 P. L. 109- 295, § 633, amends Stafford Act Sec. 303.
The Post- Katrina Act added 13 responsibilities to those originally set out for
FEMA in the HSA, including ensuring first responder effectiveness, supervising
grants, administering and implementing the National Response Plan, preparing and
implementing federal continuity of government and operations plans ( see “ Continuity
of Operations and Government” below), and maintaining and operating the response
coordination center, among others. 38 While implementation of these activities and
responsibilities is to build “ common capabilities” that will enable the agency to
address all hazards through a risk- based management system, the statute also calls
for the development of “ unique capabilities” that would be needed for events that
pose the greatest risk to the nation. 39
Administrative Responsibilities. In addition to the general responsibilities
noted above, the Post- Katrina Act places new authorities intended to address
administrative problems identified in the response to Hurricane Katrina within
FEMA. The FEMA Administrator is charged with developing a logistics system that
will enable officials to track the location of goods and services throughout the
transfer process from FEMA to the affected state. 40 The Administrator must also
establish a pre- positioned equipment program in at least eleven locations to support
state, local, and tribal government disaster assistance operations. 41 To support agency
activities, the Administrator must update and improve FEMA’s information
technology systems to achieve objectives specified in the statute. 42 Also, the
Administrator is authorized to disclose information to law enforcement agencies on
individuals sheltered or evacuated in order to identify illegal conduct or address
public safety concerns, including those involving sex offender notification
requirements. The disclosure of this information must be consistent with Privacy Act
requirements. 43
Disaster Response. The FEMA Administrator has been given new authority
that will specifically facilitate disaster response operations. He or she is charged
with reaching a formal understanding with non- federal officials on standards for the
credentialing of personnel and “ typing of resources” needed for the response to a
disaster. 44 In addition, the Post- Katrina Act seeks to bolster several of the response
teams and related resources through the legislation. Emergency Response Teams are
recognized and called on to meet target capability levels, be properly staffed, and in
a state of readiness. 45 The Post- Katrina Act also formally authorizes the Urban
CRS- 10
46 P. L. 109- 295, § 634.
47 P. L. 109- 295, § 689b and § 689c.
48 P. L. 109- 295, § 682.
49 P. L. 109- 295, § 638.
Search and Rescue teams and sets an authorized level of funding for the system. 46
The act also creates the Metropolitan Medical Response Grant Program and
establishes an authorized funding level for the program.
Disaster Recovery. A significant addition to the Stafford Act mission in the
Post- Katrina Act is the focus on the reunification of families following an event in
the form of the National Emergency Family Registry and Locator System and the
Child Locator Center. 47 The Post- Katrina Act calls for the establishment of a family
registry and locator system within 180 days after enactment. This would be a
voluntary system that would be established by FEMA, in collaboration with the
Department of Justice, the National Center for Missing and Exploited Children, the
Department of Health and Human Services ( HHS), and the American Red Cross. It
would be accessible by Internet and a toll- free number and would assist family
members and law enforcement in reuniting families. A memorandum of
understanding of the working group is to be agreed upon within 90 days of
enactment.
The Post- Katrina Act also calls on the Administrator of FEMA to assemble a
group of federal and non- governmental players to develop a recovery strategy that
will summarize existing programs and assess their utility in the post- disaster
environment and discuss key issues of funding and authorities in determining the best
use of such programs in meeting unique disaster requirements. The strategy should
also address rebuilding, particularly those considerations that will lead to more
“ disaster- resistant” construction and reconstruction. 48 For requirements see the
“ Report and Guideline Development Schedule” section of this report.
To enhance the steady recovery process for the huge event, the Post- Katrina Act
also authorizes the establishment of recovery offices in Mississippi, Louisiana,
Alabama, and Texas ( a Florida office is already in place since the hurricanes of
2004). These offices are intended to encourage the delivery of necessary assistance
in a timely and effective manner. The act calls for performance measures including
public assistance worksheet completion rates and public assistance reimbursement
times. The timing of when these offices will close is left to the discretion of the
Director. 49
National Disaster Housing Strategy. The Post- Katrina Act also calls for
a “ Housing Strategy” separate from but related to the “ Recovery Strategy” previously
noted. The group membership developing this strategy will be similar to that of the
housing strategy but will also include advocates for the disabled and their housing
needs. This strategy should include a review of housing resources, including those
departments and agencies with existing housing stock and also a compilation of
housing resources available for disaster victims from governments and non-governmental
entities. The strategy should also address the low income and special
CRS- 11
50 P. L. 109- 295, § 683.
51 New Sec. 505( a)( 1) of the Homeland Security Act.
52 6 U. S. C. 312( a)( 15), revised Sec. 504 of the Homeland Security Act. The term
“ continuity of plans” is not defined or elaborated upon.
53 New Sec. 503( b)( 2)( D) of the Homeland Security Act.
54 New Sec. 513( b)( 2) of the Homeland Security Act.
55 COOP and COG activities are, at times, considered part of the larger policy area referred
to as “ federal preparedness.” Section 653 of P. L. 109- 295, titled “ Federal Preparedness,”
requires that federal agencies undertake specified actions to ensure that federal agencies are
fully able to perform their specified roles in the National Response Plan and other
components of the national preparedness system. See “ National Preparedness System”
elsewhere in this report for details.
needs populations as well as housing group sites and the repair of rental housing in
the affected area to increase the available stock. 50 For requirements see the “ Report
and Guideline Development Schedule” section of this report.
Continuity of Government and Operations. P. L. 109- 295 mandates that
the COOP and COG authorities of FEMA “ as constituted on June 1, 2006,” be
transferred to the new agency. 51 The law also requires that the FEMA Administrator
prepare and implement “ the plans and programs of the federal government for
COOP, COG, and “ continuity of plans” responsibilities. 52
In addition to these legislative mandates that specifically refer to COOP and
COG, the legislation also includes provisions that might arguably be related to or
affect implementation of the COOP and COG requirements. For example, one of the
four specific missions assigned to the new agency includes the requirement to
“ integrate the Agency’s emergency preparedness ... responsibilities to confront
effectively the challenges of a natural disaster, act of terrorism, or other man- made
disaster.” 53 Also, the Disability Coordinator to be appointed by the FEMA
Administrator will be required to interact with specified entities, including “ other
agencies of the federal government” on “ the needs of individuals with disabilities in
emergency planning requirements....” 54 While not specifically linked to federal
COOP and COG activities, these and other provisions in the legislation might require
a reconsideration or evaluation of current procedures. 55
FEMA Sub- Units and Missions. The National Integration Center,
established within FEMA, will be responsible for a range of duties concerning
emergency preparedness capabilities. NIC is charged with the management and
maintenance of both the National Incident Management System ( NIMS) and the
National Response Plan ( NRP). In addition, NIC is responsible for the coordination
of volunteer activity with the Corporation for National and Community Service and
coordination with state, local and tribal governments concerning the deployment of
first responders to disaster sites. The NIC is also charged with the revising and
CRS- 12
56 P. L. 109- 295, § 611( 13), Sec. 509( b).
57 P. L. 109- 295, § 611( 13), new HSA Sec. 507.
releasing of the Catastrophic Incident Annex and the Catastrophic Incident
Supplement to the NRP. 56
The Post- Katrina Act also requires that ten regional offices operate within
FEMA, each to be headed by a Regional Administrator. Each Administrator must
do the following:
! work with non- federal partners in the region to ensure that the five
CEM components are coordinated and integrated,
! develop regional capabilities for a “ national catastrophic response
system,”
! coordinate the establishment of emergency communications
capabilities,
! staff and oversee regional strike teams that comprise the initial
response efforts for a disaster and must meet specified criteria and
perform specified duties,
! designate one person responsible for developing regional plans that
support the National Response Plan,
! foster the development of mutual aid agreements in the region,
! identify gaps in the region concerning the response to individuals
with special needs, and
! maintain and operate a Regional Response Coordination Center.
Each Regional Administrator must establish a Regional Advisory Council to provide
advice on emergency management issues, identify challenges to any CEM component
in the region, and identify gaps or deficiencies. Also, the FEMA Administrator must
report to Congress on additional statutory authorities needed to enhance the
capabilities of regional strike teams. The statute also establishes area offices for the
Pacific and Caribbean jurisdictions as well as for Alaska in the appropriate regional
offices. 57
The FEMA Administrator also is responsible for the selection of a Disability
Coordinator. This selection is to be made following consultation with appropriate
groups including disability interest groups as well as state, local and tribal groups.
The Coordinator is charged with assessing the coordination of emergency
management policies and practices with the needs of individuals with disabilities,
including training, accessibility of entry ( both physical and virtual), transportation,
media outreach, and general coordination and dissemination of model best practices,
CRS- 13
58 P. L. 109- 295, § 611( 13), new HSA Sec. 513( b).
59 P. L. 109- 295, § 650.
60 P. L. 109- 295, § 689( a).
61 As previously discussed, this understanding is based on the new HSA Sec. 505( a), which
provides that “ there are transferred to [ the newly reconstituted FEMA] the following: ... The
Directorate of Preparedness, as constituted on June 1, 2006, including all of its functions,
personnel, assets, components, authorities, grant programs, and liabilities , and including the
functions of the Under Secretary for Preparedness relating thereto.” It could be argued that
Sec. 505( b), which identifies exceptions to this transfer provision, keeps the directorate
itself outside of FEMA because it begins with “ The following within the Preparedness
Directorate shall not be transferred” ( emphasis added).
