Congressional Primer on Responding to
Major Disasters and Emergencies
Francis X. McCarthy
Analyst in Emergency Management Policy
Jared T. Brown
Analyst in Emergency Management and Homeland Security Policy
May 24, 2013April 30, 2014
Congressional Research Service
7-5700
www.crs.gov
R41981
CRS Report for Congress
Prepared for Members and Committees of Congress
Congressional Primer on Responding to Major Disasters and Emergencies
Summary
The principles of disaster management assume a leadership role by the local, tribal, and state
governments with the federal government providing coordinated supplemental resources and
assistance, if requested and approved. The immediate response to a disaster is guided by the
National Response Framework (NRF), which details roles and responsibilities at various levels of
government, along with cooperation from the private and non-profitnonprofit sectors, for differing
incidents incidents
and support functions. A declaration of a major disaster or emergency under the
authority of the
Robert T. Stafford Disaster Relief and Emergency Assistance Act, P.L. 93-288,
must, in almost all
cases, be requested by the governor of a state or the chief executive of an
affected Indian tribal
government, who at that point has declared that the situation is beyond the
capacity of the state or
tribe to respond. The governor/chief also determines which parts of the
state/tribal territory they
will request assistance for and suggests the types of assistance programs
that may be needed. The
President considers the request, in consultation with officials of the
Federal Emergency
Management Agency (FEMA), within the Department of Homeland Security
(DHS), and makes
the initial decisions on the areas to be included as well as the programs that are
implemented.
The majority of federal aid is made available from FEMA under the authority of the Stafford Act.
In addition to that assistance, other disaster aid is made available through programs of the Small
Business Administration (which provides disaster loans to both businesses and homeowners), the
U.S. Department of Agriculture (USDA), the Federal Highway Administration (FHWA) within
the Department of Transportation (DOT), and, in some
instances, the Department of Housing and
Urban Development (HUD) (in the form of
Community Development Block Grant funds being
made available for unmet disaster needs).
While the disaster response and recovery process is fundamentally a relationship between the
federal government and the requesting state or tribal government, there are roles for congressional
offices to play in providing information to the federal response and recovery teams in their
respective states and districts. Congressional offices also serve as a valuable source of accurate
and timely information to their constituents.
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Congressional Primer on Responding to Major Disasters and Emergencies
Contents
Overview.......................................................................................................................................... 1
Background on Disaster Response .................................................................................................. 1
Major Disaster and Emergency Declarations ............................................................................ 1
The Process for a Declaration ............................................................................................. 2
Types of Assistance with Declarations ................................................................................ 2
Fire Management Assistance Grants ................................................................................... 3
National Response Framework.................................................................................................. 3
National Disaster Recovery Framework.................................................................................... 4
Who Is in Charge? ..................................................................................................................... 5
The Principle of Federalism in Emergency Management ................................................... 5
Key Emergency Management Officials .............................................................................. 5
Forms of Disaster Assistance..................................................................................................... 6
Mutual Aid and Assistance Agreements .............................................................................. 6
Non-Governmental Organization (NGO) Assistance .......................................................... 6
National Guard .................................................................................................................... 6
Main Forms of Stafford Act Assistance............................................................................... 7
Other Federal Assistance ..................................................................................................... 7
Congressional Activity in the Process ............................................................................................. 89
Where to Obtain Further Information ............................................................................................ 10
Contacts
Author Contact Information........................................................................................................... 1011
Acknowledgments ......................................................................................................................... 11
Key Policy Staff ............................................................................................................................. 11
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Congressional Primer on Responding to Major Disasters and Emergencies
Overview
Before and after a disaster strikes, it may be helpful to understand the broad outlines of the
national emergency management structure and where authority rests at various stages of the
process. This report provides information that can aid policymakerspolicy makers as they navigate through the
many levels of responsibility, and numerous policy pressure points, by having an understanding
of the laws and administrative policies governing the disaster response and recovery process. The
report also reviews the legislative framework that exists for providing federal assistance, as well
as the implementing polices the executive branch employs to provide supplemental help to state,
tribal, and local governments during time of disasters.
See the “Where to Obtain Further Information” section of this report for online resources with
information on the response to current disasters, on the disaster management process and federal
disaster assistance programs, and on the current scientific predictions for various natural hazards.
Background on Disaster Response
Major Disaster and Emergency Declarations
Under the Robert T. Stafford Disaster Relief and Emergency Assistance Act (P.L. 93-288, as
amended, hereinafter “the Stafford Act”) there are two principal forms of presidential action to
authorize federal supplemental assistance.1 Emergency declarations are made to protect property
and public health and safety and to lessen or avert the threat of a major disaster or catastrophe.
