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GAO-09-59R: 

United States Government Accountability Office: 
Washington, DC 20548: 

November 21, 2008: 

Congressional Requesters: 

Subject: Actions Taken to Implement the Post-Katrina Emergency 
Management Reform Act of 2006. 

On August 29, 2005, and in the ensuing days, Hurricanes Katrina, Rita, 
and Wilma devastated the Gulf Coast region of the United States. 
Hurricane Katrina alone affected more than a half million people 
located within approximately 90,000 square miles spanning Louisiana, 
Mississippi, and Alabama, ultimately resulted in over 1,600 deaths, and 
has spawned one of the largest natural disaster relief and recovery 
operations in U.S. history. 

Almost 3 years prior to the hurricanes, the Homeland Security Act of 
2002[Footnote 1] created the Department of Homeland Security (DHS) 
largely in response to the September 11, 2001, terrorist attacks. The 
Homeland Security Act merged 22 disparate agencies and organizations 
into the new department, including the Federal Emergency Management 
Agency (FEMA). The Homeland Security Act generally charged DHS with 
securing the homeland against terrorist attacks and carrying out the 
functions of all transferred entities, including acting as a focal 
point regarding natural and man-made crises and emergency planning. 
Among its responsibilities, DHS was to build a comprehensive national 
incident management system comprising all levels of government and 
consolidate existing federal government emergency response plans into a 
single, coordinated national response plan. 

Hurricane Katrina severely tested disaster management at the federal, 
state, and local levels and revealed weaknesses in the basic elements 
of preparing for, responding to, and recovering from any catastrophic 
disaster. Beginning in February 2006, reports by the House Select 
Bipartisan Committee to Investigate the Preparation for and Response to 
Hurricane Katrina, the Senate Homeland Security and Governmental 
Affairs Committee, the White House Homeland Security Council, the DHS 
Inspector General, DHS, and FEMA all identified a variety of failures 
and some strengths in the preparations for, response to, and initial 
recovery from Hurricane Katrina. We also have an extensive body of work 
on emergency management and catastrophic disasters, including Hurricane 
Katrina, which is listed at the end of this document. 

The Post-Katrina Emergency Management Reform Act of 2006 (Post-Katrina 
Act) was enacted to address various shortcomings identified in the 
preparation for and response to Hurricane Katrina.[Footnote 2] The act 
enhances FEMA’s responsibilities and its autonomy within DHS. FEMA is 
to lead and support the nation in a risk-based, comprehensive emergency 
management system of preparedness, protection, response, recovery, and 
mitigation. Under the act, the FEMA Administrator reports directly to 
the Secretary of Homeland Security; FEMA is now a distinct entity 
within DHS; and the Secretary of Homeland Security can no longer 
substantially or significantly reduce the authorities, 
responsibilities, or functions of FEMA or the capability to perform 
them unless authorized by subsequent legislation. The act further 
directs the transfer to FEMA of many functions of DHS’s former 
Preparedness Directorate. The statute codified the existing regional 
structure, which includes 10 regional offices within FEMA and specifies 
their responsibilities. It also contains a provision establishing in 
FEMA a National Integration Center, which is responsible for the 
ongoing management and maintenance of the National Incident Management 
System and the National Response Plan—now known as the National 
Response Framework (NRF). In addition, the act includes several 
provisions to strengthen the management and capability of FEMA’s 
workforce. For example, the statute calls for a strategic human capital 
plan to shape and improve FEMA’s workforce, authorizes recruitment and 
retention bonuses, and establishes requirements for a Surge Capacity 
Force. 

The Post-Katrina Act extends beyond changes to FEMA’s organizational 
and management structure and includes legislative reforms in other 
emergency management areas that were considered shortcomings during 
Hurricane Katrina. For example, the Post-Katrina Act includes an 
emergency communications title that requires, among other things, the 
development of a National Emergency Communications Plan, as well as the 
establishment of working groups within each FEMA region dedicated to 
emergency communications coordination. The act also addresses 
catastrophic planning and preparedness; for example, it charges FEMA’s 
National Integration Center with revising the NRF’s catastrophic 
incident annex, and it makes state catastrophic planning a component of 
one grant program. In addition, the act addresses evacuation plans and 
exercises and the needs of individuals with disabilities. 

A September 11, 2007, hearing before the House Subcommittee on Economic 
Development, Public Buildings, and Emergency Management raised some 
concerns about the way in which DHS and FEMA were implementing several 
key directives of the Post-Katrina Act. Given the importance of proper 
implementation of the act and the need for a unified, coordinated 
national incident-management system capable of preparing for and 
responding to natural and man-made disasters, including catastrophic 
disasters, your committees requested that we perform a review of the 
implementation of the act’s requirements. 