62 P. L. 109- 295, § 611( 13), new HSA Sec. 505( b).
63 The Secretary retains authority, under HSA, to reorganize these offices. [ 6 U. S. C. 452]
DHS officials have indicated that the department is developing a reorganization plan that
will clarify the status of those entities remaining outside FEMA ( telephone conversation
with DHS official, Nov. 8, 2006).
64 U. S. Department of Homeland Security, “ Secretary Michael Chertoff U. S. Department of
( continued...)
including the area of evacuation planning. 58 A related responsibility given to the
Director concerns the establishment of a Remedial Action Management Program
( RAMP) to be coordinated with both the National Council on Disability and the
National Advisory Council. RAMP is to be used to analyze programs and generate
after- action reports that are to be distributed to participants in both exercises and real-world
events. The RAMP is also responsible for tracking remedial actions as well
as long- term trend analysis. 59 In addition, the Coordinator is to work with the FEMA
Administrator on the development of guidelines to accommodate individuals with
disabilities in emergency response facilities and communications capabilities. 60
Other DHS Entities
The Post- Katrina Act makes other changes to the DHS organization by
rearranging certain existing offices, establishing others, and modifying
responsibilities.
The Preparedness Directorate, with the exception of certain offices, will be
transferred to the reconfigured FEMA. 61 The offices now in the Preparedness
Directorate that will not be transferred to FEMA include the Office of Infrastructure
Protection, the National Communications System, the National Cybersecurity
Division, and the Office of the Chief Medical Officer ( CMO). 62 The Post- Katrina
Act does not indicate whether these four units will constitute a new organizational
unit, will become stand- alone offices reporting to the Secretary, or will be subsumed
by another organizational entity. 63
The office headed by the Assistant Secretary for Cyber Security and
Telecommunications was administratively created by Secretary Chertoff as part of
the 2005 DHS reorganization. 64 Entities within this office have included the National
CRS- 14
64 (... continued)
Homeland Security Second Stage Review Remarks,” available at
[ http:// www. dhs. gov/ xnews/ speeches/ speech_ 0255. shtm], accessed Oct. 18, 2006.
65 P. L. 109- 295, § 671( b), new HSA Sec. 1801.
66 U. S. Department of Homeland Security, “ Secretary Michael Chertoff U. S. Department of
Homeland Security Second Stage Review Remarks,” available at
[ http:// www. dhs. gov/ xnews/ speeches/ speech_ 0255. shtm], accessed Oct. 18, 2006.
67 P. L. 109- 295, § 611( 13), new HSA Sec. 516.
68 P. L. 109- 295, § 516
69 42 U. S. C. § 5195c( d).
70 6 U. S. C. § 121( g).
71 P. L. 109- 295, § 611( 13), new HSA Sec. 511.
72 DHS refers to NOC on its Office of Operations Coordination website, available at
[ http:// www. dhs. gov/ xabout/ structure/ editorial_ 0797. shtm], accessed Nov. 8, 2006.
73 P. L. 109- 295, § 611( 13), new HSA Sec. 515.
Communications System and the National Cybersecurity Division. The Post- Katrina
Act establishes a similarly titled office, Assistant Secretary for Cybersecurity and
Communications, in statute. The statute does not specify whether or not the National
Communications System and National Cybersecurity Division are to be part of this
office. The act does establish an Office of Emergency Communications whose
director will report to the Assistant Secretary for Cybersecurity and
Communications. 65 The office of the CMO was also administratively created by
Secretary Chertoff as part of the 2005 DHS reorganization. 66 The Post- Katrina Act
establishes the CMO in the department but it does not specify the organizational
location of the office within DHS. 67 The CMO will have the primary responsibility
within the Department for medical issues related to natural disasters, acts of
terrorism, and other man- made disasters. 68
The National Infrastructure Simulation and Analysis Center ( NISAC),
established by the USA PATRIOT Act, 69 was transferred to the Directorate for
Information Analysis and Infrastructure Protection, the precursor to the Directorate
of Preparedness, when DHS was established. 70 With the relocation of the
Preparedness Directorate to FEMA, the Post- Katrina Act has established NISAC
within DHS, without further specification of its organizational location. The act also
expands NISAC’s authority to include “ support for activities related to ... a natural
disaster, act of terrorism, or other man- made disaster,” and it mandates that federal
entities with critical infrastructure responsibilities under Homeland Security
Presidential Directive 7 establish a formal relationship with NISAC. 71
The National Operations Center ( NOC) is part of the Office of Operations
Coordination, an office within DHS separate from FEMA. 72 The Post- Katrina Act
establishes NOC, in statute, as “ the principal operations center for the Department,” 73
but does not specify the organizational location of the center within DHS.
CRS- 15
74 P. L. 109- 295, § 664.
75 P. L. 109- 295, § 671, new HSA Sec. 1806.
76 P. L. 109- 295, § § 689b( b) and 689c( b).
The Post- Katrina Act also provides for two other entities not specifically located
in DHS. The President is directed to establish a National Exercise Simulation
Center, with no specified organizational location. 74 In addition, the act establishes
an Emergency Communications Preparedness Center. The center is to be jointly
operated by DHS, the Federal Communications Commission, the Department of
Defense, the Department of Commerce, the Department of Justice, and “ the heads
of other Federal departments and agencies or their designees.” 75 The new statute also
directs the Administrator to establish two emergency locator and reunification
services: the National Emergency Child Locator Center, to be located within the
National Center for Missing and Exploited Children, and the National Emergency
Family Registry and Locator System, at an unspecified organizational location. 76
Effective Date for Organizational Changes
Most of the organizational developments described above become effective as
of March 31, 2007. Others, including the following, became effective upon the
enactment of the Post- Katrina Act on October 4, 2006:
! the increase in organizational autonomy for FEMA;
! the establishment of a National Integration Center;
! the establishment of a National Infrastructure Simulation and
Analysis Center;
! the establishment of a Disability Coordinator;
! the establishment of a National Operations Center;
! the establishment of a Chief Medical Officer; and
! the designation of a Small State and Rural Advocate.
It could be argued that a provision of the act also eliminated the position of Under
Secretary for Preparedness at the time of enactment, but other provisions of the act,
and of existing law, cast doubt on this interpretation. ( See “ Abolished Positions,
below.)
CRS- 16
77 By Henry Hogue, Government and Finance Division.
78 HSA established, among other positions, an Under Secretary for Emergency Preparedness
and Response and an Under Secretary for Information Analysis and Infrastructure Protection
( 6 U. S. C. § 113( a)( 2) and ( 5)). During the reorganizations of DHS undertaken by Secretary
Chertoff in 2005 and 2006, the portfolio of each of these under secretaries has changed.
Accordingly, the positions have been renamed as Under Secretary for Federal Emergency
Management and Under Secretary for Preparedness, respectively, to reflect these changes.
79 HSA established the Office for Domestic Preparedness ( ODP), to be headed by a director
appointed by the President with the advice and consent of the Senate. In 2004, the Secretary
consolidated ODP, the Office of State and Local Government Coordination, and other
offices at DHS responsible for grant programs to form the Office of State and Local
Government Coordination and Preparedness ( OSLGCP), which was headed by an executive
director. During the reorganization of DHS undertaken by Secretary Chertoff in 2005, most
of OSLGCP was moved to the Directorate of Preparedness, and the resulting unit was
named the Office of Grants and Training. The executive director of the old office is titled
Assistant Secretary for Grants and Training in the Office of Grants and Training.
80 15 U. S. C. § 2204( b).
Emergency Management Leadership
Background77
Several dozen political appointees and career senior executives head the
Preparedness Directorate and FEMA. Four leadership positions in these
organizations have been established in statute: the Under Secretary for Federal
Emergency Management ( also known as the FEMA Director), 78 the Under Secretary
for Preparedness, the Assistant Secretary for Grants and Training, 79 and the U. S. Fire
Administrator. 80 The provisions establishing these positions do not specify any
qualifications that must be met by appointees.
Leadership Positions Under the Post- Katrina Act. The new law
abolishes certain statutory positions, establishes several new statutory positions,
makes changes to some existing positions, and attaches qualifications to several top
leadership positions. These developments are shown, in detail, in Table 1, and are
discussed below.
CRS- 17
81 PAS means Presidentially appointed, with Senate advice and consent.
Table 1. Statutory Changes to Emergency Management Leadership Positions Under P. L. 109- 295
Position/ Location General Provisions Compensation/ Rank
Administrator/ FEMA Establishes Administrator as a PAS position. 81 [ § 611( 11), new HSA Sec. 503( c)] The
Administrator is to be appointed “ from among individuals who have ... a demonstrated
ability in and knowledge of emergency management and homeland security; and ... not less
than 5 years of executive leadership and management experience in the public or private
sector.” [ § 611( 11), new HSA sec. 503( c)( 2); § 612( b)( 1)]
Executive Schedule Level II
[ § 612( a)( 1)].
Deputy Administrators/
FEMA
Establishes not more than four such PAS positions. [ § 611( 13), new HSA Sec. 514( a)] Executive Schedule Level III
[ § 612 ( a)( 2)].
