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Federal Emergency Management: A Brief
Introduction
November 30, 2012
Congressional Research Service
https://crsreports.congress.gov
R42845
Federal Emergency Management: An Introduction
Summary
The federal government plays a significant role in emergency management, which generally
refers to activities associated with avoiding and responding to natural and human-caused hazards.
Emergency management in the United States is highly decentralized and contextual in nature:
activities often involve multiple jurisdictions as well as a vast number of agencies,
nongovernmental organizations, and private sector entities. In addition, the number and type of
actors involved in an incident will vary tremendously depending on the context and severity of
the event. Similarly, the legal framework through which emergency management functions and
activities are authorized is also decentralized and stems from multiple authorities.
Congress annually appropriates funds for a wide range of activities and efforts related to
emergency management. For example, between 2005 and 2011 Congress provided an average of
$12 billion annually to the Federal Emergency Management Agency, the lead federal agency
responsible for disaster relief through regular and supplemental appropriations. Congress has also
invested over $120 billion through various federal agencies to help the Gulf Coast Region recover
from the hurricanes that hit the Gulf Coast in 2005 and 2008.
In recent years congressional interest in emergency management has focused on funding,
program administration, and program coordination—both among federal agencies and state
emergency management agencies. This report provides an introduction to the principles and
foundations of federal emergency management in the United States and a description of the
activities of the federal agencies that provide assistance, focusing primarily on the Federal
Emergency Management Agency, but also including information on the National Guard,
Department of Agriculture, Department of Defense, Army Corps of Engineers, Department of
Health and Human Services, Department of Housing and Urban Development, Department of
Transportation, Environmental Protection Agency, Forest Service, and Small Business
Administration.
This report is designed to provide Members of Congress and congressional staff with a general
overview of principles and foundations of federal emergency management in the United States as
well as the types of activities provided by various federal agencies. The report begins with a
description of the four phases of emergency management: (1) mitigation, (2) preparedness, (3)
response, and (4) recovery, and includes examples of some of the activities that take place in each
of these phases. The report then discusses a recent movement at the federal level to carry out
these phases of emergency management through a system of frameworks. The frameworks
include (1) the National Prevention Framework, (2) the National Protection Framework, (3) the
National Mitigation Framework, (4) the National Response Framework, and (5) the National
Disaster Recovery Framework. The frameworks are used to designate roles and responsibilities
and coordinate various activities.
Next, this report describes the process for requesting federal assistance for major disasters,
emergencies, and fire suppression. The declaration section also includes brief summaries of the
types of assistance provided through each type of declaration. This discussion is followed by
description of federal-to-state cost shares, how federal assistance is funded, and the process
through which FEMA requests assistance from other federal entities. The section then provides a
description of the close-out process—the process in which FEMA terminates its recovery efforts.
The report includes a discussion of key federal laws and policies that influence federal emergency
management, and concludes by highlighting some of the federal activities that take place in
response to emergencies and disasters.