This letter describes the actions FEMA and DHS have taken in response 
to the act’s provisions, areas where FEMA and DHS must still take 
action, and any challenges to implementation that FEMA and DHS 
officials identified during our discussions with them. In general, we 
found that FEMA and DHS have made some progress in their efforts to 
implement the act since it was enacted in October 2006. For most of the 
provisions we examined, FEMA and DHS had at least preliminary efforts 
underway to address them. However, we have identified a number of areas 
that still require action, and it is clear that FEMA and DHS have work 
remaining to implement the provisions of the act. This letter provides 
information, at a high level, on the status of implementation efforts 
for the entire act. We have not made an assessment of the quality or 
likely outcomes of any of the actions that have been taken. Additional 
focused evaluation in selected areas, and, in some cases more time for 
efforts to mature, will be required in order to evaluate the 
effectiveness of the actions taken to implement the law on enhancing 
the nation’s ability to prepare for, respond to, and recover from 
disasters. 

Scope, Methodology, and Limitations: 

To conduct this work, we analyzed the text of the Post-Katrina Act and 
identified well over 300 discrete provisions within the legislation 
that call for DHS or FEMA action to implement requirements or exercise 
authorities—or to be prepared to do so under the appropriate 
conditions. We reviewed agency documents and discussed the act’s 
implementation with numerous senior-level program officials at FEMA and 
DHS to identify actions FEMA and DHS have taken in response to the 
act’s provisions. To determine the status of the Post-Katrina Act’s 
implementation, we compared the actions described in agency documents 
and reported by knowledgeable officials with the discrete provisions we 
had identified as requiring agency action to implement. We also 
identified areas to be addressed, where no or little action had been 
taken. In addition, when agency officials reported challenges to us in 
implementing a particular section, we included that information as 
well. 

To structure our findings, we analyzed the provisions appearing under 
each section heading of the Post-Katrina Act and grouped the various 
sections, as follows: 

* Roles and Responsibilities—Enclosure II: Implementing Organizational 
Structures, Roles, and Authorities to Prepare for, Respond to, and 
Recover from Disasters; 

* Emergency Communications—Enclosure III: Supporting and Enhancing 
Emergency Communications; 

* Disaster Assistance Activities—Enclosure IV: Providing Assistance to 
Disaster-Affected Areas and Populations; 

* Disaster Planning and Preparation—Enclosure V: Implementing the 
Components of the National Preparedness System and Other Preparedness 
Activities; 

* Regional Preparedness—Enclosure VI: Supporting Regional Preparedness 
and Cooperation; 

* Logistics—Enclosure VII: Improving Timely Delivery of Goods and 
Services in Disaster Events; 

* Contracting—Enclosure VIII: Changing Contracting Practices to Enhance 
Preparedness and Strengthen Accountability; 

* Information Technology—Enclosure IX: Improving Information Technology 
Systems to Support Compatibility, Accessibility, and Tracking; 

* Human Capital—Enclosure X: Ensuring a Well-Trained, Professional 
Workforce to Prepare for, Respond to, and Recover from Disasters; 

* Subject Matter Expertise—Enclosure XI: Applying Specific 
Expertise—Disability Coordinator, Small State Advocate, and Modeling 
and Analysis—to Disaster Planning, Response, and Recovery Activities; 

* Waste, Fraud, and Abuse—Enclosure XII: Implementing Controls to 
Prevent Waste, Fraud, and Abuse; 

* Gulf Coast Recovery—Enclosure XIII: Managing Recovery from Hurricanes 
Katrina and Rita in the Gulf Coast Region. 

In some cases, a section of the law may be relevant to more than one 
category—for example, the National Emergency Communications Plan 
required by the law could have appeared in the Emergency Communications 
category or in the Disaster Planning and Preparedness category. 
However, in the enclosures to this letter, each provision appears only 
once—in the section for which we determined it was most relevant. (For 
help finding a particular section of the Post-Katrina Act in the 
enclosures to this letter, please see enclosure XIV.) 

The enclosures to this letter include summaries of and citations to the 
relevant Post-Katrina Act sections being discussed. In some instances, 
a section of the Post-Katrina Act amends another statute, principally 
the Homeland Security Act[Footnote 3] or the Robert T. Stafford 
Disaster Relief and Emergency Assistance Act (Stafford Act).[Footnote 
4] In such instances, we include both the Post-Katrina Act section and, 
parenthetically, the section of the amended statute, for example the 
Homeland Security Act or the Stafford Act. When we report status 
information under a particular section, we cite to the section of the 
Post-Katrina Act (or the amended statute) to which the status 
information relates. 

The information in this letter describes the status, as of August 1, 
2008,[Footnote 5] of actions that FEMA and DHS have reported as 
completed or underway to implement the several hundred discrete 
provisions of the Post-Katrina Act that we identified. The status of 
actions to implement the act appears in the enclosures, as follows: 

Actions Taken is a description of the actions that FEMA and DHS 
officials have identified as having been taken to implement one or more 
provisions of the Post-Katrina Act, including any documentation that 
describes those actions. 