Regional Administrators/
FEMA
Establishes 10 Regional Administrator positions, to which appointments are made by the
Administrator “ after consulting with State, local, and tribal government officials in the
region.” Regional Administrators are to be appointed “ from among individuals who have a
demonstrated ability in and knowledge of emergency management and homeland security....
the Administrator shall consider the familiarity of an individual with the geographical area
and demographic characteristics of the population” served by the office. The FEMA
Administrator must require that each Regional Administrator undergo specified training and
participate in exercises. [ § 611( 13), new HSA Sec. 507( b)( c)( 3)]
Senior Executive Service
[ § 611( 13), new HSA Sec.
507( b)( 1)]
Assistant Secretary for
Cybersecurity and
Communications/ DHS
Establishes as a statutory position. [ § 611( 13), new HSA Sec. 514( b)] Authority to appoint
the Assistant Secretary is not specified.
Not specified.
U. S. Fire
Administrator/ FEMA
Specifies that the U. S. Fire Administrator “ shall have a rank equivalent to an assistant
secretary of the Department.” [ § 611( 13), new HSA Sec. 514( c)]
No change from current law.
( 15 U. S. C. § 2204( b))
Chief Medical Officer/ DHS Establishes as a statutory PAS position. [ § 611( 13), new HSA Sec. 516] “ The individual
appointed as Chief Medical Officer shall possess a demonstrated ability in and knowledge
of medicine and public health.”
Executive Schedule Level IV
[ § 612( a)( 3)]
CRS- 18
Position/ Location General Provisions Compensation/ Rank
Under Secretary for
Emergency Preparedness and
Response/ DHS ( previously
retitled as the Under Secretary
for Federal Emergency
Management)
Abolishes position. [ § 612( b)( 1)] N/ A
Under Secretary for
Information Analysis and
Infrastructure Protection/ DHS
( previously retitled as the
Under Secretary for
Preparedness)
It could be argued that a provision of the Post- Katrina Act abolished this position, upon the
statute’s enactment, on Oct. 4, 2006. [ § 612( b)( 2)] However, another provision of the Post-
Katrina Act, a provision of the Homeland Security Act, and a provision of the Department
of Homeland Security Appropriations Act for 2007, within which the Post- Katrina Act is
nested, draw into question whether or not it was the intention of Congress to eliminate this
position. ( See text for more information.)
N/ A
Disability Coordinator/ FEMA Establishes position, to which appointments are to be made by the Administrator after
“ consultation with organizations representing individuals with disabilities, the National
Council on Disabilities, and the Interagency Coordinating Council on Preparedness and
Individuals with Disabilities.” [ § 611( 13), new HSA Sec. 513( a)]
Not specified.
Members, National Advisory
Council/ FEMA
The Secretary is to establish the National Advisory Council, and the Administrator is to
appoint its members for 3- year fixed terms. Its membership is to include, as much as
possible, a geographic and substantive cross section of officials, emergency managers, and
emergency responders from state and local governments, the private sector, and
non- governmental organizations, including individuals with specified affiliations,
experience, and interests. [ § 611( 13), new HSA Sec. 508( c)]
Not specified.
Members, Regional Advisory
Councils/ FEMA
“ Each Regional Administrator shall establish a Regional Advisory Council.... A State, local,
or tribal government located within the geographic area served by the Regional Office may
nominate officials, including Adjutants General and emergency managers, to serve as
members of the Regional Advisory Council for that region.” [ § 611( 13), new HSA Sec.
507( e)]
Not specified.
CRS- 19
Position/ Location General Provisions Compensation/ Rank
Members, Regional Office
Strike Teams/ FEMA
“ In coordination with other relevant Federal agencies, each Regional Administrator shall
oversee multi- agency strike teams ... that shall consist of — ( A) a designated Federal
coordinating officer; ( B) personnel trained in incident management; ( C) public affairs,
response and recovery, and communications support personnel; ( D) a defense coordinating
officer; ( E) liaisons to other Federal agencies; ( F) such other personnel as the Administrator
or Regional Administrator determines appropriate; and ( G) individuals from the agencies
with primary responsibility for each of the emergency support functions in the National
Response Plan.... The members of each Regional Office strike team, including
representatives from agencies other than the Department, shall be based primarily within the
region that corresponds to that strike team.” [ § 611( 13), new HSA Sec. 507( f)] ( These
teams, as well as national- level emergency support and response teams, are authorized
under § 303 of the Stafford Act, as amended by § 633 of this act. [ 42 U. S. C. § 5144])
Not specified.
Members, Regional
Emergency Communications
Coordination Working Group
Groups are to include specified federal, state, and local officials. [ § 671( b), new HSA Sec.
1805( b)]
Not specified
Director, Recovery Office The Administrator may establish Gulf region recovery offices and appoint their directors.
[ § 638( b)]
Not specified.
Small State and Rural
Advocate/ FEMA
The President is to designate a Small State and Rural Advocate in FEMA. [ § 689g] Not specified.
Director, Office of Emergency
Communications
This director is to report to the Assistant Secretary for Cybersecurity and Communications.
The authority to make appointments to this office is not specified. [ § 671( b), new HSA Sec.
1801( b)]
Not specified.
CRS- 20
82 P. L. 109- 295, § 612( b)( 1) and § 614( b)( 5).
83 P. L. 109- 295, § 612( b)( 2) and § 614. The former section strikes the provision, and the
latter establishes the effective date for the act’s provisions.
84 U. S. Department of Homeland Security, letter from Secretary Michael Chertoff to the
Honorable Christopher Cox, Chairman, Committee on Homeland Security, U. S. House of
Representatives, Washington, DC, July 13, 2005. In the letter, the Secretary stated, “ I intend
to separate preparedness resources from response and recovery and combine them in the
IAIP Directorate, which will be renamed the Directorate for Preparedness” ( p. 4).
85 6 U. S. C. § 201( a).
86 P. L. 109- 295, Title III.
87 P. L. 109- 295, § 612( f)( 1).
88 If the Under Secretary for Preparedness position continues to exist, it is unclear whether
or not it will be transferred, together with the Preparedness Directorate, into FEMA.
Abolished Positions. The Post- Katrina Act abolishes the position of Under
Secretary for Federal Emergency Management, as of March 31, 2007, and replaces
it with the position of FEMA Administrator. 82
It could be argued that the act also abolished the position of Under Secretary for
Preparedness, upon the statute’s enactment, on October 4, 2006, by striking a
subsection of HSA that established the Under Secretary for Information Analysis and
Infrastructure Protection ( IAIP). 83 This argument rests on an understanding of the
evolution of the Under Secretary for IAIP into the Under Secretary for Preparedness.
During the reorganizations of DHS undertaken by Secretary Chertoff in 2005 and
2006, the portfolio of the Under Secretary for IAIP was changed, and the position
was renamed as Under Secretary for Preparedness. 84 According to this argument,
striking the provision establishing the underlying position — Under Secretary for
IAIP — would eliminate the position into which it evolved, the Under Secretary for
Preparedness.
However, a provision of HSA, an appropriations act provision, and another
provision of the Post- Katrina Act draw into question whether or not it was the
intention of Congress to eliminate this position. The Under Secretary for IAIP was
established as an advice and consent position by two provisions of HSA, and one of
these is unaffected by the new law. 85 Arguably the position continues to exist by
virtue of this provision, even if the other provision is stricken. In addition, it could
be argued that a provision of the Department of Homeland Security Appropriations
Act for 2007, within which the Post- Katrina Act is nested, envisions a continuation
of that office. It provides for “ salaries and expenses of the immediate Office of the
Under Secretary for Preparedness ....” 86 Finally, the Post- Katrina Act charges the
Under Secretary of Preparedness with taking “ such actions as are necessary to
provide for the orderly implementation of any amendment under” the subtitle
reorganizing FEMA. 87 If the position of Under Secretary for Preparedness had been
eliminated upon enactment, it seemingly would not be possible to follow the dictates
of this section. 88
CRS- 21
89 P. L. 109- 295, § 612( a)( 1).
90 P. L. 109- 295, § 611( 11), new HSA Sec. 503( c)( 3).
91 P. L. 109- 295, § 611( 11), new HSA Sec. 503( c)( 4)( A). Consistent with this role, the
Administrator is mandated to provide advice to these parties when advice is requested. [ new
HSA Sec. 503( c)( 4)( B)]
92 P. L. 109- 295, § 611( 11), new HSA Sec. 503( c)( 5). It is unclear what, if any, new
authority this provision conveys, since the President already establishes the membership of
his Cabinet. Nonetheless, the provision signals Congress’s intention that the FEMA
Director should be part of the upper echelon of federal decision- making during disasters.