Emergency declarations are often made when a threat is recognized (such as emergency
declarations for hurricanes which may be made prior to landfall) and are intended to supplement
and coordinate local and state efforts prior to the event. Emergency declarations are also made to
provide direct federal assistance to protect lives and property. This aids activities such as
evacuations and the protection of public assets. In contrast, a major disaster declaration is made
as a result of the disaster or catastrophic event and constitutes a broader authority that helps states
and local communities, as well as families and individuals, respond and recover from the damage
caused by
the event.
In considering declarations, it may be helpful to appreciate the discretionary roles of the
governor,
chief of the tribe, and the President.2 The declaration process contains many factors for
consideration and, for all but the most catastrophic events, the process moves at a deliberate
speed accumulating information from several sources. While the process is informed by that
information and its relationship to potential assistance programs, the information that is gathered
1
P.L. 93-288, 42 U.S.C. §§ 5121-5208.
Since passage of the Sandy Recovery Improvement Act of 2013 (Division B of P.L. 113-2 ), a chief executive of an
affected Indian tribal government may apply directly to the President for a disaster declaration, or can remain treated as
a local government and join a governor’s request (per previous policy). For more on this and other amendments to the
Stafford Act, see CRS Report R42991, Analysis of the Sandy Recovery Improvement Act of 2013, by Jared T. Brown,
Francis X. McCarthy, and Edward C. Liu. FEMA has begun a consultation process with Indian tribal governments and
other emergency management stakeholders to develop this tribal declaration process and policy. See FEMA’s website
on the consultation process at http://www.fema.gov/tribal-consultation.
2
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at the state and local level does not preclude the exercise of judgment by the governor/chief or the
President.3
The Stafford Act stipulates several procedural actions a governor/chief must take prior to
requesting federal disaster assistance (including the execution within the state of the state
emergency plan and an agreement to accept cost-share provisions and related informationsharing). Still, the process leaves broad discretion with the governor if he or she determines that a
situation is “beyond the capabilities of the state.”4 The concession that a state or tribe can no
longer respond on its own is difficult to quantify. It is the governor/chief who makes that
assessment, based on his or her knowledge of state/tribal resources and capabilities.
The Process for a Declaration
Following a significant event, the first need is for accurate information. The governor/chief’s first
decision is whether the incident is severe enough to warrant the assembling of a traditional
Preliminary Damage Assessment (PDA) team to survey the damaged area. The traditional PDA
team includes a state official, representatives from the appropriate FEMA regional office, a local
official familiar with the area and, in some instances, representatives from the American Red
Cross and/or the Small Business Administration.5
The FEMA representatives have the responsibility of briefing the team on the factors to be
considered, the information that will be helpful in the assessment, and how the information
should be reported. One significant improvement in this process is that the regulations now
require that the participants reconcile any differences in their findings so that all parties involved
are working from the same sets of information. In the case of some large disaster events, an initial
declaration may be made to accelerate emergency assistance. Follow-up assessments may then be
made to determine the extent of damage and the federal programs needed to address the situation.
Types of Assistance with Declarations
While the assistance under an emergency declaration may be proscribed by actions taken by the
state prior to the event, the forms of assistance contained in a major disaster declaration are
broader and may generally consist of the three types of assistance.
The type of federal assistance made available varies from one disaster to another and among eligible
eligible applicants within a tribe or state, commensurate with decisions by FEMA officials on the extent
extent of damage and the eligibility of applicants.6 For instance, under a major disaster
declaration, local
jurisdictions with large numbers of damaged or destroyed residences might be
eligible for
assistance under the Individual Assistance (IA) program, whereas those with severely damaged
damaged infrastructure but relatively few damaged homes might be eligible only for assistance
under the
Public Assistance (PA) program. Similarly, if a local government had extensive debris in public
in public rights-of-way due to a disaster, but very little damage to public facilities, a
determination might be made to provide assistance only for debris removal activities under the PA
3
For further analysis on emergency and major disaster declarations, see CRS Report RL34146, FEMA’s Disaster
Declaration Process: A Primer, by Francis X. McCarthy.
4
42 U.S.C. § 5170.
5
For examples of PDA reports, see http://www.fema.gov/preliminary-damage-assessment-reports.
6
For a brief review of disaster assistance programs see CRS Report RL31734, Federal Disaster Assistance Response
and Recovery Programs: Brief Summaries, by Carolyn V. Torsell and Jared Conrad Nagel.
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rights-of-way due to a disaster, but very little damage to public facilities, a determination might
be made to provide assistance only for debris removal activities under the PA program. On the
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program. On the other hand, areas severely devastated by a catastrophe are often eligible for both
IA and PA. In
most instances, disaster declarations now include Hazard Mitigation Assistance
(HMA), which is
provided to reduce the threat of future disaster damage.
