Recovery and Mitigation 101

Obtaining Of Federal Disaster Assistance

State And Local Roles And Responsibilities

 

State And Local Roles And Responsibilities

Pat Smoak

 

I. Introduction

This presentation will describe a typical sequence of events following a disaster declaration, outlining state and local roles and responsibilities.

II. Learning Objectives

A. Understand the events that will occur following a disaster declaration

B. Understand the state roles and responsibilities

C. Understand local roles and responsibilities

III. Discussion

A. Disaster response may or may not require federal assistance. Those that do require federal assistance will generally fall into one of two categories:

1. Responses to an incident that may involve a criminal act requiring both a Crisis Management and a Consequence Management Component.

a. Crisis Management will be under the direction of the FBI as the lead agency and will address the criminal investigation aspects of the incident.

b. Consequence Management will be under the direction of local authorities and assisted by FEMA as the lead federal agency. Consequence Management will address recovery and restoration efforts.

2. Responses to incidents resulting from acts of nature, i.e., floods, tornadoes, drought, and involve assistance with the Consequence Management effort from the federal government with FEMA as the lead federal agency.

B. Roles and Responsibilities

1. Local roles and responsibilities should be in accordance with the local EOP, which should spell out recovery actions through rapid damage assessment and the immediate life support needs of disaster victims. Preparation of the local EOP is the responsibility of the local elected leadership which is legally responsible for ensuring that necessary and appropriate actions are taken to protect people and property from the consequences of emergencies and disasters.

A.. Response involves time sensitive actions to save lives and property. These actions involve

(1) the notification of emergency management personnel,

(2) warning and evacuation/sheltering of the affected population,

(3) keeping the population informed,

(4) rescuing victims,

(5) providing medical treatment,

(6) maintaining the laws of the locality,

(7) assessing damage,

(8) addressing mitigation issues that arise from response actions, and

(9) requesting assistance from other jurisdictions, regions, and the state/federal governments.

B. Recovery actions involve the restoration of infrastructure, incorporation mitigation as a goal.

2. State responsibilities and missions are very broad and, in addition to providing assistance to meet unmet local needs, address several operational response functions that focus on direction and control, warning, emergency public information, and evacuation actions that must take place during the initial phase of of response operations. These state responsibilities are generally directly related to the emergency support functions cited in the Federal Response Plan

a. ESF-6 and ESF-8. Lifesaving, transport, and treatment of the injured; disposition of the dead; disease control activities related to sanitation, and the avoidance of water and food supplies.

b. ESF-9.addresses urban search and rescue and is particularly significant in disasters involving flood, tornadoes, hurricanes, building collapse, and terrorism.

C. The following sections explain how a declaration is secured and how local government gets involved.

1. Immediately following a disaster, an initial damage assessment must be performed by the local jurisdiction to assess the impacts of the disaster. This assessment should provide a rough estimate of the type and the extent of damages, including probable costs. Often this will require the coordination of the various municipal governments who will also perform their own damage assessments. When the information has been collected, it is transmitted immediately by facsimile to the State Warning Point in the DEM.

2. Most local jurisdictions have the authority to declare, by resolution, a local "state of emergency" pursuant to state statutes. Even though a local state of emergency declaration can be initiated by a county at any time, it should be declared prior to requesting response or recovery assistance from the state. Doing so lets state decision-makers know that an emergency situation exists which is beyond the response or recovery capabilities of the local jurisdiction. The state usually will not initiate the damage assessment process, and will not seek a Presidential Disaster Declaration for a county that has not declared a local state of emergency. The enactment of such a declaration will enable counties to:

a. Request state assistance, if needed;

b. Invoke emergency related mutual-aid assistance; and

c. Waive the procedures and formalities otherwise required of the political subdivision by law, to respond to the emergency. These measures pertain to:

(1) performing public works;

(2) entering into contracts;

(3) incurring obligations;

(4) hiring permanent/temporary workers;

(5) using volunteers;

(6) securing rental equipment;

(7) acquiring and distributing supplies;

(8) appropriating and expending public funds;

(9) preventing price gouging;

(10) regulating transportation; and

(12) managing resources.