93 P. L. 109- 295, § 611( 13), new HSA Sec. 514( a).
94 P. L. 109- 295, § 611( 13), new HSA Sec. 513.
95 P. L. 109- 295, § 611( 13), new HSA Sec. 508.
96 P. L. 109- 295, § 611( 13), new HSA Sec. 507( e)-( f); § 671( b), new HSA Sec. 1805( b).
97 P. L. 109- 295, § 628( b).
98 P. L. 109- 295, § 689 ( g).
New Positions. Under the Post- Katrina Act, the status of the Administrator
position as head of the newly configured FEMA will be greater than the Under
Secretary for Federal Emergency Management or the Under Secretary for
Preparedness. Consequently, the agency will have greater status within DHS than it
did prior to the act. Whereas the under secretaries have been compensated at Level
III of the Executive Schedule, the Administrator’s compensation will be at Level II,
the deputy secretary level. 89 In addition, the Administrator will report directly to the
Secretary, rather than through another department official, such as the Deputy
Secretary of DHS. 90 The new statute also provides that the Administrator is to be
“ the principal advisor to the President, the Homeland Security Council, and the
Secretary for all matters relating to emergency management in the United States,”
and he or she is to present, to these parties, the range of options when presenting such
advice. 91 The act also permits the President to designate the Administrator as a
Cabinet member in the event of “ natural disasters, acts of terror, or other man- made
disasters.” 92 Individuals who are selected for the position of Administrator, who are
to be appointed by the President, by and with the advice and consent of the Senate,
must meet certain qualifications. ( See “ Qualifications,” below.)
The Post- Katrina Act establishes not more than four deputy administrator
positions to assist the Administrator, without specified responsibilities. 93
Appointments to these positions are to be made by the President by and with the
advice and consent of the Senate. The act also establishes, within FEMA, the
positions of Disability Coordinator94 and National Advisory Council members, 95 to
which appointments are to be made by the Administrator. At the regional level, the
act provides for the selection of Regional Advisory Council, Regional Office Strike
Team, and Regional Emergency Communications Coordination Working Group
members. 96 The act also provides for the establishment of specified Gulf region
recovery offices, each with an executive director appointed by the Administrator. 97
In addition, the President is to designate, in FEMA, a Small State and Rural
Advocate, newly established by the Post- Katrina Act. 98 The Advocate is to
participate in the disaster declaration process and assist small states in the preparation
CRS- 22
99 P. L. 109- 295, § 671( b), new HSA Sec. 1801( b)
100 5 U. S. C. App., Reorganization Plan No. 3 of 1978, § 105.
101 P. L. 109- 295, § 611( 13), new HSA Sec. 507( a) and ( c)-( f).
102 P. L. 109- 295, § 611( 13), new HSA Sec. 507( b).
103 U. S. Department of Homeland Security, “ Secretary Michael Chertoff U. S. Department
of Homeland Security Second Stage Review Remarks,” available at
[ http:// www. dhs. gov/ xnews/ speeches/ speech_ 0255. shtm], accessed Oct. 18, 2006.
104 P. L. 109- 295, § 611( 13), new HSA Sec. 516( a).
105 P. L. 109- 295, § 611( 13), new HSA Sec. 514( c). This provision does not alter the
compensation of the Administrator, which is already set at Level IV of the Executive
Schedule ( the assistant secretary level). [ 15 U. S. C. § 2204]
of their emergency or disaster requests, among other activities at the Administrator’s
discretion. The act also establishes a director of the newly created Office of
Emergency Communications, but does not specify the appointing authority for the
position. 99
Changes to Existing Positions. The Post- Katrina Act changes several
positions that have already been administratively or statutorily established in DHS.
FEMA Regional Administrators were first established when FEMA was created in
1978.100 The Post- Katrina Act amends HSA to establish 10 Regional Administrators
who are to carry out specified responsibilities and to incorporate certain features into
the regional offices. 101 The Regional Administrators are to be appointed by the
FEMA Administrator, and they must meet specified qualifications. 102 ( See
“ Qualifications,” below.) As previously noted, an Assistant Secretary for Cyber
Security and Telecommunications position was administratively created by Secretary
Chertoff as part of the 2005 DHS reorganization. 103 The Post- Katrina Act
establishes, in statute, a similarly titled Assistant Secretary for Cybersecurity and
Communications, without specifying the appointing authority for this position. A
Chief Medical Officer, also administratively created during the 2005 DHS
reorganization, was established in statute as an advice and consent position upon
enactment of the Post- Katrina Act. 104 The act also provides that the U. S. Fire
Administrator “ shall have a rank equivalent to an assistant secretary of the
Department.” 105
Qualifications
Some of the Post- Katrina Act provisions that establish positions specify
qualifications that appointees must meet. Three of the provisions include
qualifications related to the appointee’s background and experience. Five provisions
list geographic, professional, or other characteristics that must be considered when
filling the positions.
The person who serves as FEMA Administrator must now meet specific
background and experience requirements. The Administrator is to be appointed by
the President “ from among individuals who have ... a demonstrated ability in and
knowledge of emergency management and homeland security; and ... not less than
5 years of executive leadership and management experience in the public or private
CRS- 23
106 P. L. 109- 295, § 611( 11), new HSA Sec. 503( c)( 2).
107 U. S. President ( G. W. Bush), “ Statement on Signing the Department of Homeland
Security Appropriations Act, 2007,” Weekly Compilation of Presidential Documents, vol.
42, Oct. 4, 2006, pp. 1742- 1743.
108 Ibid. In response, several Members of Congress wrote to the President urging him to
reconsider his position. [ U. S. Congress, letter from Senators Mary L. Landrieu, Susan
Collins, and Joseph Lieberman to President George W. Bush, Oct. 12, 2006]
109 P. L. 109- 295, § 611( 13), new HSA Sec. 516( b).
110 P. L. 109- 295, § 611( 13), new HSA Sec. 507( b).
111 By Barbara Schwemle, Government and Finance Division.
sector.” 106 The President’s signing statement for the Post- Katrina Act regarding this
requirement indicates a certain degree of contention, as the provision “ purports to
limit the qualifications of the pool of persons from whom the President may select
the appointee in a manner that rules out a large portion of those persons best qualified
by experience and knowledge to fill the office.” 107 The statement goes on to say that
“ The executive branch shall construe [ the provision] in a manner consistent with the
Appointments Clause of the Constitution.” 108
The appointee to the position of Chief Medical Officer will also be required to
meet certain professional requirements. The new law stipulates that this individual
“ shall possess a demonstrated ability in and knowledge of medicine and public
health.” 109
The provision establishing the Regional Administrators positions also sets out
specific background and experience requirements. Regional Administrators are to
be appointed by the Administrator “ after consulting with State, local, and tribal
government officials in the region.” They are to be appointed “ from among
individuals who have a demonstrated ability in and knowledge of emergency
management and homeland security.... [ T] he Administrator [ is to] consider the
familiarity of an individual with the geographical area and demographic
characteristics of the population” served by the office. 110
The five positions that list geographic, professional, or other characteristics that
must be considered when filling the positions are the Disability Coordinator, and
members of the National Advisory Council, Regional Advisory Councils, Regional
Office Strike Teams, and Regional Emergency Communications Coordination
Working Groups. The specific requirements for these and other new positions set out
in the statute are shown in Table 1.
Personnel and Workforce
Background111
The Post- Katrina Act includes various statutory authorities to enhance the
management and capability of FEMA’s workforce, some of which are arguably
similar or parallel to federal policies in place long before Hurricane Katrina struck.
CRS- 24
112 There is also statutory language applicable government- wide and codified under 5 U. S. C.
§ 306 related to federal workforce strategic plans. Executive agency heads must submit a
strategic plan for program activities to the Director of the Office of Management and Budget
and Congress at least every three years. The plan must cover at least five years forward
from the fiscal year in which it is submitted. Among other elements, a strategic plan must
include a comprehensive mission statement on and the goals and objectives for an agency’s
major functions and operations. The discussion of goals and objectives must describe the
operational processes, skills and technology, human resources, capital resources, and
information resources required to fulfill them.
113 The provisions authorizing the FEMA Administrator to pay recruitment and retention
bonuses are the same as those which govern the payment of such bonuses by executive
agency heads under 5 U. S. C. § 5753 and 5 U. S. C. § 5754, respectively. Several additional
provisions apply to both types of bonuses under Chapter 57. For recruitment purposes, a
bonus may be paid to General Schedule ( GS) employees or to employees in a category
approved by the Office of Personnel Management ( OPM) at the request of the agency head;
the required period of service cannot exceed four years; a bonus cannot exceed 25% of basic
pay multiplied by the number of years in the required period of service, but, for reasons of
a critical agency need, 50% may be substituted for 25%; a bonus cannot exceed 100% of an
employee’s annual basic pay rate at the beginning of the service period; a bonus may be paid
before the individual enters on duty; and agencies must establish a plan for recruitment
bonuses before paying them. For retention purposes, a bonus may be paid to GS employees
or to employees in a category approved by OPM at the request of the agency head; a bonus
may be paid to an individual employee or to a group of employees ( based on a high risk that
a significant portion of employees in the group would likely leave in the absence of a
bonus); a bonus cannot exceed 25% of basic pay ( for an individual employee) or 10% ( for
an employee as part of a group), but, for reasons of a critical agency need, bonuses of up to
50% of basic pay may be paid; and agencies must establish a plan for retention bonuses
before paying them.
114 Prior to Hurricane Katrina, FEMA used two groups of temporary employees to meet the
unexpected ( surge) needs of catastrophes: Disaster Assistance Employees ( DAEs) and
Cadre- On- Response Employees ( CORE). The DAE detail was normally a brief deployment
to disaster sites while the CORE detail lasted up to four years. A third group of temporary
employees known as Disaster Temporary Employees ( DTEs) was subsequently created to
augment the DAEs. All three groups were substantially augmented by local hires at the
disaster sites associated with Hurricane Katrina.