The President’s declaration announcement will stipulate those counties/tribal areas included in the
declaration and for which forms of assistance.76 The declaration may comport with the governor’s
or tribal leader’s request. However, there are instances where the initial declaration may not
include all requested counties and types of assistance. Often times, additional assessments may be
needed to reach a decision on the specific areas and types of assistance to be provided. Additional
counties and assistance can be added on following the declaration. Hazard Mitigation Assistance
is generally included on a state-wide basis to give the states or tribe’stribes flexibility on prioritizing
projects within the state or tribal area that may reduce future disaster damage.
The declaration announcement will also note the federal and state cost-shares for disaster
assistance programs. Programs with a cost-share, such as infrastructure repair, are generally done
on a 75% federal, 25% state/tribe and local basis. These may be adjustedThe cost shared by the states/tribes may be
lowered based on several
considerations, including the scope of the damage within a state/tribalan area.87
Fire Management Assistance Grants
In addition to the major disaster and emergency declarations, there is one other type of federal
supplemental assistance that is funded by the President’s Disaster Relief Fund. This type of
declaration is the Fire Management Assistance Grant (FMAG) which is authorized by Section
420 of the Stafford Act.98 The President has delegated this authority to FEMA and its
implementation is negotiated on a real-time basis between the affected state or tribal department
of forestry, the FEMA regional office, and the U.S. Forest Service (which usually serves as
FEMA’s Principal Advisor at the regional level).109 The FMAG is intended to mitigate the effects
of of
a wildfire and prevent it from becoming a major disaster event. It is cost-shared on a 75%
federal federal
and 25% state/tribe basis.
National Response Framework
The National Response Framework (NRF) guides the nation’s response to a major disaster,
regardless of cause or size.1110 The NRF also establishes 15 different Emergency Support Functions
(ESFs) to organize the response capabilities of the federal government. ESFs group federal
agencies with pertinent authorities, resources, and expertise to accomplish a set of capabilities
7needed in disaster response, regardless of the type of hazard. For instance, ESF #9 is “Search and
Rescue,” which unifies federal agencies with the appropriate resources and authorities to conduct
6
These announcements are publicly available in the Federal Register.
For a full discussion of cost-shares under Stafford Act declarations see CRS Report R41101, FEMA Disaster CostShares: Evolution and Analysis, by Francis X. McCarthy.
98
42 U.S.C. § 5187.
109
U.S. Department of Homeland Security/Federal Emergency Management Agency, “Fire Management Assistance
Grants: Program Details,” June 15, 2012, at http://www.fema.gov/fire-management-assistance-grants-program-details.
1110
U.S. Department of Homeland Security, National Response Framework, Second Edition, May 2013,
http://www.fema.gov/library/viewRecord.do?id=7371. For extensive support documents and presentations on the NRF,
see http://www.fema.gov/nrf/.
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needed in disaster response, regardless of disaster type. For instance, ESF #9 is “Search and
Rescue,” which unifies federal agencies with the appropriate resources and authorities to conduct
search and rescue operations following a hurricane, earthquake, or other major disaster.12 The
terrorist attack, or other
disaster.11 The NRF also contains additional guidance describing how the NRF will be used in
response to
certain common disaster problems. The Volunteer and Donations Management
Support Annex,
for example, describes how the federal government will help coordinate the most
efficient and
effective use of unaffiliated volunteers, unaffiliated organizations, and unsolicited donated
donated goods.1312
Although the NRF is often closely linked with the Stafford Act, the NRF is always in effect and
does not require a formal Stafford Act declaration to be used. Any disaster requiring federal
coordination, including those declared under other federal authorities, arguably would be
managed through the NRF.1413 As a result of the NRF, the federal, tribal, state, local government
agencies, and even most non-governmentgovernmental organizations will arguably operate in similar ways
during response, with commonly understood terminology and management structures.
National Disaster Recovery Framework
The National Disaster Recovery Framework (NDRF) provides a companion document to the
National Response Framework NRF
in guiding the nation’s recovery to major disasters.1514 The NDRF
puts forth basic recovery
principles as well as roles and responsibilities at the respective levels of
government, along with a
structure and process to assist short- and long-term recovery following
a disaster event. As with
the NRF, the NDRF also uses a support function model to organize
federal capabilities. For the
recovery phase, FEMA and its partners have identified six Recovery
Support Functions. An
example of a Recovery Support Function is the Economic Recovery
Support Function. That RSF
is coordinated by the U.S. Department of Commerce.1615
In addition, the NDRF also presents three positions that provide focal points for incorporating
recovery considerations into the decision making process following a disaster. Those positions are
Federal Disaster Recovery Coordinator (FDRC), State or Tribal Disaster Recovery Coordinators
(SDRC or TDRC), and Local Disaster Recovery Managers (LDRM).17
1216
11
Each ESF has a coordinating agency, typically several different primary agencies, and a larger number of support
agencies. For more description on the purpose and composition of ESFs, see http://www.fema.gov/pdf/emergency/nrf/
nrf-esf-intro.pdf
13
See the annex at http://www.fema.gov/library/viewRecord.do?id=7393,
14
12
See Federal Emergency Management Agency, Volunteer and Donations Management Support Annex, National
Response Framework, May 2013, at http://www.fema.gov/media-library-data/20130726-1914-25045-5208/
nrf_support_annex_volunteer_20130505.pdf.