3. If a county determines the emergency or disaster is beyond its ability to effectively respond, a state of emergency can be declared by the Governor through an executive order. The action of the governor will be in support of local jurisdiction's expressed needs. The declaration of a state of emergency by the Governor serves to:

a. Activate the emergency response, recovery and mitigation phases of the state and local emergency management plans; and

b. Provide authority for the mobilization and deployment of all resources to which the plans refer, pursuant to state statutes, or any other provision of law relating to emergencies.

4. Once the state has received the initial damage assessment, the state and FEMA will initiate a joint preliminary assessment in cooperation with the affected county government. The action is taken to verify the severity and magnitude of the damage in order to justify the need to pursue a request for federal assistance. If a joint preliminary damage assessment is initiated, local jurisdictions should provide the appropriate transportation, maps and guides to the damage areas. The more expeditiously the data can be collected, the quicker a potential disaster declaration can be obtained.

5. When state and local resources are inadequate to effectively respond to an emergency or major disaster, Public Law 100-707 allows for federal assistance through a Presidential Disaster Declaration. This assistance is requested by the Governor if the situation meets the criteria for a declaration. The Governor submits a written request to the President through the appropriate FEMA Region. If FEMA develops information to supplement the Governor's request, this is also sent to the President who determines the final disposition. The President's decision is transmitted through FEMA Region IV back to the Governor.

 

Authorities That Govern Federal Relief Assistance

FEDERAL CIVIL DEFENSE ACT OF 1950

ROBERT T. STAFFORD DISASTER RELIEF AND EMERGENCY ASSISTANCE ACT OF 1974

PRESIDENTIAL REORGANIZATION PLAN #3 OF 1978

-- Shifted emphasis from civil defense to all-hazards

FEDERAL SUPERFUND AMENDMENTS AND REAUTHORIZATION ACT OF 1976

Disaster Relief Act of 1974, PL 93-288

 

Recovery and Mitigation 101

 

Obtaining Of Federal Disaster Assistance

Pat Smoak

 

I. Introduction

This presentation will describe a typical sequence of events involved with the obtaining of Federal disaster assistance.

II. Learning Objectives

A. Understand the procedures for requesting Federal disaster assistance

B. Understand the events that will occur following a disaster declaration

III. Discussion

A. Should local and state resources be inadequate to respond the a disaster, the state may request federal assistance. Federal assistance is cited by the Federal Response Plan, indicating the Emergency Support Functions that may be called on for support.

 

1. FEMA.

a. Under the Robert T. Stafford Disaster Relief and Disaster Assistance Act, PL 100-707, a Governor may request the President to declare a major disaster or an emergency if an event is beyond the combined response capabilities of the state and affected local governments. Based upon the findings of a joint Federal-State-local Preliminary Damage Assessment (PDA) indicating the damages are of sufficient severity and magnitude to warrant assistance under the Act, the President may grant a major disaster or emergency declaration. (Note: In a particularly fast-moving or clearly devastating disaster, the PDA process may be deferred until after the declaration.)

b. No direct Federal assistance is authorized prior to a Presidential declaration. However, FEMA can use limited pre-declaration authorities to move Initial Response Resources (critical goods typically needed in the immediate aftermath of a disaster, e.g., food, water, emergency generators) and emergency teams closer to potentially affected areas. FEMA also can activate essential command and control structures to lessen or avert the effects of a disaster and to improve the timeliness of disaster operations. Additionally, when an incident poses a threat to life and property that cannot be effectively dealt with by the State or local governments, FEMA may request the Department of Defense (DOD) to utilize its resources prior to a declaration to perform any emergency work "essential for the preservation of life and property" under the Stafford Act.

c. Following a declaration, the President may direct any Federal agency to use its authorities and resources in support of State and local assistance efforts to the extent that provision of the support does not conflict with other agency emergency missions. This authority has been further delegated to the FEMA Director; the FEMA Associate Director, Response and Recovery; the FEMA Regional Director; and the Federal Coordinating Officer (FCO).