Areas to Be Addressed are areas where FEMA and DHS either did not 
provide information or indicated they had not yet initiated action to 
implement a requirement or be prepared to exercise an authority 
established by the Post-Katrina Act. 

Challenges, if any, are those FEMA and DHS officials identified as 
associated with implementation of the act’s provisions. 

It was beyond the scope of this report to determine whether FEMA and 
DHS had fully complied with all the provisions of the act or to 
evaluate the effectiveness—individually or collectively—of the actions 
that FEMA and DHS have taken to implement the Post-Katrina Act. Thus, 
the description of an “action taken” for any given provision does not 
necessarily mean that FEMA or DHS has done all that is necessary to 
implement that particular provision or that either entity has done so 
effectively. Similarly, the lack of an “area to be addressed” in a 
particular section does not signify that DHS and FEMA have completely 
satisfied the law in that area; rather, they have generally taken some 
action in that area. Further, where actions to be taken are identified, 
it is not intended to suggest that once that action is completed, the 
relevant statutory provision will be fully implemented. 

We conducted this performance audit from April 2008 to November 2008, 
in accordance with generally accepted government auditing standards. 
Those standards require that we plan and perform the audit to obtain 
sufficient, appropriate evidence to provide a reasonable basis for our 
findings and conclusions based on our audit objectives. We believe that 
the evidence obtained provides a reasonable basis for our findings and 
conclusions based on our audit objectives. 

Agency Comments and Our Evaluation: 

We provided a draft of this report to DHS and FEMA for review and 
comment on September 19, 2008. In part because of the demands of 
responding to Hurricanes Gustav and Ike, FEMA requested several 
extensions for providing comments. During this time, FEMA continued to 
provide information on the Post-Katrina Act’s implementation. On 
November 14, 2008, FEMA provided written comments on the draft report, 
which DHS had also reviewed and approved. These comments are reproduced 
in full in appendix XV. 

In its response, FEMA noted that DHS and GAO collaborated in assembling 
a substantial amount of information that briefly describes substantive 
improvements in the wake of Hurricane Katrina, but that time was not 
available for a more thorough review and substantive report. FEMA noted 
that the Post-Katrina Act contains more than 250 distinct requirements. 
By our analysis, that number is closer to 300 and increases to more 
than 350 if actions required to be taken in each of the regions are 
counted separately. We appreciate DHS’s and FEMA’s collaboration in 
compiling and reviewing the enormous amount of information on the Post-
Katrina Act’s implementation. In this time of Presidential transition, 
our report provides a baseline snapshot of actions taken to implement 
the Post-Katrina Act as August 1, 2008 (later in limited instances). In 
its comments FEMA also stated that it had completed or made substantial 
progress on virtually all provisions and used examples from its 
response to recent disasters, including Hurricanes Gustav and Ike, to 
identify some positive effects of changes it has made since the 
enactment of the Post-Katrina Act. It was not in the scope of this 
project to assess the potential effectiveness or actual outcomes of the 
actions FEMA has taken in response to the Post-Katrina Act and during 
disaster events like Hurricanes Gustav and Ike. However, we have noted 
that DHS and FEMA have at least preliminary action under way to address 
most of the act’s provisions. We also noted that FEMA and DHS have much 
work remaining to fully implement the act’s provisions. As previously 
noted, to assess the effectiveness of FEMA’s actions to implement the 
Post-Katrina Act, additional, focused evaluation in selected areas 
would be required, and, in some cases, more time is needed for efforts 
to mature. We look forward to the opportunity to continue our 
collaboration with DHS and FEMA in affirming positive outcomes, as well 
as examining opportunities to further strengthen emergency management 
and national preparedness and response. 

We are providing copies of this report to interested congressional 
committees, the FEMA Administrator, and the Secretary of Homeland 
Security. This report will also be available at no charge on the GAO 
Web site at [hyperlink, http://www.gao.gov]. 

If you or your staffs have any questions about this report, please 
contact me at (202) 512-8757 or jenkinswo@gao.gov. Contact points for 
our Offices of Congressional Relations and Public Affairs may be found 
on the last page of this report. GAO staff who made major contributions 
to this report are listed in Enclosure XVI. 