13
U.S. Department of Homeland Security, National Response Framework, Second Edition, May 2013, p. 17,
http://www.fema.gov/library/viewRecord.do?id=7371. Examples include public health emergencies declared under
Section 319 of the Public Health Services Act (42 U.S.C. §§ 201 et seq.), or spills of national significance under the Oil
Pollution Act (P.L. 101-380).
1514
U.S. Department of Homeland Security, Federal Emergency Management Agency, “National Disaster Recovery
Framework,” September, 2011, at http://www.fema.gov/national-disaster-recovery-framework.
1615
For more on the Recovery Support Functions, see http://www.fema.gov/recovery-support-functions.
1716
U.S. Department of Homeland Security, Federal Emergency Management Agency, “National Disaster Recovery
Framework,” September, 2011, p. 25, at http://www.fema.gov/national-disaster-recovery-framework.
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Who Is in Charge?
The Principle of Federalism in Emergency Management
Through the NRF, the United States takes a “bottom up” approach to both managing and
providing assistance during a disaster. The responsibility for responding to disasters begins at the
local level with survivors, elected officials, and emergency service personnel. If the local governmental
governmental resources are overwhelmed, non-governmental organizations in the community and neighboring
neighboring governmental jurisdictions may be called upon to provide assistance. If those
become exhausted,
the state and tribal governments may supplement the local government’s
resources, and the
governor may make a state disaster declaration. Only after both local and
state/tribal government
resources have been overwhelmed, and the governor of the state or tribal
chief has requested assistance, does
the federal government begin to “supplement the efforts and
available resources of States, local
governments, and disaster relief organizations in alleviating
the damage, loss, hardship, or
suffering.”1817 The details of this supplemental partnership are
stipulated in the Federal-State
Agreement (or FEMA-Tribal Agreement) which is signed by the
representatives of the
governor/chief and of FEMA and enumerates the “conditions for
assistance” and how it will be
provided.1918
Under this principle, except in the most extraordinary circumstances, the local and state/tribal
governments are in charge of the disaster response. FEMA, or any other federal agency, is there to
aid the disaster response process through the NRF and programs it administers, and to coordinate
federal resources in response to state/tribal requests—not to be in the lead or take command.2019
Key Emergency Management Officials
Following the federalism principle, the local elected official, such as a mayor or their appointed
representative, leads the disaster response for their community. The governor is the lead for the
state response, the chief for the tribe, and the President for the federal response.2120 If state
resources are being used to supplement the local response, they are typically coordinated through
a State Coordinating Officer (SCO) and the state’s emergency management or homeland security
agency. In the event of a Stafford Act emergency or disaster declaration, the President will request
that each governor appoint a SCO if they have not done so already.2221 Similar positions will be
filled by the tribes. Likewise, the President, FEMA Administrator, or Regional Administrator will
appoint a Federal Coordinating Officer (FCO) to coordinate all federal resources per state.2322 The
FCO is located at the Joint Field Office (JFO) where federal agencies and departments coordinate
18
17
42 U.S.C. § 5122, Section 102(2) of the Stafford Act.
44 C.F.R. § 206.44.
2019
There are circumstances when the federal government is the lead for a disaster, such as when the area affected is
federal . This most frequently occurs because
the incident involves an issue or hazard for which, under the Constitution or a federal law, the President or other federal
authority has exclusive or preeminent responsibility and authority. Examples include when the area affected is federal
property (in national waters, parks, or military installations, etc.) or when the disaster is caused by a terrorist act
and the
Federal Bureau of Investigation becomes the lead federal law enforcement agency.
2120
At the federal level, the President has delegated leadership responsibilities to the Secretary of Homeland Security and
the Administrator of FEMA.
2221
42 U.S.C. § 5143(c).
2322
The role of the coordinating officers is described in statute at 42 U.S.C. § 5143 and in regulations at 44 C.F.R. §
§206.42.