Congressional Research Service
Federal Emergency Management: An Introduction
Contents
Introduction ……………………………………………………………………………………………………………………. 1
Key Concepts and Approaches in Emergency Management ………………………………………………….. 1
All-Hazards Model …………………………………………………………………………………………………….. 1
NIMS and ICS …………………………………………………………………………………………………………… 2
Phases of Emergency Management ………………………………………………………………………………. 2
Mitigation……………………………………………………………………………………………………………. 2
Preparedness ……………………………………………………………………………………………………….. 3
Response …………………………………………………………………………………………………………….. 3
Recovery …………………………………………………………………………………………………………….. 3
The Framework Approach…………………………………………………………………………………………… 4
National Prevention Framework …………………………………………………………………………….. 4
National Protection Framework ……………………………………………………………………………… 5
National Mitigation Framework …………………………………………………………………………….. 5
National Response Framework ………………………………………………………………………………. 5
National Disaster Recovery Framework ………………………………………………………………….. 6
Federal Assistance Through Stafford Declarations ………………………………………………………………. 6
Major Disaster Declarations ………………………………………………………………………………………… 7
Assistance Provided Under Major Disaster Declarations …………………………………………… 7
Emergency Declarations …………………………………………………………………………………………….. 8
Assistance Provided Under Emergency Declarations ………………………………………………… 8
Fire Management Assistance Grant Declarations …………………………………………………………… 9
Assistance Provided under Fire Management Assistance Grants ………………………………… 9
Cost-Shares …………………………………………………………………………………………………………………….. 9
Disaster Relief Fund ………………………………………………………………………………………………………. 10
Closeout ……………………………………………………………………………………………………………………….. 10
Other Types of Federal Declarations …………………………………………………………………………….11
Federal to Federal Support ……………………………………………………………………………………………… 12
Stafford Act Incidents and Mission Assignments………………………………………………………….. 12
Non-Stafford Act Incidents ……………………………………………………………………………………….. 13
Other Key Federal Laws and Policies ………………………………………………………………………………. 13
Disaster Mitigation Act of 2000 …………………………………………………………………………………. 13
Post Katrina Emergency Management Reform Act ………………………………………………………. 13
Homeland Security Presidential Directives………………………………………………………………….. 14
Homeland Security Act …………………………………………………………………………………………….. 14
National Oil and Hazardous Substances Pollution Contingency Plan ……………………………… 15
Key Federal Assistance for Disaster Response and Recovery ……………………………………………… 16
National Guard ………………………………………………………………………………………………………… 17
Department of Agriculture ………………………………………………………………………………………… 17
Department of Defense …………………………………………………………………………………………….. 18
Immediate Response …………………………………………………………………………………………… 18
Requests for Assistance……………………………………………………………………………………….. 18
Army Corps of Engineers………………………………………………………………………………………….. 19
Department of Health and Human Services …………………………………………………………………. 20
Department of Housing and Urban Development …………………………………………………………. 20
Community Development Block Grants ………………………………………………………………… 20
Congressional Research Service
Federal Emergency Management: An Introduction
Department of Transportation ……………………………………………………………………………………. 21
Federal Highway Administration ………………………………………………………………………….. 21
Environmental Protection Agency ……………………………………………………………………………… 22
Forest Service ………………………………………………………………………………………………………….. 23
Small Business Administration ………………………………………………………………………………….. 24
Tables
Table 1. Other Types of Federal Declarations ……………………………………………………………………..11
Contacts
Author Information………………………………………………………………………………………………………… 25
Key CRS Policy Experts ………………………………………………………………………………………………… 25
Congressional Research Service
Federal Emergency Management: An Introduction
Introduction
Emergency management generally refers to activities associated with avoiding and responding to
natural and human-caused hazards. Emergency management in the United States is highly
decentralized and contextual in nature. Multiple jurisdictions as well as a vast number of
agencies, nongovernmental organizations, and private sector entities are often involved. In
general, emergency management begins locally, but the federal government plays an important
role when a state requests assistance. Consequently, the number and type of actors involved in an
incident vary tremendously depending on the context and severity of the event. Similarly, the
legal framework through which emergency management functions and activities are authorized is
also decentralized and stems from multiple authorities. This report provides Members of
Congress and their staffs with an introduction to the principles and foundations of federal
emergency management in the United States. It examines the activities of several federal
agencies, including the Federal Emergency Management Agency (FEMA), the National Guard,
Department of Agriculture, Department of Defense, Army Corps of Engineers, Department of
Health and Human Services, Department of Housing and Urban Development, Department of
Transportation, Environmental Protection Agency, Forest Service, and Small Business
Administration.
In addition, this report discusses the four phases of emergency management: (1) mitigation, (2)
preparedness, (3) response, and (4) recovery; the process for requesting federal assistance for
major disasters, emergencies, and fires; and the types of assistance provided through each type of
Stafford Act declaration. This report also includes a description of federal-to-state cost shares
under the Stafford Act, a discussion on how federal assistance is funded, and the process through
which FEMA requests assistance from other federal entities.