d. The FEMA Director, on behalf of the President, appoints an FCO, who is responsible for coordinating the timely delivery of Federal disaster assistance to the affected State, local governments, and disaster victims. In many cases, the FCO also serves as the Disaster Recovery Manager (DRM) to administer the financial aspects of assistance authorized under the Stafford Act. The FCO works closely with the State Coordinating Officer (SCO), appointed by the Governor to oversee disaster operations for the State, and the Governor’s Authorized Representative (GAR), empowered by the Governor to execute all necessary documents for disaster assistance on behalf of the State.

e. The State must commit to pay a share of the cost to receive certain types of Federal assistance under the Stafford Act. In extraordinary cases, the President may choose to adjust the cost share or waive it for a specified time period. The Presidential declaration notes any cost-share waiver, and a FEMA-State Agreement is signed further stipulating the division of costs among Federal, State, and local governments and other conditions for receiving assistance.

f. While performing a function under the authority of the Stafford Act, a Federal agency or designated employee of a Federal agency is not liable for any claim based upon the exercise or performance of or the failure to exercise or perform that function.

g. In addition to a Presidential disaster declaration, several Federal agencies have independent authorities to declare disasters. For example, the Secretary of Agriculture may declare a disaster in certain situations in which a county has sustained production losses of 30 percent or greater in a single major enterprise, authorizing emergency loans for physical damages and crop losses. The Secretary of Commerce may make a determination of a commercial fishery failure or fishery resource disaster. The Administrator of the Small Business Administration may make a disaster declaration based on physical damage to buildings, machinery, equipment, inventory, homes, and other property as well as economic injury.

h. In an event requiring massive resources, conflicting priorities requiring the same resources should be resolved in the field by the Emergency Response Team (ERT) Operations Section Chief or FCO. Unresolved resource conflicts and unmet State needs will be referred to FEMA Headquarters to the Emergency Support Team (EST) and/or the Catastrophic Disaster Response Group (CDRG), if necessary, for final resolution. The Stafford Act requires that Federal agencies avoid duplicating resources and benefits whenever possible, i.e., agencies should not provide to a disaster victim the same or similar assistance that another agency is providing. Disaster victims are responsible for repayment of Federal assistance duplicated by private insurance or other Federal programs.

i. Upon indication of an imminent or actual disaster, the State notifies the FEMA Regional Office through the MERS Operations Center 800 number. The MOC then immediately notifies the NECC and FEMA regional staff in accordance with regional procedures. If directed by the Regional Director, the MOC also notifies regional agency representatives. The NECC notifies key FEMA headquarters staff and other Federal agencies through their respective agency EOCs and/or designated individual(s). An Advisory is issued to provide an early warning that a possible event being monitored may result in activation. The Advisory is for information only and requires no formal action. An Alert is issued when an imminent or actual event is likely to result in activation. It puts Federal responders on notice that they need to be ready for immediate deployment. An activation directs immediate deployment to the location specified in the notice. A Cancellation indicates that no further action is required or that an activation notification is being terminated. CDRG members may be notified to convene at FEMA Headquarters for an initial meeting, depending on the nature of the disaster. CDRG members or alternates remain on call to meet at any time during the disaster response.

j. The FEMA Regional Director deploys a FEMA State Liaison to the State EOC to provide advice on the declaration process and available Federal assistance, and also partially or fully activates the ROC staff, including regional agency representatives.

k. With the support of ESFs, the ROC staff initially deploys members of the ERT-A, including damage assessment personnel, to State operating facilities and disaster sites to assess the impact of the situation, collect damage information, and determine requirements. If regional resources appear to be overwhelmed or in an event having potentially significant consequences, FEMA Headquarters may deploy an ERT-N to coordinate the initial response.

l. Meanwhile, if directed by FEMA Headquarters, the NECC informs ESF primary agencies of an EST activation and provides a time for each activated ESF to report to FEMA Headquarters, as part of the EST. Primary agencies are responsible for activation of their support agencies if required. Agencies may activate their headquarters EOCs to provide coordination and direction to their regional response elements in the field.