Among other provisions, the statute directs the FEMA Administrator to develop a
strategic plan on human capital for shaping the agency’s workforce. 112 The Post-
Katrina Act also authorizes the Administrator to pay recruitment and retention
bonuses113 to individuals in positions that are difficult to fill or for which the
retention of an employee’s considerable skills is essential and to provide for the
professional development of employees by rotating them through various positions
within DHS. Additionally, the act provides for the establishment of a Surge Capacity
Force composed of individuals who will be deployed to respond to natural disasters,
acts of terrorism, and other man- made disasters, including catastrophic incidents. 114
These personnel authorities that enhance general federal personnel statutes
principally result from the inadequacies in the number, deployment, and
qualifications and training of FEMA employees that were exposed during the
agency’s response to the Hurricane Katrina and Rita disasters. In addition to these
enhancements, new personnel or workforce authorities are summarized below. For
CRS- 25
115 P. L. 109- 295, § 621( a), new Chapt. 101 to Part III, Subpart I, 5 U. S. C. 10102.
information on homeland security education, training, and exercise programs, see the
“ Homeland Security Education” section of the report.
Strategic Human Capital Plan
The FEMA Administrator is to develop a strategic plan on human capital that
will be used to shape and improve the agency’s workforce. The plan must be
submitted to the Senate Committee on Homeland Security and Governmental Affairs
and those committees of the House of Representatives that the Speaker of the House
determines are appropriate within six months of enactment. The plan must include
three elements: an analysis of gaps in the workforce, plans to address the gaps in
critical skills and competencies, and a discussion of FEMA’s Surge Capacity Force.
The analysis of workforce gaps will assess the following three matters. First, the
critical skills and competencies that FEMA will need to support its mission and
responsibilities and to effectively manage the agency over the next 10 years. Second,
the skills and competencies that the workforce currently possesses and projected
trends given expected retirements and other attrition, Third, the staffing levels for
each category of employee, including gaps that must be addressed to ensure that
FEMA’s workforce continues to possess the critical skills and competencies needed.
The strategic plan must also include the following four components: ( 1) goals
and program objectives for recruiting and retaining employees including the use of
recruitment and retention bonuses; ( 2) specific strategies and program objectives to
develop, train, deploy, compensate, motivate, and retain employees; ( 3) specific
strategies to recruit staff with experience from serving in multiple state agencies
responsible for emergency management; and ( 4) specific strategies to develop, train,
and coordinate and rapidly deploy a Surge Capacity Force. The plan of the Force
must provide details on the number and qualifications or credentials of DHS and non-
DHS employees serving in the Force; the training the members of the Force
experienced the previous year; assessments as to whether the Force is able to perform
its responsibilities in all disasters, including catastrophic incidents; and descriptions
of additional authorities or resources needed to address Surge Capacity Force
deficiencies.
The strategic plan on human capital must be updated annually by May 1 of each
year, 2007 through 2012, and submitted to the appropriate congressional committees.
The Administrator’s assessment, based on results- oriented performance measures,
of the department’s and agency’s progress is to be included in the plan. 115
Career Paths
The Administrator must ensure that appropriate career paths for the agency’s
employees are identified. The education, training, experience, and assignments
required for employees to progress within FEMA must be included in the information
that the Administrator is required to publish on the career paths. All employees must
be provided with the opportunity to acquire the education, training, and experience,
and as appropriate, participate in the Rotation Program ( established under § 622( a),
discussed below) that will allow them to qualify for promotion. The policy that the
CRS- 26
116 P. L. 109- 295, § 621( a), new Chapt. 101 to Part III, Subpart I, 5 U. S. C. 10103.
117 P. L. 109- 295, § 621( a), new Chapt. 101 to Part III, Subpart I, 5 U. S. C. 10104.
Administrator is required to establish on assigning employees to positions must
balance the needs of personnel to serve in positions that enhance their careers and
those of the agency to have employees serve in a position for a period of time that is
sufficient to carry out their duties and to be held responsible and accountable for
actions taken. 116
Recruitment
The FEMA Administrator is authorized to pay a bonus of up to 25% of basic
pay to recruit individuals for positions that would otherwise be difficult to fill in the
absence of such a payment. Bonuses will be paid in accordance with the strategic
human capital plan. The Administrator is to determine the amount of the bonus
which is not part of basic pay and will be paid in a lump sum. An employee
receiving a bonus must enter into a written service agreement with FEMA that must
include the required period of service to be completed, the conditions under which
the agreement may be terminated before completion of the service period, and the
effect of the termination. Individuals in any of three specified types of positions
[ those appointed by the President and confirmed by the Senate, those in the Senior
Executive Service as noncareer appointees, or those excepted from the competitive
service on the basis of being confidential, policy- determining, policy- making, or
policy- advocating] are not eligible to receive recruitment bonuses. The authority to
pay bonuses ends five years after the enactment of Chapter 101.
FEMA must submit annual reports to the Senate Committee on Governmental
Affairs and those committees of the House of Representatives that the Speaker of the
House determines appropriate on the operation of the bonus program for each of the
five years that it will be in effect. Each report is to include the number and dollar
amount of bonuses paid to individuals holding positions with each pay grade, pay
level, or other pay classification, and a determination of the extent to which the
bonuses fulfilled their purpose. 117
Retention
The FEMA Administrator is authorized to pay a bonus of up to 25% of basic
pay to retain an employee whose qualifications or a special need of FEMA makes
retention of that person essential. The bonus will be paid on a case- by- case basis and
the Administrator must determine that the employee would be likely to leave federal
service or take a different position in the federal service in the absence of such a
payment. The Administrator is to determine the amount of the bonus, which cannot
be part of basic pay and is to be paid in a lump sum. A retention bonus may not be
based on any period of service which is the basis for a recruitment bonus.
An employee receiving a bonus must enter into a written service agreement with
FEMA that includes the following provisions:
! the required period of service to be completed,
CRS- 27
118 P. L. 109- 295, § 621( a), new Chapt. 101 to Part III, Subpart I, 5 U. S. C. 10105.
119 P. L. 109- 295, § 621( a), new Chapt. 101 to Part III, Subpart I, 5 U. S. C. 10106.
! the conditions under which the agreement may be terminated before
completion of the service period, and,
! the effect of the termination.
Individuals in three types of positions [ those appointed by the President and
confirmed by the Senate, those in the Senior Executive Service as noncareer
appointees, or those excepted from the competitive service on the basis of being
confidential, policy- determining, policy- making, or policy- advocating] are not
eligible to receive retention bonuses. The authority to pay bonuses ends five years
after enactment.
The Office of Personnel Management must submit annual reports to the Senate
Committee on Homeland Security and Governmental Affairs and those committees
of the House of Representatives that the Speaker of the House determines appropriate
on the operation of the bonus program for each of the five years that it will be in
effect. Each report is to include the number and dollar amount of bonuses paid to
individuals holding positions with each pay grade, pay level, or other pay
classification, and a determination of the extent to which the bonuses fulfilled their
purpose. 118
Vacancy Rate Reports
The Administrator must prepare a report on vacant positions within FEMA and
submit, within three months of enactment, the report to the Senate Committee on
Homeland Security and Governmental Affairs and those committees of the House of
Representatives that the Speaker of the House determines appropriate. The report
must include data on vacancies by category of positions, the number of applicants for
positions which have been announced publicly, the length of time the positions have
been vacant, and the time required to fill vacancies. It will also include a plan for
reducing both the time required to fill positions and the number of vacant positions,
or those anticipated to be vacant. Updates of the report must be submitted to the
committees every three months over the next five years and include the
Administrator’s assessment of FEMA’s progress in filling vacant positions. 119
Department Rotation Program
The Secretary is authorized to establish a program that will rotate employees
through various DHS positions. The program is to be in accordance with the
department’s Human Capital Strategic Plan and established within 180 days after
enactment. Under the program, DHS employees in mid- level and senior- level
positions will have the opportunity to broaden their knowledge by being exposed to
various components of the department. The program is to build professional
relationships and contacts throughout the department, provide employees with
professional opportunities, incorporate the department’s human capital strategic plans
CRS- 28
120 P. L. 109- 295, § 622( a), new HSA Sec. 844.
and activities, address critical deficiencies, and describe efforts to recruit and retain
employees and build succession planning. Rotational programs already in effect are
to be incorporated, not replaced, by this new initiative.
The program will apply best practices, including those suggested by the Chief
Human Capital Officers Council and will be administered by the Chief Human
Capital Officer ( CHCO) of DHS who is to exercise the following eight
responsibilities:
! oversee the programs’ establishment and implementation;
! establish a framework that supports the program’s goals and
promotes rotations across disciplines;
! establish eligibility requirements and select participants;
! establish incentives, including promotions and employment
preferences, to encourage employees to participate;
! ensure that the program provides professional education and
training;
! ensure that the program develops employees who are qualified and
capable of being future leaders with broad experience within DHS;
! provide for greater interaction among DHS employees; and
! coordinate this initiative with rotational programs already
operational in the department.
Employees participating in the program are to retain their allowances, privileges,
rights, seniority, and other benefits. The Secretary must submit a report on the
program’s implementation to the Senate Committee on Homeland Security and
Governmental Affairs and those committees of the House of Representatives that the
Speaker of the House determines appropriate within 180 days after its establishment.