This report also outlines the frameworks that guide various emergency management activities at
the federal and state level, and discusses some of the key federal laws and policies influencing
federal emergency management and highlights federal entities that provide assistance to states
and localities.
Related CRS products examining these issues more in-depth are footnoted in this report.
Key Concepts and Approaches in Emergency
Management
The following sections describe key concepts that undergird federal emergency management.
Many of these concepts originated at the state level and are still being put to use by states and
localities. Some concepts developed by the states have been modified and/or adopted by the
federal government as a national standard.
All-Hazards Model
The all-hazards model is based on the idea that there are generic processes and capabilities
needed to address most kinds of emergencies and disasters. For example, preparing and
responding to an earthquake entails similar activities and capabilities for preparing and
responding to an explosion or terrorist bombing. Thus emergency managers can conduct
emergency management activities in a more flexible and cost-effective manner than using a
standalone, emergency, or disaster-specific program. Another benefit is that carrying out
emergency management functions generally involves adaptation, which is a guiding principle of
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Federal Emergency Management: An Introduction
the all-hazards model.1 Thus preparations and lessons learned associated with one type of event,
can often be applied to another type of emergency or disaster scenario.
NIMS and ICS
Emergency management functions are managed according to the principles of the National
Incident Management System (NIMS). Authorized by Homeland Security Presidential Directive 5
(HSPD-5), NIMS is a preparedness and response management model based on the Incident
Command System (ICS).2 ICS is a command and control model developed by firefighters after
the 1970 fires in southern California. The response to the fires was hindered due to duplication of
efforts, lack of coordination, and communication problems. ICS standardizes response operations
by using similar terminology, communication systems, and organizational structure to eliminate
or reduce confusion during a unified response.3 NIMS uses ICS concepts to establish a response
structure that is scalable (capable of growing as more organizations come together to respond to
the incident) that can be used by all jurisdictions, agencies, and organizations to ensure a unified
response to complex events. State and local governments must be NIMS compliant to be eligible
for certain preparedness grants.
Phases of Emergency Management
Emergency management functions are generally grouped into four phases: (1) Mitigation,
(2) Preparedness, (3) Response, and (4) Recovery. The grouping of emergency management
functions is useful for classifying and conceptualizing activities. Use of the four phases at the
state level is not, however, a requirement for grant funding. As discussed later, the federal
government uses a framework approach that differs somewhat from the four phases. The
following sections provide examples of the types of activities that take place in each phase.4
While conceptually useful for targeting efforts and resources, the phases of emergency
management are not distinct—activities in each phase often overlap. For example, recovery
projects often include elements of mitigation (for example, rebuilding structures using current
building codes) and response often includes recovery measures (immediate debris removal). The
phases are also cyclical in nature—lessons learned from an incident might be applied in
preparedness efforts for future emergencies and major disasters.
Mitigation
Mitigation activities entail identifying risks and hazards to either substantially reduce or eliminate
the impact of an incident usually through structural measures. Mitigation activities often have a
long-term or sustained effect and may have an impact on insurance premiums. In many cases,
1 William L. Waugh, Jr., Living with Hazards, Dealing with Disasters An Introduction to Emergency Management
(Armonk, NY: M.E. Sharpe, 2000).
2 Homeland Security Presidential Directive 5: Management of Domestic Incidents, http://www.dhs.gov/xabout/laws/
gc_1214592333605.shtm.
3 For example, prior to ICS police and fire departments responding to the same incident might use different radio
frequencies and communicate with different terms. A “code blue” for one department might mean something else for
another. The organization structure might also be different. A commander in one department might have a different role
and responsibility in another. ICS (and NIMS) is therefore an attempt to eliminate potential confusion caused by these
differences.
4 A glossary of emergency and disaster related terms can be located at http://www.fema.gov/glossary.
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Federal Emergency Management: An Introduction
mitigation activities occur in the recovery stage of a major disaster. Some examples of mitigation
include:
building codes that address risks such as fires, high winds, or earthquakes;
zoning rules that restrict construction in floodplains;
rebuilding damaged structures with more resilient materials;
flood mapping to identify low lying areas and relocating homes and structures
located in floodplains and flood prone areas; and
dams and levees that help prevent flooding.