m. The Regional Director processes the Governor’s request for a Presidential declaration, which indicates the extent of damage and the types of Federal assistance required. FEMA Headquarters then forwards the Governor’s request to the White House, along with a recommended course of action. Concurrent with a Presidential declaration of a major disaster or emergency and official appointment of an FCO, FEMA designates the types of assistance to be made available and the counties eligible to receive assistance. The Regional Director appoints a Disaster Recovery Manager.

n. The ROC and EST Logistics Section support the establishment of a DFO and mobilization center(s). The ROC also coordinates Federal support of State requirements until the FCO assumes those responsibilities. A Joint Information Center (JIC) may be established, as required, to provide a central point for coordinating emergency public information activities.

o. The ERT-A/ERT-N coordinates damage assessment and selection of locations for field facilities with the State. It also coordinates mission assignments for direct Federal assistance and procurement of goods and services with the Comptroller and ROC staff. The ERT-A/ERT-N begins the transition to a partial or full ERT. ESFs act quickly to determine the impact of a disaster on their own capabilities and to identify, mobilize, and deploy resources to support response activities in the affected State.

p. The EST begins interagency operations by supporting initial activation, mission assignment requirements, and ROC staff activities as needed.

2. For medical assistance the Assistant Secretary of Health (ASH) is responsible for activating and coordinating the activities of ESF #8. The lead policy official for ESF #8 supporting the ASH is the Principal Deputy Assistant Secretary for Health (PDASH).

a. The HHS Office of Emergency Preparedness (HHS/OEP) is the action agent and is responsible for coordinating the implementation of ESF #8 and providing staff support to the HHS policy officials.

b. The HHS Regional Health Administrators (RHAs) are the operating agents and are responsible for directing regional ESF #8 activities. Pre-identified personnel will be alerted to meet requirements for representing ESF #8 on the:

(1) Catastrophic Disaster Response Group (CDRG);

(2) Emergency Support Team (EST);

(3) National ESF #8 EOC;

(4) Regional ESF #8 Coordination Center;

(5) Regional Operations Center (ROC); and

(6) Emergency Response Team — Advance Element (ERT-A).

c. The National Disaster Medical System (NDMS), a nationwide medical mutual aid network between the Federal and non-Federal sectors, includes medical response, patient evacuation, and definitive medical care.

Governing laws

SARA - is the Superfund Amendments and Reauthorization Act. It is a revision and extension of CERCLA. SARA is intended to encourage and support local and state emergency planning efforts. It provides citizens and local governments with information about potential chemical hazards in their communities. Facilities storing hazardous chemicals must prepare and submit inventory forms and MSDSs to local officials. It requires the formulation of local plans to address HAZMAT incidents.

RCRA - refers to the Resource Conservation and Recovery Act. Its major emphasis is the control of hazardous waste disposal. It controls all solid waste disposal and encourages recycling and alternative energy sources.

CERCLA - is the Comprehensive Environmental Response, Compensation and Liability Act. It provides for the identification and cleanup of hazardous materials that have been released over the land and into the air, waterways, and ground water. It covers areas affected by newly released materials and older leaking or abandoned dump sites.

Stafford Act – "to provide an orderly and continuing means of assistance by the Federal government to state and local governments in carrying out their responsibilities to alleviate the suffering and damage which result from (major damage and emergencies)" (42 USC 5121)

55 FR 2885, Office of the Assistant Secretary for Health; Statement of Organization, Functions, and Delegations of Authority, January 29, 1990.

55 FR 2879, Office of the Secretary; Statement of Organizations, Functions, and Delegations of Authority, January 29, 1990.

Public Health Service Disaster Response Guides, May 1987.

Facts on the National Disaster Medical System, February 1995.

Public Law 93-288, as amended, has streamlined the funding methods for Public Assistance projects.

Title 44--Emergency Management and Assistance

13 CFR 123: Disaster Loan Program