The report is to describe the program, including its use in succession planning and
leadership development, and document the number of participants. 120
Surge Capacity Force
The Administrator is directed to prepare a plan to establish and implement a
Surge Capacity Force to be deployed to disaster sites, including those classified as
catastrophic incidents. The plan must be submitted to the Senate Committee on
Homeland Security and Governmental Affairs and those committees of the House of
Representatives that the Speaker of the House determines appropriate within six
months of enactment. Generally, individuals in the Force will be trained and
deployed under Stafford Act authority. If the Administrator determines, however,
CRS- 29
121 P. L. 109- 295, § 624.
122 By Shawn Reese and Keith Bea, Government and Finance Division.
123 P. L. 109- 296, § 502, 116 Stat. 2212, 6 U. S. C. 312.
124 U. S. President ( Bush), “ Management of Domestic Incidents,” Homeland Security
Presidential Directive - 5, Feb. 28, 2003.
125 U. S. President ( Bush), “ National Preparedness,” Homeland Security Presidential
Directive 8, Dec. 17, 2003.
that these existing authorities are inadequate, he or she will report to Congress on
additional and necessary authorities.
DHS employees ( who are not employees of FEMA) and employees of other
federal departments and agencies will be designated by the Secretary to serve on the
Force. Individuals capable of deploying rapidly and efficiently to disasters, and
others who are full- time employees who are highly trained and credentialed to lead
and manage, must be represented on the Force in sufficient numbers. Personnel
serving on the Force must receive appropriate and continuous training on FEMA’s
programs and policies.
Force members are not counted against any personnel ceiling applicable to
FEMA and may receive travel expenses ( including per diem in lieu of subsistence,
at rates authorized for other civilian federal employees) when participating in training
related to their service on the Force. As soon as practicable after enactment, the
Administrator is to develop and implement the procedures for designating employees
who are DHS employees ( but not employees of FEMA) and non- DHS federal
employees to serve on the Force, along with other elements of the plan needed to
establish that portion of the Force consisting of these individuals. 121
National Preparedness
Background122
As enacted by Congress in November 2002, the HSA directed the Secretary of
Homeland Security, through the FEMA Director, to improve the Nation’s emergency
preparedness and response capabilities. Two of the responsibilities set out in the
statute were ( 1) “ building a comprehensive national incident management system”
to enable federal and non- federal agencies to respond to emergencies, and ( 2)
“ consolidating existing federal government emergency response plans into a single,
coordinated national response plan.” 123
Within months of the enactment of the HSA, President Bush issued Homeland
Security Presidential Directive- 5 ( HSPD- 5), which required the DHS Secretary to
develop and administer a National Incident Management System ( NIMS) and a
National Response Plan ( NRP). 124 Soon thereafter, the President issued HSPD- 8 as
a “ companion” to HSPD- 5 in order to identify the procedures to be followed by
federal agencies in preparing for a terrorist attack or significant disaster. 125 HSPD- 8
directed the Secretary to develop a national preparedness goal ( NPG) applicable to
CRS- 30
126 Ibid., Sec. 6.
127 U. S. Department of Homeland Security, National Incident Management System
( Washington: 2004), available at [ http:// www. dhs. gov/ xlibrary/ assets/ NIMS- 90- web. pdf],
visited Nov. 1, 2007.
128 U. S. Department of Homeland Security, National Response Plan ( Washington: 2004),
available at [ http:// www. dhs. gov/ xprepresp/ committees/ editorial_ 0566. shtm], visited Nov.
1, 2007.
129 For summary information on state statutory policies for emergency preparedness,
response, and recovery, see CRS Report RL32287, Emergency Management and Homeland
Security Statutory Authorities in the States, District of Columbia, and Insular Areas: A
Summary, by Keith Bea, L. Cheryl Runyon, and Kae M. Warnock.
130 See CRS Report RL32520, Emergency Management Preparedness Standards: Overview
and Options for Congress, by Keith Bea.
catastrophes regardless of cause (“ all- hazards”) and to establish readiness priorities
and targets that balance the risk of the threats against the resources needed to prevent
or respond to catastrophic events. The directive also required that the NPG include
readiness metrics and support components that would facilitate assessment of the
preparedness efforts for “ major events, especially those involving acts of
terrorism.” 126 Taken together, the requirements for these documents, plans, and
components constituted an attempt to guide construction of a national preparedness
system ( NPS).
Roughly one year later, DHS released some of the elements of the nascent NPS.
In March 2004, then- Secretary Ridge announced completion of the NIMS document,
which established a framework to guide interagency and intergovernmental responses
to complex emergencies. 127 The following December, DHS issued the National
Response Plan, which assigns specific emergency response functions and activities
to federal agencies and the American Red Cross. 128 During 2004 and 2005, DHS
released draft, interim, and amended versions of the component documents that
provide specific directions or expectations for the NPS. These components included:
! National Preparedness Goal ( not finalized as of 2006),
! National Preparedness Guidance,
! Planning Scenarios ( 15),
! Universal Task List, and
! Target Capabilities List.
These federal mandates, plans, and directives comprise essential elements of the
national system or approach for emergency preparedness and response. In addition,
state governments have authorized a range of activities and practices to improve their
preparedness capabilities; 129 non- governmental groups have developed assessment
systems and preparedness standards towards which agencies aspire. 130 As a
supplement to these non- federal efforts, DHS and other federal entities provide
financial and technical assistance to state, local, and tribal governments. The Office
CRS- 31
131 See CRS Report RL32348, Selected Federal Homeland Security Assistance Programs:
A Summary, by Shawn Reese.
132 Summary information on NIMS, the NRP, and support components developed by the
Administration is presented in CRS Report RL32803, The National Preparedness System:
Issues in the 109th Congress, by Keith Bea.
133 P. L. 109- 295, § 642, § 643( a). Definitions used in the statute that are applicable to the
NPS are defined at P. L. 109- 295, § 641.
134 P. L. 109- 295, § 643( b).
135 P. L. 109- 295, § 644( a)( b).
for Grants and Training ( G& T) within DHS ( to be transferred from the Preparedness
Directorate to FEMA, as summarized in the first section of this report) administers
the majority of grants and training provided by DHS. These include such grants as
the State Homeland Security Grant Program, the Law Enforcement Terrorism
Prevention Program, the Urban Area Security Initiative. 131 All of these efforts,
federal and non- federal, are intended to enhance the Nation’s preparedness capability
for emergency response to terrorist attacks, natural disasters, and accidental events
caused by human error or inattention. 132
National Preparedness System
The Post- Katrina Act requires that the President establish a national
preparedness goal and national preparedness system ( NPS) and complete, revise, and
update ( as necessary) the goal to ensure the nation’s ability to prevent, respond to,
recover from, and mitigate against disasters of all kinds, including acts of
terrorism. 133 The goal must be consistent with NIMS and the NRP. 134 Additionally,
the President, through the FEMA Administrator, is to establish a National
Preparedness System that will enable the nation to meet the National Preparedness
Goal. Components of the NPS must include:
! target capabilities and preparedness priorities,
! equipment and training standards,
! training and exercises,
! comprehensive assessment systems,
! a remedial action management program,
! a federal response capability inventory,
! reporting requirements, and
! federal preparedness. 135
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136 P. L. 109- 295, § 654.
137 P. L. 109- 295, § 649.
138 P. L. 109- 295, § 644( c), § 645.
139 P. L. 109- 295, § 646. This provision codifies into law language similar to that found in
Section 6 of HSPD- 8.
140 P. L. 109- 295, § 651.
Existing documents, planning tools, and guidelines are to be used by the FEMA
Administrator in establishing the NPG and the NPS to the extent practicable. 136 In
implementing the NPS, the FEMA Administrator is to establish an assessment
system to continually evaluate the preparedness capabilities of the nation. As part of
this system, NPS elements must contain performance metrics and outcome
measures. 137
National Planning Scenarios. The President, through the Administrator,
is authorized ( but not required) to include planning scenarios that reflect the risks
presented by all- hazards in the NPS. The scenarios, if developed, are to provide a
foundation for the development of target capabilities to meet the NPG and must
reflect the full range of “ representative hazards” that require the identification and
definition of tasks required to respond accordingly. 138
Target Capabilities and Preparedness Priorities. The Post- Katrina Act
requires the FEMA Administrator, in coordination with others, to complete and
update guidelines that are “ specific, flexible, and measurable” to define risk- based
target capabilities for federal, state, local, and tribal governments. As part of this
process, DHS is to conduct terrorism risk assessments that include:
! variables of threat, vulnerability, and consequences related to
population, areas of high population density, critical infrastructure,
coastline, and international borders; and
! current threat assessments available from the DHS Chief Intelligence
Officer.
The guidelines used in establishing the target capabilities are to include preparedness
priorities that balance all- hazard risks with federal, state, local, and tribal resources
to prevent, respond to, recover from, and mitigate against the hazards, and requires
DHS to support the development of mutual aid agreements between states. 139
In addition, the statute requires that the federal response capabilities inventory
be accelerated and that a database be established. The statute also sets out the
required contents of the inventory. With specific reference to Department of Defense
( DOD) resources, the FEMA Administrator is to coordinate with the Secretary of
Defense preparation of a list of organizations and functions within DOD that may be
used to support civil authorities. 140
CRS- 33
141 P. L. 109- 295, § 631, amends Sec. 613 of the Stafford Act ( 42 U. S. C. 5196b).
142 P. L. 109- 295, § 652( c).
143 P. L. 109- 347, § 111, amends 46 U. S. C. 70103( b).
144 P. L. 109- 347, § 112, amends 46 U. S. C. 70107. The statute replaces the text “ for making
a fair and equitable allocation of funds” with “ for the allocation of funds based on risk.”