1918
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their activities. Often times, state/tribal disaster officials will co-locate at the JFO to facilitate
coordination of efforts.24
Forms of Disaster Assistance
Mutual Aid and Assistance Agreements
Many local governments have pre-negotiated agreements with neighboring jurisdictions to share
resources ranging from emergency service equipment (ambulances, fire trucks, etc.) to technical
experts (bridge inspectors, contract managers, etc.). At the state level, the Emergency
Management Assistance Compact (EMAC) is a congressionally ratified compact that provides a
legal structure by which states affected by a disaster may request emergency assistance and aid
from other states.2523 Mutual aid agreements are an increasingly common and important source of
assistance during major disasters. Congressional offices may wish to become familiar with the
types of agreements in place for disaster assistance in their appropriate state and congressional
district.
Non-Governmental Organization (NGO) Assistance
Though not required, NGOs wishing to provide disaster assistance and relief are encouraged by
statute and regulation to coordinate their assistance through the structure of the NRF.2624 Two
national NGOs, the National Voluntary Organizations Active in Disaster (National VOAD) and
the American Red Cross, have specific responsibilities under the NRF.2725 Because each disaster
has a unique set of NGOs involved in response and relief, state, tribe or local government
officials may generally be the best source of information on their activities during the disaster.
National Guard
Governors routinely use their state National Guard forces to assist with disaster response and
recovery. Although National Guard personnel can be called into federal service under certain
circumstances, they normally operate under the control of state and territorial governors. As part
of a state-level response to a disaster, governors have the authority to order state National Guard
personnel to perform full-time duty under state law. This is commonly referred to as “state active
duty.” In this capacity, National Guard personnel operate under the control of their governor, are
paid according to state law, can assist civil authorities in a wide variety of tasks, and are not
subject to the restrictions of the Posse Comitatus Act (that is, they can perform law enforcement
functions). In response to a hurricane, National Guard personnel might perform tasks such as
24
Since the formal relationship of tribes acting as states was only established recently with the enactment of the Sandy
Recovery Improvement Act (SRIA) (P.L. 113-2) on January 29, 2013, FEMA has been conducting a series of
conference calls and regional workshops with tribes to establish relationships and to adjust current processes to reflect
the tribal organizations.
25
conducting search and rescue, transporting and distributing supplies, setting up emergency
shelters, clearing road debris, and providing emergency medical care.
23
The EMAC was ratified in P.L. 104-321. For more on EMAC, see http://www.emacweb.org/.
26
For example, see 42 U.S.C. 5152 and 44 C.F.R. §206.12.
2725
See p. 9 of the NRF. National VOAD is a coalition of many NGO organizations, and is a valuable resource in
understanding the types of assistance available through NGOs. See more at http://www.nvoad.org/. The American Red
Cross is actually a federally chartered instrumentality of the U.S. government; see 36 U.S.C. §§ 300101-300113.
24
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conducting search and rescue, transporting and distributing supplies, setting up emergency
shelters, clearing road debris, and providing emergency medical care.
Main Forms of Stafford Act Assistance
The three principal forms of federal financial assistance under the Stafford Act are:
•
Public Assistance (PA), which generally provides repairs to public infrastructure.
This can include debris removal, repairs to public buildings, state and local roads,
water control facilities, public or non-profitnonprofit utilities, and recreational facilities.
Although certain non-profitnonprofit organizations may be eligible, private businesses are
not.26
•
Individual Assistance (IA), which generally involves temporary housing which
can take the form of rental assistance, repairs to make a home habitable, direct
assistance when rental units are not available (this is usually in the form of
mobile homes or trailers), or contributions toward the replacement of a home.
Total assistance under this program is capped at about $31,90032,400, though the
number changes annually. Other aid to individuals may be provided through
Crisis Counseling for disaster victims28victims27 and Disaster Unemployment Assistance
(DUA) if there are significant numbers of workers unemployed due to the
disaster who do not qualify for the regular state unemployment program.2928
•
Hazard Mitigation Assistance (HMA), which is the form of aid that provides
additional funding to states to accomplish projects that can reduce future disaster
damage. This form of assistance is also cost-shared. Mitigation projects can
include the construction of safe rooms, buy-outs of frequently flooded properties,
and retro-fitting of facilities.3029
Other Federal AssistanceAssistance30
Under a Stafford Act declaration, the President, the FEMA Administrator, and the FEMA
Regional Administrator may:
direct any Federal agency, with or without reimbursement, to utilize its authorities and the
resources granted to it under Federal law (including personnel, equipment, supplies,
facilities, and managerial, technical, and advisory services) in support of State and local
assistance response and recovery efforts, including precautionary evacuations.31
If another federal agency is called upon to assist during a disaster using this authority, typically
they do receive reimbursement through a “Mission Assignment.”32 In addition, there are a number
28
42 U.S.C. § 5177.
26
The Public Assistance program is authorized by Sections 403(a)(3)(A), 406, 407, 428, and 502(a)(5) of the Stafford
Act. Respectively, these sections of the Stafford Act refer to emergency debris removal; repair, restoration, and
replacement of damaged facilities; non-essential debris removal; public assistance program alternative procedures, and
debris removal (via an emergency declaration). Under FEMA policy guidance for PA, there are seven categories.