Signed by: 

William O. Jenkins, Jr. 
Director, Homeland Security and Justice Issues: 

List of Requesters: 

The Honorable Joseph Lieberman: 
Chairman: 
Committee on Homeland Security and Governmental Affairs: 
United States Senate: 

The Honorable Bennie Thompson: 
Chairman: 
Committee on Homeland Security: 
House of Representatives: 

The Honorable James Oberstar: 
Chairman: 
The Honorable John Mica: 
Ranking Member: 
Committee on Transportation and Infrastructure: 
House of Representatives: 

The Honorable Eleanor Holmes Norton: 
Chair: 
The Honorable Sam Graves: 
Ranking Member: 
Subcommittee on Economic Development, Public Buildings, and Emergency 
Management: 
Committee on Transportation and Infrastructure: 
House of Representatives: 

[End of section] 

Enclosure I: List of Abbreviations Used: 

ACF: Administration for Children and Families: 

CCR: Central Contractor Registration: 

CAP: Corrective Action Program: 

CIO: Chief Information Officer: 

CPG: Comprehensive Preparedness Guide: 

DCMPP: Disaster Case Management Pilot Program: 

DHS: Department of Homeland Security: 

DOD: Department of Defense: 

DOJ: Department of Justice: 

EMAC Emergency Management Assistance Compact: 

EMI: Emergency Management Institute: 

EMPG: Emergency Management Performance Grant: 

ESF: Emergency Support Functions: 

FAR: Federal Acquisition Regulation: 

FBI: Federal Bureau of Investigation: 

FEMA: Federal Emergency Management Agency: 

FCO: Federal Coordinating Officer: 

FTE: Full Time Equivalent: 

GPD: Grant Programs Directorate: 

GSA: General Services Administration: 

HHS: Health and Human Services: 

HSA: Homeland Security Act: 

HSC: Homeland Security Council: 

HSPD-7: Homeland Security Presidential Directive-7: 

HSPD-8: Homeland Security Presidential Directive-8: 

HUBZone: Historically Underutilized Business Zone: 

IASD: Infrastructure Analysis and Strategy Division: 

ICC: Inter-Agency Coordinating Council: 

ICTAP: Interoperable Communications Technical Assistance Program: 

IG: Inspector General: 

IHP: Individuals and Households Program: 

IMAT: Incident Management Assistance Team: 

IRPTA: Intelligence Reform and Terrorism Prevention Act: 

IT: Information Technology: 

LEP: Limited English Proficiency: 

LMD: Logistics Management Directorate: 

MOA: Memorandum of Agreement: 

MOU: Memorandum of Understanding: 

NAC: National Advisory Council: 

NCD: National Council on Disability: 

NCR: National Capital Region: 

NECP: National Emergency Communications Plan: 

NEMA: National Emergency Management Association: 

NEMIS: National Emergency Management Information System: 

NESC: National Exercise Simulation Center: 

NDRS: National Disaster Recovery Strategy: 

NDHS: National Disaster Housing Strategy: 

NIC: National Integration Center: 

NIMSCAST: National Incident Management System Compliance Assessment 
Support Tool: 

NIMS: National Incident Management System: 

NISAC: National Infrastructure Simulation and Analysis Center: 

NLC: National Logistics Coordinator: 

NOC: National Operations Center: 

NPSC: National Processing Service Center: 

NRF: National Response Framework: 

NRP: National Response Plan: 

OEC: Office of Emergency Communications: 

OIC: Office for Interoperability and Compatibility: 

P25: Project 25: 

PA: Public Assistance: 

PFO: Principal Federal Official: 

PFT: Permanent Full Time: 

PSMA: Prescripted Mission Assignment: 

RAMP: Remedial Action Management Program: 

RDTE: Research, Development, Testing, and Evaluation: 

RECC: Regional Emergency Communications Coordination: 

RFP: Request for Proposals: 

SCIP: Statewide Communication Interoperability Plan: 

SES: Senior Executive Service: 

SDB: Small Disadvantaged Business: 

SHCP: Strategic Human Capital Plan: 

SHSP: State Homeland Security Program: 

TAV: Total Asset Visibility: 

TCL: Target Capabilities List: 

TRO: Transitional Recovery Office: 

UASI: Urban Area Security Initiative: 

[End of section] 

Enclosure II: Implementing Organizational Structures, Roles, and 
Authorities to Prepare for, Respond to, and Recover from Disasters: 

Post-Katrina Act § 611 (Homeland Security Act § 503, Federal Emergency 
Management Agency, and § 504, Authorities and Responsibilities): 

Establishes the mission of the Federal Emergency Management Agency 
(FEMA) within the Department of Homeland Security (DHS) and sets forth 
the role and responsibilities of the FEMA Administrator, who shall be 
appointed by the President, with the advice and consent of the Senate. 
Requires, among other things, that the FEMA Administrator provide 
advice on request to the President, the Homeland Security Council, or 
the Secretary of Homeland Security; and that the FEMA Administrator 
report directly to the Secretary of Homeland Security without having to 
report through another official. 

Actions Taken: 

* Appointment of FEMA Administrator: On May 26, 2006, the Senate 
confirmed the appointment of R. David Paulison to serve as the FEMA 
Administrator. § 503(c)(1). 