Preparedness
Preparedness is distinct from mitigation because rather than focusing on eliminating or reducing
risks, the general focus of preparedness is to enhance the capacity to respond to an incident by
taking steps to ensure personnel and entities are capable of responding to a wide range of
potential incidents. Preparedness activities may include:
training;
planning;
procuring resources, such as food, water, and medication stockpiles;
intelligence and surveillance activities to identify potential threats; and
exercising to assure the adequacy of planning efforts and the use of after-action
reports to improve emergency response plans.
Response
Response activities are comprised of the immediate actions to save lives, protect property and the
environment, and meet basic human needs. Response involves the execution of emergency plans
and related actions, and may include:
evacuating victims;
deployment of response teams, medical stockpiles, and other assets; and
establishment of incident command operations.
Recovery
Recovery activities are intended to restore essential services and repair damages caused by the
event. Recovery activities may include:
the reconstitution of government operations and services (e.g., emergency
services, public safety, and schools);
housing and services for displaced families and individuals; and
replenishment of stockpiles.
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Federal Emergency Management: An Introduction
The Framework Approach
On March 30, 2011, President Barack Obama issued Presidential Policy Directive 8: National
Preparedness (hereinafter PPD-8).5 PPD-8 superseded Homeland Security Presidential Directive 8
(HSPD-8), which was signed by President George W. Bush on December 17, 2003.6 Similar to its
predecessor, PPD-8 provides a guide as to how the nation, from the federal level to private
citizens, can “prevent, protect against, mitigate the effects of, respond to, and recover from those
threats that pose the greatest risk to the security of the Nation” including acts of terrorism and
other human caused incidents (such as oil spills) as natural disasters.7 PPD-8 is also intended to
meet several “comprehensive preparedness system” requirements in Subtitle C of the PostKatrina Act.8
PPD-8 establishes that preparedness objectives are to be accomplished by subdividing emergency
management components into a system of integrated, national planning frameworks according to
functionality—prevention, protection, mitigation, response, and recovery.9 The frameworks are
intended to assign roles and responsibilities to various federal agencies with mission areas
involved with aspects of federal emergency management.10
These frameworks either exist in various stages of development or have been implemented. The
following sections provide brief descriptions of each framework.11
National Prevention Framework
While the other planning frameworks address natural hazards and disasters as well as humancaused incidents, the focus of the National Prevention Framework is mainly on preventing
imminent terrorist threats. As such, upon issue, the National Prevention Framework is to assign
roles and responsibilities and coordinate federal agencies involved with intelligence and
information sharing, surveillance, providing public information and warnings, as well as other
elements that help the federal government identify, discover, or locate terrorist threats.12
5 For further analysis on PPD-8 see CRS Report R42073, Presidential Policy Directive 8 and the National
Preparedness System: Background and Issues for Congress, by Jared T. Brown.
6 HSPD-8 gave the Secretary of the Department of Homeland Security broad authority to improve preparedness,
prevention, response, and recovery operations among others. HSPD-8 also required the creation of a National
Preparedness Goal and the implementation of a National Preparedness System. HSPD-8 fulfilled many of the
requirements later set forth in the Post Katrina Emergency Management Reform Act of 2006 (Title VI of the
Department of Homeland Security Appropriations Act, 2007—hereinafter the Post-Katrina Act) such as actions to
approach all hazards within a risk-based framework, and the use of metrics to measure levels of preparedness. Many
such requirements, however, were not implemented.
7 The White House, Presidential Policy Directive/PPD-8, March 30, 2011, p. 1, at http://www.dhs.gov/xlibrary/assets/
presidential-policy-directive-8-national-preparedness.pdf.