145 P. L. 109- 347, § 112 ( f).
146 P. L. 109- 347, § 112 ( g).
147 P. L. 109- 347, § 112 ( d)-( e).
Preparedness Grants
The Post- Katrina Act amends the Stafford Act by requiring that emergency
preparedness grants awarded by FEMA to the states be based upon plans that include
a catastrophic incident annex modeled after the comparable annex in the NRP. In
addition, the state plan annexes must be consistent with the NPG, NIMS, and other
plans and strategies. Such state annexes must be developed in consultation with local
officials, including regional commissions. 141 Also, the statute requires that within 15
months of enactment, and annually after that, the states that receive DHS
preparedness assistance must report on the state’s preparedness level. 142
The SAFE Ports Act authorizes the DHS Secretary to make available a risk
assessment tool to be used to update required Maritime Security Plans, 143 and
correspondingly modifies existing law by directing that grants be distributed based
on risk rather than distribution parity. 144 The statute also adds new eligible activities
for which such grants may be used, including training or exercises for the prevention
of and response to terrorist attacks, establishing terrorist threat information sharing
mechanisms, and purchasing equipment needed to manage classified information.
The DHS Secretary is to ensure that each grant is used to supplement and support the
applicable Area Maritime Transportation Security Plan, and is coordinated with any
applicable state or urban area homeland security plan. 145 Any entity subject to an
Area Maritime Transportation Security Plan would be an eligible applicant. 146 The
act establishes that the bases of the new port security grants will include national
economic, energy, and strategic defense concerns identified through the most current
risk assessments available. 147
Federal Preparedness
DHS is not the only federal agency responsible for the development,
maintenance, and execution of the National Preparedness System ( and its
components). The Post- Katrina Act requires that the President ensure that each
federal agency with NRP responsibilities have capabilities to:
! meet operational responsibilities of the national preparedness goal,
including retaining personnel with decisionmaking authority,
creating organizational structures that meet NRP missions, holding
sufficient resources, and maintaining command and control
communications;
CRS- 34
148 P. L. 109- 295, § 653 ( a).
149 P. L. 109- 295, § 653 ( b- d).
150 P. L. 109- 295, § 611, new HSA Sec. 512. For more information, see CRS Report
RL32348, Selected Federal Homeland Security Assistance Programs: A Summary, by
Shawn Reese.
151 P. L. 109- 295, § 632.
152 P. L. 109- 308, § 2, amends Sec. 613, Stafford Act ( 42 U. S. C. 5196b).
! comply with NIMS;
! develop, train, and exercise response personnel; and
! develop operational plans and corresponding capabilities to respond
to all- hazard incidents to ensure a coordinated federal response. 148
The act identifies requirements for NRP operational plans and requires the
President to ensure that the FEMA Administrator develops “ prescripted NRP mission
assignments” for federal agencies. Finally, the President is required to certify
compliance of NRP requirements for every federal agency with NRP responsibilities.
This provision does not limit the authority of the Secretary of Defense in command,
control, or allocation of Department of Defense resources. 149
Evacuations
Although evacuation planning and exercises are not specifically identified as
National Preparedness System components, they constitute an integral part of overall
national preparedness. The Post- Katrina Act authorizes DHS to approve states’ and
localities’ use of State Homeland Security Grant Program ( SHSGP) and Urban Area
Security Initiative ( UASI) funding for establishing evacuation programs and plans,
preparing for the execution of evacuation plans, and conducting evacuation exercises.
The act also authorizes the FEMA Administrator to establish evacuation standards
and requirements, and the Administrator is required to provide assistance ( upon
request) to a state, local, or tribal government to assist in the planning of evacuation
of hospitals, nursing homes, and other institutions that house individuals with special
needs. 150 In another provision, the statute requires that the FEMA Administrator, in
coordination with appropriate federal departments, provide evacuation preparedness
technical assistance to state, local, and tribal governments. 151
Not only does the Post- Katrina Act address evacuation planning, but the Pets
Evacuation and Transportation Standards Act of 2006 ( PETS Act) amends the
Stafford Act by requiring FEMA to ensure state and local emergency preparedness
operational plans ( including evacuation plans) take into account the needs of
individuals with household pets and service animals prior to, during, and following
a major disaster or emergency. 152 The PETS Act also authorizes the FEMA
Administrator to provide funding to state and local governments for animal
emergency preparedness purposes, including the procurement, construction, leasing,
or renovating of emergency shelter facilities and materials that would accommodate
CRS- 35
153 P. L. 109- 308, § 3, amends Sec. 611, Stafford Act ( 42 U. S. C. 5196). Also of note, the
appropriations legislation for DHS includes another provision concerning pets and animals.
Section 536 of P. L. 109- 295, which is part of the “ General Provisions” title of the statute,
requires that DHS consider the needs of individuals with pets and service animals in
emergency management.
154 By Shawn Reese, Government and Finance Division.
155 U. S. Department of Homeland Security, “ Working with DHS,” available at
[ http:// www. dhs. gov/ dhspublic/ display? theme= 82], visited Oct. 27, 2004.
people with their pets and service animals that would be used following an
evacuation. 153
Education and Training
Background154
National preparedness includes homeland security education and training and
the associated standards. Federal homeland security education and training programs
are varied and are provided by numerous federal agencies and departments. Among
these departments and agencies are the Departments of Defense, Energy, Homeland
Security, Health and Human Services, Justice, and Transportation, and the
independent Environmental Protection Agency. Each department and agency
provides specific homeland security education and training targeted to given
categories of recipients. Training recipients include federal, state, and local
government personnel, emergency responders, and private and public critical
infrastructure personnel. The programs train individuals to prepare for, respond to,
and recover from terrorist attacks. Some of the training programs are designed for
personnel working in critical infrastructure sectors. Others are intended for personnel
who are not identified with specific critical infrastructure but respond to terrorist
attacks, regardless of location or target. Given the DHS mission to secure the nation
from terrorist attacks, the department arguably has primary federal responsibility for
providing homeland security education and training to federal, state, and local
emergency responders. Accordingly, DHS provides education and training to a wide
range of critical infrastructure personnel, law enforcement and other emergency
responders, government ( federal, state, and local) personnel, and medical personnel.
DHS uses numerous agencies, offices, institutes, and partners to provide
homeland security education and training for federal, state, and local government
personnel. DHS training is provided at such facilities as the Federal Law
Enforcement Training Center ( FLETC), National Fire Academy ( NFA), and
Emergency Management Institute ( EMI). FLETC is an interagency law enforcement
center that provides training for federal law enforcement agencies. The Federal
Emergency Management Agency ( FEMA) administers EMI and NFA training
activities. NFA trains fire and emergency response personnel to enhance their
abilities to respond to fires and related emergencies. EMI’s training program consists
of resident and non- resident courses aimed at enhancing emergency management
practices. 155
CRS- 36
156 P. L. 107- 296 ( Homeland Security Act of 2002), Sec. 430( d).
157 U. S. Department of Homeland Security, Office for Domestic Preparedness, “ Training
Overview,” available at [ http:// www. ojp. usdoj. gov/ odp/ training. htm], visited Oct. 27, 2004.
158 P. L. 109- 295, § 663. The Noble Training Center provides training to emergency
managers and public health professionals for responding to a mass casualty event resulting
from natural and man- made disasters. For more information, see U. S. Department of
Homeland Security, Federal Emergency Management Agency, “ Noble Training Center:
Overview,” available at [ http:// training. fema. gov/ emiweb/ ntc/]. The CDP is affiliated with
the Office of Grants and Training, which is one of the Preparedness Directorate Offices that
will become part of the new FEMA.
159 P. L. 109- 295, § 664.
160 P. L. 109- 295, § 648( a)( 1).
161 P. L. 109- 295, § 648( a)( 2).
The Office of Grants and Training ( G& T) has the primary responsibility within
DHS for preparing for potential terrorist attacks against the United States. 156 G& T
provides terrorism and WMD training through DHS training institutions and partners
that include the Training and Data Exchange Group ( TRADE), the National
Domestic Preparedness Consortium ( NDPC), federal departments, and private and
professional organizations. 157
Education and Training Institutions
The Post- Katrina Act transfers the Noble Training Center to the Center for
Domestic Preparedness, which is part of NDPC. 158 The Noble Training Center trains
emergency managers and public health professionals to respond to mass casualty
events resulting from natural and man- made disasters. The act also directs the
President to establish a National Exercise Simulation Center that will provide
catastrophic event modeling and simulation training to elected officials, emergency
managers, and emergency response providers at all levels of government. 159
Homeland Security Training and Exercise Programs
The Post- Katrina Act directs the FEMA Administrator to carry out training
programs to implement the national preparedness goal, National Incident
Management System, National Response Plan, and other related plans and strategies.