* FEMA Administrator Reporting Relationship: As reflected in the 
National Response Framework (NRF) and confirmed by FEMA's Office of 
Policy and Program Analysis and FEMA General Counsel, a direct 
reporting relationship exists between the FEMA Administrator and the 
Secretary of Homeland Security. Although DHS's organizational chart 
shows that the FEMA Administrator's Office reports to the DHS Office of 
the Secretary/Deputy Secretary, FEMA's Office of Policy and Program 
Analysis confirmed that the FEMA Administrator is not required to first 
report to the deputy secretary before reporting to the secretary. § 
503(c)(3). 

* Role of the FEMA Administrator in the NRF: According to the NRF, the 
FEMA Administrator:
- reports to the Secretary of Homeland Security;
- is the principal advisor to the President, the Secretary of Homeland 
Security, and the Homeland Security Council regarding emergency 
management; and:
- acting through the Secretary of Homeland Security, may recommend a 
course of action to the President with regard to requests for 
Presidential emergency and major disaster declarations. §§ 503(c)(3)-
(4), 504(a)(8). 

* FEMA Administrator Advice to Executive Branch: According to officials 
from FEMA's Office of Policy and Program Analysis, the FEMA 
Administrator gives advice to the executive branch as a matter of 
course at various meetings, including Homeland Security Council (HSC) 
Principals Committee meetings, HSC Deputies Committee Meetings, and HSC 
Policy Coordination Committee meetings. These officials said that the 
FEMA Administrator also gives advice during direct meetings with the 
President and meetings with the Secretary of Homeland Security. § 
503(c)(4). 

* FEMA Administrator Advice to Congress: According to officials from 
FEMA's Office of Policy and Program Analysis, the FEMA Administrator 
gives this advice as a matter of course, through meetings, briefings, 
testimony, and submittal of written reports, questions for the record, 
and other correspondence with members of Congress and their respective 
staffs. § 503(c)(4). 

* FEMA Administrator Potential for Cabinet Designation: According to 
FEMA's Office of Policy and Program Analysis, although cabinet 
designation has not yet happened and is the prerogative of the 
President, the FEMA Administrator does, as previously mentioned, give 
advice during direct meetings with the President. § 503(c)(5). 

* Role of FEMA in the NRF: As stated in the NRF, the Secretary of 
Homeland Security coordinates with other appropriate departments and 
agencies to activate plans and applicable coordination structures of 
the NRF, as required. The FEMA Administrator assists the secretary in 
meeting these responsibilities. FEMA, as the lead agency for NRF 
Emergency Support Function #5 - Emergency Management, is responsible 
for supporting the overall activities of the federal government for 
domestic incident management. Emergency Support Function #5 serves as 
the coordination Emergency Support Function for all federal departments 
and agencies across the spectrum of domestic incident management from 
hazard mitigation and preparedness to response and recovery. §§ 503(b), 
504(a). 

* NRF Responsibilities: The Post-Katrina Act charges the FEMA 
Administrator with administering and ensuring the implementation of the 
National Response Plan (NRP), with FEMA's National Integration Center 
specifically responsible for periodically reviewing and revising the 
document, as appropriate. In August 2005, Hurricane Katrina and, 
shortly after, Hurricanes Wilma and Rita revealed a number of 
limitations in the NRP, which prompted DHS and FEMA to undertake a 
comprehensive review of the plan. The result of this process was the 
issuance, in January 2008, of the NRF (the new name for the NRP). The 
NRF states that it is to be a guide to how the nation conducts an all-
hazards response and manages incidents ranging from the serious but 
purely local to large-scale terrorist attacks or catastrophic natural 
disasters. The NRF became effective in March 2008.[Footnote 6] § 
504(a)(13); see also § 509(b). 

* Role of the National Advisory Council (NAC): The Post-Katrina Act 
requires the FEMA Administrator to coordinate with the NAC, a 
nonfederal advisory body established by the Post-Katrina Act, on all 
aspects of emergency management. On February 6, 2007, the NAC filed its 
charter, which recites the NAC's broad array of statutory 
responsibilities. According to the NAC's Charter, the NAC advises the 
FEMA Administrator on all aspects of emergency management and 
incorporates state, local, and tribal government and private sector 
input in the development and revision of, among other things, the NRF, 
the National Incident Management System (NIMS), and other related plans 
and strategies.[Footnote 7] § 504(a)(13)-(14); see also § 508(b). 

* Grants Programs Administration and Grants Risk-Analysis Model: 
Responsibility for allocating and managing DHS grants is seated within 
FEMA. As part of its grant-management responsibilities, FEMA relies on 
other DHS components such as the National Protection and Programs 
Directorate and the Office of Intelligence and Analysis in the 
development of the risk-analysis model for grants allocation.[Footnote 
8] According to DHS/FEMA's publicly available organizational chart, 
FEMA's Grant Programs office, led by an assistant administrator, 
reports to the FEMA Administrator/Deputy Administrator's office. § 
504(a)(12). 