8 P.L. 109-295, 6 U.S.C. §741- 764, 120 STAT. 1424-1433.
9 The White House, Presidential Policy Directive/PPD-8, March 30, 2011, p. 3, athttp://www.dhs.gov/xlibrary/assets/
presidential-policy-directive-8-national-preparedness.pdf.
10 Ibid, p. 3.
11 These descriptions should not be viewed as definitive. Some of the planning frameworks are being updated or still in
draft form. They could conceivably change in form or content before being implemented.
12 Federal Emergency Management Agency, Presidential Policy Directive 8: National Preparedness: Working Drafts
of the National Planning Frameworks – Prevention Framework, p. 9.
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Federal Emergency Management: An Introduction
National Protection Framework
The National Protection Framework, upon issue, would assign roles and responsibilities and
coordinate agencies on a wide range of emergency management and homeland security areas,
encompassing cyber security, border security, transportation security, and agriculture and food
security, among others. In addition, the working draft of the National Protection Framework
proposes the use of academic and research centers to develop new protection technologies and
establish protection-related curricula and degree programs.13
National Mitigation Framework
The National Mitigation Framework, upon issue, would address capabilities that reduce the loss
of life and property by lessening the impact of disasters.14 The National Mitigation Framework is
distinct from the other planning frameworks because most mitigation activities take place at the
local level; the role of the federal government in the National Mitigation Framework is not as
prominent as with the other planning frameworks.15
National Response Framework
Issued in January 2008, the National Response Framework (NRF) is the successor of two
previous response documents, the Federal Response Plan, which was thought to be too narrow in
scope, and the National Response Plan, which was found to be problematic for a variety of
reasons, including unclear designations and confusing language and jargon.16 The NRF guides the
federal response to natural and human-caused incidents. However, the NRF is not an “operational
plan.” Rather, it articulates the overarching emergency management principles used to coordinate
and conduct a multi-agency and multijurisdictional response to all types of incidents. The NRF is
executed through the use of three supplemental annexes consisting of the (1) Emergency Support
Functions Annex, (2) Support Annexes, and (3) Incident Annexes.
Emergency Support Functions Annexes
There are 15 Emergency Support Function (ESF) Annexes. ESFs group federal departments and
agencies by matching their resources and capabilities with a particular incident.17 For example,
federal entities with a role in responding to an oil spill are listed in ESF #10—the Oil and
Hazardous Materials Response Annex. ESFs also designate which federal entities have
management oversight responsibility and which entities have a support role.
13 Ibid., p. 10.
14 Ibid., p. 1.
15 Ibid, p. 12.
16 For further information on the NRF see CRS Report RL34758, The National Response Framework: Overview and
Possible Issues for Congress, by Bruce R. Lindsay.
17 U.S. Federal Emergency Management Agency, ESF Annexes Introduction, January 2008, at http://www.fema.gov/
pdf/emergency/nrf/nrf-esf-intro.pdf.
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Support Annexes
There are eight Support Annexes that group federal, state, local, private sector, and
nongovernmental organizations that execute functional processes and administrative functions.
The Support Annexes also designate roles and responsibilities.18
Incident Annexes
There are eight Incident Annexes that explain the authorities and policies relevant to a particular
incident, describe the incident situation, and make planning assumptions for the incident. An
Incident Annex also identifies the “coordinating and cooperating” agencies involved with
response to the incident.19
National Disaster Recovery Framework
Issued in September 2011, the National Disaster Recovery Framework (NDRF) coordinates and
assigns roles and responsibilities to entities involved in disaster recovery. The focus of the NDRF
is to “restore, redevelop and revitalize the health, social, economic, natural and environmental”
aspects of disaster-impacted states and local jurisdictions.20 The NDRF has six Recovery Support
Functions (RSF): (1) Community Planning and Capacity Building, (2) Economic, (3) Health and
Social Services, (4) Housing, (5) Infrastructure Systems, and (6) Natural and Cultural Resources.
Federal Assistance Through Stafford Declarations
The system of emergency management in the United States is scalable. This means that local
governments request assistance from the state if responding or recovering from the incident is
beyond their capacity. In cases when a state is overwhelmed by the incident, the state governor
may elect to request assistance from the federal government.