This mandate is to be carried out “ in coordination with the heads of appropriate
federal agencies, the National Council on Disability, and the National Advisory
Council.” 160 Moreover, when developing and implementing the national program,
the FEMA Administrator is to “ work with government training facilities, academic
institutions, private organizations, and other entities that provide specialized,
state- of- the- art training for emergency managers or emergency response providers;”
and to “ utilize, as appropriate, training courses provided by community colleges,
State and local public safety academies, State and private universities, and other
facilities.” 161
The act also directs FEMA Administrator to carry out a national exercise
program “ to test and evaluate the national preparedness goal, National Incident
CRS- 37
162 P. L. 109- 295, § 648( b)( 1).
163 P. L. 109- 295, § 648( b)( 2)( A).
164 P. L. 109- 295, § 648( b)( 2)( B).
165 P. L. 109- 295, § 648( b)( 3)
166 P. L. 109- 295, § 648( b).
167 P. L. 109- 295, § 648( 3).
Management System, National Response Plan, and other related plans and
strategies;” 162 and it sets forth a number of requirements for the national exercise
program. The program is to be “ as realistic as practicable, based on current risk
assessments, including credible threats, vulnerabilities, and consequences, and
designed to stress the national preparedness system.” It is to be designed, to the
extent practicable, “ to simulate the partial or complete incapacitation of a State, local,
or tribal government.” The program is to be carried out, as appropriate, “ with a
minimum degree of notice to involved parties regarding the timing and details of
such exercises, consistent with safety considerations.” It is to be designed so as to
“ provide for systematic evaluation of readiness” and “ to address the unique
requirements of populations with special needs.” 163
The national exercise program is to “ provide assistance to State, local, and tribal
governments with the design, implementation, and evaluation of exercises” that
conform to the requirements noted above; that are “ consistent with any applicable
State, local, or tribal strategy or plan”; and that “ provide for systematic evaluation of
readiness.” 164
Finally, the act requires the Administrator to perform periodic national level
exercises “ to test and evaluate the capability of Federal, State, local, and tribal
governments to detect, disrupt, and prevent threatened or actual catastrophic acts of
terrorism, especially those involving weapons of mass destruction” and “ to test and
evaluate the readiness of Federal, State, local, and tribal governments to respond and
recover in a coordinated and unified manner to catastrophic incidents.” These
national level exercises are to be performed at least biennially. 165
The FEMA Administrator is also directed to carry out a national exercise
program to test and evaluate the plans and systems. The program must be as realistic
as practical, based on current risk assessments, and is to be designed to stress the
National Preparedness System and to simulate the partial or complete incapacitation
of a state, local, or tribal government. Other elements of the exercise program are
that it is to be carried out with a minimum degree of notice to replicate a true
emergency, be designed to provide for a systematic evaluation of preparedness,
address the unique requirements of populations with special needs, be consistent with
non- federal strategies or plans, and facilitate an evaluation of systematic
preparedness. 166 The statute also requires that DHS conduct a national level exercise
biennially to test and evaluate federal, state, local, and tribal government
preparedness capabilities. 167
CRS- 38
168 P. L. 109- 295, § 639.
169 P. L. 109- 347, § 113.
170 P. L. 109- 347, § 114.
171 P. L. 109- 347, § 115.
The Post- Katrina Act also requires that the FEMA Administrator enter into
agreements with organizations to provide funding to emergency response providers
to provide education and training in life support first aid to children. 168
For information on a training program focused on the prevention of fraud,
waste, and abuse, see the “ Oversight and Accountability” section of this report.
In addition to these exercise and training efforts to be carried out by FEMA, the
Coast Guard is required to administer training and exercise programs. The SAFE
Ports Act requires the DHS Secretary, in coordination with the Coast Guard
Commandant, to establish a Port Security Training Program. This training program
is to enhance the emergency preparedness capabilities of facility owners who are
required to submit an Area Maritime Transportation Security Plan. The SAFE Port
Act establishes training standards, and requires that the program be consistent with,
and support, NIMS, NRP, the National Infrastructure Protection Plan, the National
Preparedness Goal, the National Maritime Transportation Security Plan, and other
national preparedness initiatives. Finally, the SAFE Ports Act requires that vessel
and facility security plans provide a strategy and time line for conducting training,
and that the Coast Guard consult with other DHS agencies and federal
departments. 169
In conjunction with the Port Security Training Program, the DHS Secretary, in
coordination with the Coast Guard Commandant, is to establish a Port Security
Exercise Program. The purpose of this exercise program is to test and evaluate the
capabilities of federal, state, and local governments, commercial seaport personnel
and management, emergency response providers, and the private sector for all types
of hazards. The DHS Secretary is to ensure that, on a periodic basis, port security
exercises are conducted at facilities that are required to submit an Area Maritime
Transportation Security Plan. Following an exercise, these facilities are to prepare
an improvement plan. 170 The statute also sets out a requirement that exercises be
scheduled and held at high- risk facilities. 171
Homeland Security Education Program
In addition to the aforementioned programs, as well as those presently
administered by DHS, the Post- Katrina Act directs the DHS Secretary to establish a
graduate- level Homeland Security Education Program in the National Capitol
Region. This program is to provide homeland security education and training for
senior federal, state, and local officials with homeland security and emergency
management responsibilities. The program administrator is to use existing DHS
CRS- 39
172 P. L. 109- 295, § 623, new HSA Sec. 845
173 P. L. 109- 295, § 647. For more information on homeland security standards and the
processes involved in setting such standards, see CRS Report RL32520, Emergency
Management Preparedness Standards: Overview and Options for Congress, by Keith Bea.
174 P. L. 109- 295, § 647.
175 By Francis X. McCarthy and Keith Bea, Government and Finance Division.
homeland security educational resources, and attendees must meet commitment
requirements in the statute. 172
Equipment and Training Standards
The Post- Katrina Act requires that DHS, in coordination with other federal
departments and the National Advisory Council, support the development,
promulgation, and updating of national consensus voluntary standards for homeland
security equipment and training. 173 The national voluntary consensus standards for
equipment must meet certain specifications ( consistency with the NPG and existing
voluntary standards, consider threats not previously contemplated, and focus on
attributes such as maximizing operability, efficiency, and safety, among others),
while those for training are to be developed by the FEMA Administrator and be
consistent with the training actually provided. 174
Stafford Act Assistance Amendments
Background175
The Stafford Act authorizes federal assistance for state and local governments,
certain nonprofit organizations, and families or individuals after state and local
governments are overwhelmed by natural disasters and fires, floods, or explosions,
regardless of cause. The statute gives the President the discretion to issue a major
disaster or an emergency declaration in response to a gubernatorial request for
assistance. Once the President issues a major disaster declaration, the following are
among the types of assistance that may be provided ( generally by FEMA in
conjunction with support provided by other federal agencies) depending upon the
scope of the disaster and the needs of the stricken community:
! technical assistance that saves lives and protects health;
! public assistance grants to repair or replace public infrastructure and
facilities;
! cash grants to help families and individuals meet immediate and
personal needs;
! financial aid for those made homeless by the disaster, or direct
housing assistance in the form of trailers if temporary housing is
unavailable;
CRS- 40
176 For a capsule summary of Stafford Act programs see CRS Report RL31734, Federal
Disaster Recovery Programs: Brief Summaries, by Mary Jordan.
177 Prior to enactment of the Post- Katrina Act, FEMA’s mandate to implement the Stafford
Act was codified at 6 U. S. C. 317( a)( 1). For more information on the Stafford Act see CRS
Report RL33053, Federal Stafford Act Disaster Assistance: Presidential Declarations,
Eligibile Activities, and Funding, by Keith Bea.
178 P. L. 109- 295, § 681, Stafford Act amended Sec. 402 and 502.
! unemployment assistance;
! loans to communities suffering a loss of tax revenue;
! crisis counseling; and
! legal aid for low income victims. 176
The Homeland Security Act of 2002 designates FEMA as the federal entity
responsible for administering the Stafford Act. 177
The Post- Katrina Act, along with other laws enacted by the 109th Congress,
significantly amends the Stafford Act by clarifying some sections, waiving previous
requirements, and re- working or creating new authorities. The changes to the act
reflect experiences gained after Hurricane Katrina and the perceived need for legal
remedies to make Stafford Act programs more flexible and responsive to events of
a catastrophic nature. While expanding federal assistance authorities, the
amendments seek to maintain state, local, and individual emergency management
responsibility and accountability. In short, the Post- Katrina Act expands federal
disaster assistance authority, but leaves the basic tenets of the Stafford Act ( such as
Presidential discretion, need for state requests, restrictions on eligibility) unchanged.
Expedited Federal Assistance
The Post- Katrina Act authorizes the President to support precautionary
evacuation measures and accelerate the delivery of federal emergency response and
recovery aid after the President has issued a major disaster or emergency declaration.
The amendments expand areas for technical and advisory assistance to address
problems of delay and communication identified in Katrina response efforts. The
President may provide federal assistance in the absence of a specific request from
state officials. If unrequested federal assistance is provided, federal officials must
attempt to coordinate the delivery of such aid with state officials; but they must not
delay the delivery of needed aid because of the coordination efforts. 178
Aid to Individuals
The Post- Katrina Act addresses several policy areas that direct federal disaster
assistance to individuals and families that encounter special circumstances or unique
needs in the disaster environment. For example, the act provides authority for the
provision of assistance to and accommodation for individuals with disabilities by
includi