* Continuity of Operations and Government: The FEMA Office of National 
Continuity Programs is the lead agent for the federal executive branch 
on matters concerning continuity of national operations. National 
Continuity Programs develops and promulgates standards and guidance for 
executive branch departments and agencies on a broad range of 
continuity topics, such as preparation and implementation of continuity 
of operations, continuity of government and contingency programs during 
emergencies and national-level exercises, and others. § 504(a)(15). 

* National Response Coordination Center: According to the NRF, the FEMA 
Administrator's responsibilities include the operation of the National 
Response Coordination Center. § 504(a)(17). 

Areas to Be Addressed: 

* Technical Assistance to Nonfederal Stakeholders: According to the NRF 
Resource Site, FEMA's National Preparedness Directorate is developing 
steps to help states, tribes, and localities to synchronize their plans 
and training with the NRF. § 503(b)(2). 

* NRF Revision: As we have previously reported, FEMA officials 
acknowledge that the NRF will need to be revised in the future. 
[Footnote 9] According to officials from FEMA's Office of Policy 
and Program Analysis, as FEMA nears the revision date, FEMA will 
establish further guidance and policies on how it will manage future 
NRF revisions and how the NAC will be incorporated into the next NRF 
revision process. FEMA officials said that current efforts are focused 
on creating training materials to assist all stakeholders in 
implementing the current NRF. The NAC has not yet determined how it 
would like to be involved in the next NRF revision process. Although 
the NAC's February 2007 charter provides a broad description of the 
NAC's statutory responsibilities, including its advisory role in any 
NRF revision, the charter does not detail any specific responsibilities 
the NAC would undertake relative to the NRF revision process. According 
to the NAC's chairman, the NAC's NRF subcommittee may focus its efforts 
on helping FEMA train nonfederal stakeholders on the NRF. § 504(a)(13)-
(14); see also §§ 508(b), 509(b). 

Challenges FEMA and DHS Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 611 (Homeland Security Act § 505), Functions 
Transferred: 

Maintains existing FEMA functions as of June 1, 2006, while 
transferring to FEMA functions performed by DHS's Directorate of 
Preparedness (with certain exceptions). 

Actions Taken: 

* Transfers to FEMA: On September 11, 2007, the Secretary of Homeland 
Security notified Congress that DHS completed the functional transfers 
to FEMA as required by the Post-Katrina Act. According to the 
secretary's letter, the new FEMA encompasses all FEMA functions and 
Preparedness Directorate functions existing as of June 1, 2006 (except 
for those elements of the Preparedness Directorate statutorily excluded 
from the transfer). The secretary's letter stated that the transfers 
were effective as of March 31, 2007, as specified by section 614(b)(3) 
of the Post-Katrina Act. § 505. 

Areas to Be Addressed: 

* Delegations of Authority Document: According to FEMA's Office of 
Policy 
and Program Analysis, FEMA has drafted a document that specifically 
addresses the amended delegations of authority made by the Post-Katrina 
Act. § 505. 

Challenges FEMA and DHS Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 611 (Homeland Security Act § 506), Preserving the 
Federal Emergency Management Agency: 

Requires FEMA to be maintained as a distinct entity within DHS, exempts 
FEMA from the scope of the secretary's reorganization authority, and 
affords FEMA specific protections from changes to its mission, 
including functional or asset transfers. 

Actions Taken: 

* Preservation of FEMA: According to FEMA's Office of Policy and 
Program Analysis, and FEMA General Counsel, FEMA is not aware of any 
transfers of funds or authorities in violation of the Post-Katrina Act. 
§ 506. 

Challenges FEMA and DHS Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 611 (Homeland Security Act § 508), National Advisory 
Council: 

Establishes the NAC to advise the FEMA Administrator on all aspects of 
emergency management. The NAC is to incorporate state, local, and 
tribal government and private-sector input in the development and 
revision of the national preparedness goal, the national preparedness 
system, NIMS, the NRF, and other related plans and strategies. Also 
specifies terms of office for members of the NAC, as well as the 
geographic and substantive composition of NAC membership. 

Actions Taken: 

* NAC Establishment: The NAC has been established. The inaugural 
meeting 
was October 22-23, 2007. § 508(a). 

* NAC Membership: The NAC consists of 35 members, representing a range 
of 
federal, state, and local stakeholders from the emergency-management 
fields. Each member is appointed for a 3-year term. § 508(c). 

* NAC Responsibilities: The NAC filed a charter on February 6, 2007. 
The charter articulates the NAC's statutory responsibilities in terms 
of advising the FEMA Administrator on all aspects of emergency 
management, incorporating state, local, and tribal government and 
private-sector input in the development and revision of all statutorily 
required plans and strategies, such as the NRF. § 508(b). 