Under “emergency work” there is Category A—Debris Removal and Category B—Emergency Protective Measures;
and under “permanent work” there is Category C—Roads and Bridges, Category D—Water Control Facilities,
Category E—Buildings and Equipment, Category F—Utilities, and Category G—Parks, Recreational Facilities, and
Other Items. These categories are defined in Federal Emergency Management Agency, Public Assistance Guide,
FEMA 322, 2007, at http://www.fema.gov/public-assistance-policy-and-guidance.
27
42 U.S.C. §5177.
28
For additional information on this program, see CRS Report RS22022, Disaster Unemployment Assistance (DUA),
by Julie M. Whittaker.
3029
For a full description of the Hazard Mitigation program see CRS Report R40471, FEMA’s Hazard Mitigation Grant
Program: Overview and Issues, by Natalie Keegan.
31
42 U.S.C. § 5170a, Section 402(1) of the Stafford Act.
32
For regulations on this issue, see 44 C.F.R. § 206.5-8
29
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of pre-existing disaster assistance programs not administered by DHS or FEMA that can be
involved in any given disaster.33 Four significant 30
For a more comprehensive list of federal assistance programs, see CRS Report RL31734, Federal Disaster
Assistance Response and Recovery Programs: Brief Summaries, by Carolyn V. Torsell and Jared C. Nagel.
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facilities, and managerial, technical, and advisory services) in support of State and local
assistance response and recovery efforts, including precautionary evacuations.31
If another federal agency is called upon to assist during a disaster using this authority, typically
they receive a mission assignment from FEMA and are reimbursed through the Disaster Relief
Fund.32 In addition, there are a number of pre-existing disaster assistance programs not
administered by DHS or FEMA that can be involved in any given disaster. Four significant
programs are:
•
Small Business Administration (SBA) Disaster Loans: SBA provides federally
subsidized loans to repair or replace homes, personal property, or businesses that
sustained damages not covered by insurance following a disaster. SBA loans are
a key source of assistance for the private sector and individual homeowners.3433
•
Department of Housing and Urban Development (HUD) Community
Development Block Grant (CDBG) Program: These funds can be used to meet a
wide range of disaster needs, but the program typically requires a supplemental
appropriation to accommodate the high cost of disaster relief.3534
•
U.S. Department of Transportation Federal-Aid Highway Emergency Relief (ER)
Program: The ER program is the major source of grant funds for the repair and
reconstruction of roads on the federal-aid highway system36system35 that have suffered
serious damage as a result of either (1) a natural disaster over a wide area, such
as a flood, hurricane, tidal wave, earthquake, tornado, severe storm, or landslide;
or (2) a catastrophic failure from any external cause.3736
•
U.S. Department of Agriculture (USDA) Agriculture and Rural Assistance: There
are multiple programs provided by USDA that provide food, housing, and
financial assistance, primarily to agricultural and rural communities.38
Congressional Activity in the Process
As mentioned previously, the Stafford Act, and overall federal disaster assistance, is
fundamentally a relationship between the federal, state, and tribal governments. However, there
are steps along the way in which congressional input and distribution of information can assist the
process toward recovery. As a disaster situation unfolds, congressional offices may wish to take
the following steps during the pre-declaration period:
•
Establish a working relationship with the state/tribal emergency management
office to understand the most valuable contributions that an office can make.
33
For a more comprehensive list of programs, see CRS Report RL31734, Federal Disaster Assistance Response and
Recovery Programs: Brief Summaries, by Carolyn V. Torsell and Jared Conrad Nagel.
3437
31
42 U.S.C. §5170a, Section 402(1) of the Stafford Act.
Mission assignments rely on the authority of the President to direct federal agencies to support disaster response and
recovery operations, namely found at Sec. 402, 403, and 502 of the Stafford Act (42 U.S.C. §§5170a, 5170b, and
5192). See Federal Emergency Management Agency, Financial Management Support Annex, National Response
Framework, May 2013, at http://www.fema.gov/media-library/assets/documents/32264?id=7387.
33
For more on the current programs offered by SBA to assist after disasters, see CRS Report R41309, The SBA
Disaster Loan Program: Overview and Possible Issues for Congress, by Bruce R. Lindsay.
3534
For more on how CDBG can be used during disaster relief, see CRS Report RL33330, Community Development
Block Grant Funds in Disaster Relief and Recovery, by Eugene Boyd. The program website is available at
http://portal.hud.gov/hudportal/HUD?src=/program_offices/comm_planning/communitydevelopment/programs/drsi.