Scalability makes emergency management response more practical, but it also contains a political
element because it is embedded within the federalist system of governance aimed at the
preservation of state autonomy. The state-initiated request may also alleviate concern that the
federal government might assume leadership of response and recovery operations. The Robert T.
Stafford Disaster Relief and Emergency Assistance Act (hereinafter the Stafford Act)21 does
provide the President authority to issue an emergency declaration in the absence of a
gubernatorial request if the President determines the incident involves a subject area under the
Constitution or laws of the United States, in which the United States exercises preeminent
responsibility and authority of the incident.22 Such cases, however, are rare. The majority of
18 U.S. Federal Emergency Management Agency, Support Annexes: Introduction, January 2008, at
http://www.fema.gov/pdf/emergency/nrf/nrf-support-intro.pdf.
19 U.S. Federal Emergency Management Agency, Incident Annexes Introduction: National Response Plan, December
2004, pp. INC-i, at http://www.learningservices.us/pdf/emergency/nrf/nrp_incidentannexintroduction.pdf.
20 Federal Emergency Management Agency, National Disaster Recovery Framework: Strengthening Disaster Recovery
for the Nation, September 2011, p. 1,at http://www.fema.gov/pdf/recoveryframework/ndrf.pdf.
21 Codified at 42 U.S.C. §5121 et seq. For further analysis on the Stafford Act see CRS Report RL33053, Federal
Stafford Act Disaster Assistance: Presidential Declarations, Eligible Activities, and Funding, by Francis X. McCarthy.
22 P.L. 93-288, 42 U.S.C. §5191(b). The President is required to consult with the state governor when practical.
Examples of these declarations include the April 19, 1995, bombing of the Alfred P. Murrah Building in Oklahoma
City, and the September 11, 2001, attack on the Pentagon in Virginia.
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federal disaster assistance is released only after a presidential declaration is issued in response to
a gubernatorial request for federal assistance.
The Stafford Act authorizes federal assistance through three types of declarations: (1) major
disaster declarations, (2) emergency declarations, and (3) Fire Management Assistance Grant
declarations (FMAG).23 However, FMAG declarations are typically declared through the Federal
Emergency Management Agency (FEMA) Regional Director.24 Emergency and major disaster
declarations can only be issued by the President. Each of these declarations are described in more
detail in the following sections.
Major Disaster Declarations
The Stafford Act defines a major disaster as:
any natural catastrophe (including any hurricane, tornado, storm, high water, wind-driven
water, tidal wave, tsunami, earthquake, volcanic eruption, landslide, mudslide, snowstorm,
or drought), or, regardless of cause, any fire, flood, or explosion, in any part of the United
States, which in the determination of the President causes damage of sufficient severity
and magnitude to warrant major disaster assistance under this chapter to supplement the
efforts and available resources of states, local governments, and disaster relief
organizations in alleviating the damage, loss, hardship, or suffering caused thereby.25
When a governor submits a request for a major disaster declaration FEMA meets with state
representatives to develop preliminary damage assessments. In general, FEMA will make a
recommendation to the President to declare a major disaster if the state’s preliminary damage
assessment exceeds certain thresholds established in regulation.26 The President in turn may or
may not act on the recommendation.
Assistance Provided Under Major Disaster Declarations
Under the Stafford Act three main types of assistance can be provided and administered through
FEMA when the President issues a major disaster declaration: (1) the Public Assistance (PA)
Grant Program, (2) the Individual Assistance (IA) program, and (3) the Hazard Mitigation Grant
Program (HMGP). Under the Stafford Act, the President may issue a major disaster declaration
that provides only PA if damage to dwellings is not severe enough to warrant IA, or if there is
sufficient damage, both PA and IA may be provided.
The PA program provides assistance to state and local governments and certain nonprofit
organizations and includes emergency protective measures, debris removal, and the repair,
replacement, or restoration of eligible facilities.27 Hazard mitigation measures during the re