Areas to Be Addressed: 

* NAC Input into the Revision of the NRF: As we have previously 
reported, 
the NAC held its inaugural meeting on October 22, 2007, which was the 
last day of the public comment period for the revision of the draft 
NRF. As a result, the NAC's only involvement in the NRF revision 
process occurred when FEMA provided it with a copy of a draft in 
December 2007, 2 months after the public comment period closed. 
According to the NAC chairman, the NAC gathered and consolidated 
comments from individual members and provided these comments to the 
FEMA Administrator approximately 1 month before FEMA published the NRF 
in January 2008. The chairman noted that these comments were from 
individual members and did not reflect the official comments of the NAC 
as a whole. For the next NRF revision, the chairman stated that he 
expected the NAC to be actively involved with FEMA throughout the 
entire revision process. However, neither FEMA nor the NAC have 
developed any guidance or policies describing specifically how the NAC 
will be included in the next NRF revision process. § 508(b). 

Challenges FEMA and DHS Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 611 (Homeland Security Act § 509), National 
Integration Center: 

Establishes specific responsibilities for the National Integration 
Center (NIC) to ensure ongoing management and maintenance of NIMS and 
the NRF. Requires the Secretary of Homeland Security, through the FEMA 
Administrator, to provide a clear chain of command in the NRF that 
accounts for the roles of the FEMA Administrator, the Federal 
Coordinating Officer (FCO), and the Principal Federal Official (PFO), 
as amended by the Post-Katrina Act. 

Actions Taken: 

* Role of the NIC: According to the Web site for the NIC, it oversees 
all aspects of NIMS including the development of compliance criteria 
and implementation activities at federal, state, and local levels. The 
NIC provides guidance and support to jurisdictions and incident 
management and responder organizations as they adopt NIMS. The NIC 
Incident Management Systems Integration Division was established by the 
Secretary of Homeland Security to provide strategic direction for and 
oversight of NIMS. § 509(b). 

* Management and Maintenance of the NRF: As we have previously 
reported, FEMA's NIC assisted in the development and issuance of the 
2008 NRF, which was a revision of its predecessor, the 2004 NRP. The 
NRF became effective in March 2008 and retained the basic structure of 
the 2004 NRP. For example, like the 2004 NRP, the NRF's core document 
describes the doctrine that guides national response actions and the 
roles and responsibilities of officials and entities involved in 
response efforts. Further, the NRF also includes Emergency Support 
Functions (ESF), Support Annexes, and Incident Annexes. The 2008 NRF 
constituted an update not only of the core plan, but an update of the 
ESFs and the Support Annexes, although, as of August 1, 2008, not all 
of the NRF's Incident Annexes have been updated and some of the NRP's 
annexes remain in effect. § 509(b)(2). 

* NRF's Volunteer and Donation Processes: In reviewing and revising the 
NRF, the NIC was required to consult with the Corporation for National 
and Community Service to establish a process to better use volunteers 
and donations. Several of the NRF's revised ESFs and support annexes 
address the use of volunteers and donations and designate 
responsibilities for the Corporation for National and Community 
Service. These include ESF-3, Public Works and Engineering; ESF-6, Mass 
Care, Emergency Assistance, Housing, and Human Service; ESF-14, Long-
Term Community Recovery; ESF-15, External Affairs; and the Volunteer 
and Donations Management Support Annex. § 509(b)(2). 

* Chain of Command in the NRF: According to the NRF, four federal 
officials, among others, play key roles in the chain of command for 
leading/coordinating Federal responses--the Secretary of Homeland 
Security, the FEMA Administrator, the PFO, and the FCO. 

- Role of the Secretary of Homeland Security: As stated in the NRF, the 
Secretary of Homeland Security is the principal federal official for 
domestic incident management. When the overall coordination of federal 
response activities is required, it is implemented through the 
Secretary of Homeland Security. The secretary's duties include 
providing the President with an overall architecture for domestic 
incident management and coordinating the federal response when 
required, while relying upon support of other federal partners. 
Depending upon the incident, the secretary also contributes elements of 
the response consistent with DHS's mission, capabilities, and 
authorities. 

- Role of the FEMA Administrator: As stated in the NRF, the FEMA 
Administrator reports to the Secretary of Homeland Security and assists 
the secretary in meeting his or her responsibilities. The FEMA 
Administrator is the principal advisor to the President, the Secretary 
of Homeland Security, and the Homeland Security Council on all matters 
regarding emergency management. According to the NRF, the FEMA 
Administrator's duties include the effective support of all ESFs, and, 
more generally, preparation for, protection against, response to, and 
recovery from all-hazards incidents. 