3635
According to U.S. DOT, the definition of Federal-aid highways includes roads “ranging from high service level
arterials to lower service local streets ... ” and “ ... about one-quarter of the overall public road mileage has been
designated as Federal-aid highways.” For a full definition, see http://www.fhwa.dot.gov/specialfunding/er/guide.cfm.
3736
For more on the FHWA ER program and its comparable program for transit, see CRS Report R42804, Emergency Relief Program: Federal-Aid Highway
AssistanceR43384, Emergency
Relief for Disaster- Damaged Roads and BridgesTransit Systems: In Brief, by Robert S. Kirk.
3837
For more, see USDA’s fact sheet on their programs at http://www.usda.gov/documents/usda-disaster-assistance-factsheet-oct-2012.docx. Also review CRS Report RS21212, Agricultural Disaster Assistance, by Dennis A. Shields and
CRS Report RL33816, Broadband Loan and Grant Programs in the USDA’s Rural Utilities Service, by Lennard G.
Kruger, among others.
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Congressional Activity in the Process
As mentioned previously, the Stafford Act, and overall federal disaster assistance, is
fundamentally a relationship between the federal, state, and tribal governments. However, there
are steps along the way in which congressional input and distribution of information can assist the
process toward recovery. As a disaster situation unfolds, congressional offices may wish to take
the following steps during the pre-declaration period:
•
Encourage family and household planning through web sites such as
http://www.ready.gov, which provides pre-disaster planning advice.
•
Establish a working relationship with the state/tribal emergency management
office to understand the most valuable contributions that an office can make.
•
Consider a letter of support for the governor/chief’s request for a declaration by
framing the problems confronted by the state/tribe and local governments and the
importance of specific federal, supplemental assistance.
•
Provide input to the PDA teams, through state, tribal, and local officials,
regarding pockets of need or constituents who have noted problem areas that
should be reviewed.
•
Help to manage expectations of residents by explaining the process and the
potential assistance, as well as its limitations.
If a declaration is made by the President, congressional offices can then:
•
Establish their relationship with FEMA/DHS Congressional liaisons to obtain
accurate and timely information both at the headquarters level and in the field at
the Joint Field Office (JFO) level.
•
Consider publicizing the 1-800 number and the online process for applying for
Individual Assistance programs as described at http://www.fema.gov.
•
If needed, provide suggestions to FEMA/DHS on likely locations for fixed
Disaster Recovery Centers (DRCs) and for possible sites for Mobile Disaster
Recovery Centers to visit. These DRCs are typically staffed by FEMA and other
federal agencies as well as non-governmental organizations and provide citizens
with the opportunity for face to face sessions with recovery staff.
•
Work with FEMA/DHS to get an accurate listing of countiescommunities that are
participating in the National Flood Insurance Program and those that are either
sanctioned, or have chosen not to participate.39
•
Consider publicizing the “Applicants Briefing” to local governments and nongovernmental organizations that sustained damage from the event. This briefing
is the session in which FEMA staff explain the PA program (repairs to
infrastructure) regulations and policies to local officials and potential applicants.
•
Engage the State Hazard Mitigation Officer to understand the state’s plan for
mitigation, the priorities it has established, and the timeline of its
implementation.
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Congressional Primer on Responding to Major Disasters and Emergencies
•
Be cognizant of the financial •
Be cognizant of the status of the Disaster Relief Fund (DRF) that funds the
the Stafford Act programs as well as other missions assigned to other departments
and agencies to carry out response and recovery missions. The DRF has
frequently been funded through supplemental legislation to maintain a balance
that can meet current obligations and projected needs.40
39
For detailed information on this program see CRS Report R42850, The National Flood Insurance Program: Status
and Remaining Issues for Congress, by Rawle O. King.
40
For a further discussion of disaster spending, see CRS Report R40708, Disaster Relief Funding and Emergency
Supplemental Appropriations, by Bruce R. Lindsay and Justin Murray.
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Congressional Primer on Responding to Major Disasters and Emergencies
departments and agencies to carry out response and recovery missions.38
Depending on the severity of the disaster and existing accounting balances, the
Administration may request, and Congress could act on, legislation to provide
supplemental appropriations in the DRF and other disaster assistance program
accounts.
Where to Obtain Further Information
There are available online sources that provide the most immediate disaster response information.
•
Current Stafford Act declarations: http://www.fema.gov/news/disasters.fema.
•
FEMA news releases: http://www.fema.gov/news/recentnews.fema.
•
FEMA also maintains a blog, a Facebook page, and a Twitter feed with the latest
information on disasters,: see http://blog.fema.gov/, http://www.facebook.com/
FEMA, and https://twitter.com/fema, respectively.
Sources of information on the federal emergency management process and policies.
•
How citizens can prepare for disasters: http://www.ready.gov/.
•
On National Preparedness Policy and the National Planning Frameworks:
http://www.fema.gov/national-planning-frameworks.
•
On the National Response Framework: http://www.fema.gov/nrf/.
•
On the National Incident Management System: http://www.fema.gov/nims/.
Sources of information on disaster assistance programs.
•
How citizens can receive individual disaster assistance:
http://www.disasterassistance.gov/.
•
Database of disaster assistance programs for federal, state, for-profit, non-profitnonprofit,
and charitable entities (National Disaster Recovery Program Database):
http://www.fema.gov/ndrpd/.
•
Background on all federal assistance programs: https://www.cfda.gov/.
Sources of scientific information on the magnitude and location of natural disastershazards.
•
Relating to hurricanes: http://www.nhc.noaa.gov/.
•
Relating to earthquakes: http://earthquake.usgs.gov/earthquakes/.
•
Current flood and drought maps: http://waterwatch.usgs.gov/new/.
38
For a further discussion of disaster spending, see CRS Report R40708, Disaster Relief Funding and Supplemental
Appropriations for Disaster Relief, by Bruce R. Lindsay and Justin Murray.
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Congressional Primer on Responding to Major Disasters and Emergencies
•
Current severe weather warnings, including tornados, thunderstorms, and
flooding: http://www.spc.noaa.gov/products/wwa/.
Author Contact Information
Francis X. McCarthy
Analyst in Emergency Management Policy
fmccarthy@crs.loc.gov, 7-9533
Congressional Research Service
Jared T. Brown
Analyst in Emergency Management and Homeland
Security Policy
jbrown@crs.loc.gov, 7-4918
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Congressional Primer on Responding to Major Disasters and Emergencies
Acknowledgments
The authors are grateful for the assistance of Bruce Lindsay, Natalie Keegan, William Painter, and
Lawrence Kapp in preparing this report.
Key Policy Staff
Area of Expertise
Name
Phone
E-mail
Francis McCarthy
7-9533
fmccarthy@crs.loc.gov
Bruce Lindsay
7-3752
blindsay@crs.loc.gov
Jared Brown
7-4918
jbrown@crs.loc.gov
Jared Brown
7-4918
jbrown@crs.loc.gov
Bruce Lindsay
7-3752
blindsay@crs.loc.gov
Francis McCarthy
7-9533
fmccarthy@crs.loc.gov
Jared Brown
7-4918
jbrown@crs.loc.gov
Jared Brown
7-4918
jbrown@crs.loc.gov
Bruce Lindsay
7-3752
blindsay@crs.loc.gov
Fran McCarthy
7-9533
fmccarthy@crs.loc.gov
Disaster Preparedness Grants
Natalie Keegan
7-9569
nkeegan@crs.loc.gov
Public Health and Medical Response in
Disasters
Sarah Lister
7-7320
slister@crs.loc.gov
National Guard, and Department of
Defense Disaster Response
Lawrence Kapp
7-7609
lkapp@crs.loc.gov
Federal Wildfire Policy
Kelsi Bracmort
7-7283
kbracmort@crs.loc.gov
Defense Production Act Authorities
Jared Brown
7-4918
jbrown@crs.loc.gov
Funding Disaster Assistance and the
Disaster Relief Fund
Bruce Lindsay
7-3752
blindsay@crs.loc.gov
Stafford Act Assistance Programs
Francis McCarthy
7-9533
fmccarthy@crs.loc.gov
Jared Brown
7-4918
jbrown@crs.loc.gov
Disaster Authorities, Processes, and Principles
Stafford Act Emergency and Disaster
Declarations
Management of Emergency and
Disaster Response
Emergency and Disaster Preparedness
Policies
Disaster Assistance Programs
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Area of Expertise
Name
Phone
E-mail
Small Business Administration Disaster
Loans
Bruce Lindsay
7-3752
blindsay@crs.loc.gov
Community Development Block Grant
Assistance
Eugene Boyd
7-8689
eboyd@crs.loc.gov
Community Disaster Loan Program
(FEMA)
Jared Brown
7-4918
jbrown@crs.loc.gov
National Flood Insurance
Program/Flood Mitigation
Rawle King
7-5975
rking@crs.loc.gov
Agriculture Disaster Assistance
Dennis Shields
7-9051
dshields@crs.loc.gov
Transportation Assistance
Robert S. Kirk
7-7769
rkirk@crs.loc.gov
Disaster Unemployment Assistance
Julie Whittaker
7-2587
jwhittaker@crs.loc.gov
Disaster Authorities, Processes, and Principles
Stafford Act Emergency and Disaster
Declarations
Emergency and Disaster Response
Process
Emergency and Disaster Preparedness
Policies
Disaster Assistance Programs
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