- Role of the PFO: According to the NRF, the Secretary of Homeland 
Security may elect to designate a PFO to serve as his or her primary 
field representative to ensure consistency of federal support as well 
as the overall effectiveness of federal incident management. The NRF 
repeats the Post-Katrina Act's prohibition that the PFO shall not 
direct or replace the incident command structure established at the 
incident or have directive authority over the FCO or other federal and 
state officials. The PFO's duties include providing situational 
awareness and a primary point of contact in the field for the 
secretary; promoting federal interagency collaboration and conflict 
resolution where possible; presenting to the secretary any policy 
issues that require resolution; and acting as the primary federal 
spokesperson for coordinated media and public communications. According 
to the NRF, the following criteria limit the instances in which a PFO 
may be assigned: 
- The secretary will only appoint a PFO for catastrophic or unusually 
complex incidents that require extraordinary coordination.
- The secretary may assign a PFO in cases in which FEMA should not be 
the lead agency in charge of the response. For example, according to 
DHS's Office of Operations Coordination, in the event that a nuclear 
weapon was smuggled into the United States, the secretary may appoint a 
PFO during the search for the weapon to coordinate prevention and law 
enforcement incident management activities. An agency other than FEMA, 
such as the Department of Justice's Federal Bureau of Investigation, 
may be the lead agency in charge of the response. The PFO would be 
appointed to promote interagency collaboration and seek resolution for 
policy issues that arise.
- The secretary may assign a PFO in major non-Stafford Act events that 
include a Stafford Act component. For example, according to DHS's 
Office of Operations Coordination, a cyberattack initiated against the 
United States may be a major non-Stafford Act event requiring incident 
management. The cyberattack's effect upon a hydroelectric dam 
operator's software could potentially result in a dam bursting and a 
Stafford Act declaration being made for the resulting flooding. A PFO 
could be appointed to manage incident activities associated with the 
cyberattack, such as law enforcement and information-technology 
response efforts; whereas the President would appoint an FCO to 
coordinate flooding response activities for the Stafford Act component 
of the event. 

According to DHS officials, no PFOs have been operationally deployed 
for a Stafford Act event since the response to Hurricane Katrina. 
[Footnote 10] 

- Role of the FCO: As stated in the NRF, for Stafford Act incidents 
(i.e., presidentially-declared emergencies or major disasters), upon 
the recommendation of the FEMA Administrator and the Secretary of 
Homeland Security, the President appoints an FCO. According to the NRF, 
the primary role and responsibilities of the FCO include the following:
- The FCO represents the FEMA Administrator in the field to discharge 
all FEMA responsibilities for the response and recovery efforts 
underway. 
- The FCO has responsibility for administering Stafford Act 
authorities, including the commitment of FEMA resources and the 
issuance of mission assignments to other federal departments or 
agencies. 
- Within the Unified Coordination Group at the Joint Field Office, the 
FCO is the primary federal official responsible for coordinating, 
integrating, and synchronizing federal response activities.
- The FCO is the primary federal representative with whom the State 
Coordinating Officer and other state, tribal, and local response 
officials interface to determine the most urgent needs and set 
objectives for an effective response in collaboration with the Unified 
Coordination Group. § 509(c). 

Areas to Be Addressed: 

* Management and Maintenance of the NRF: Although the NRF acknowledges 
the need for periodic review and revision, which is required by the 
Post-Katrina Act, the NRF does not specify any procedures, 
circumstances, or time frames for its review and revision, as did its 
predecessor, the NRP. FEMA officials said that the process established 
for the NRP revision would not apply to any NRF revisions because the 
NAC was not involved in the NRP revision. However, FEMA has not yet 
developed guidance and procedures for any future NRF revisions because 
of the need to create training materials to assist stakeholders in 
implementing the current NRF. § 509(b). 

* NRF Catastrophic Incident Annex and Supplement: The NIC is 
statutorily 
responsible for revising the Catastrophic Incident Annex to the NRF and 
for finalizing and releasing the Catastrophic Incident Supplement to 
the annex. FEMA officials stated that FEMA's Disaster Operations 
Directorate would provide subject matter expertise to assist NIC in 
producing these documents. However, as of August 1, 2008, the NIC had 
not revised the Catastrophic Incident Annex to conform with the NRF, 
and the annex is still based on the NRF's predecessor, the now 
superseded NRP. The release of the Catastrophic Incident Supplement is 
also pending. § 509(b)(2). 

Challenges FEMA and DHS Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 611 (Homeland Security Act § 514), Department and 
Agency Officials: 

Grants the President the authority to appoint no more than four FEMA 
Deputy Administrators with the advice and consent of the Senate, 
establishes an Assistant Secretary for Cybersecurity and Communications 
within DHS, and requires the Administrator for the United States Fire 
Administration to have a rank equivalent to an Assistant Secretary of 
Homeland Security. 

Actions Taken: 

* FEMA Deputy Administrators: FEMA's senior leadership includes two 
deputy administrators--the Deputy Administrator and Chief Operating 
Officer and the Deputy Administrator for National Preparedness. On June 
27, 2008, Harvey E. Johnson Jr. was confirmed by the Senate to be 
Deputy Administrator and Chief Operating Officer of FEMA. On August 3, 
2007, Dennis R. Schrader was confirmed by the Senate to be Deputy 
Administrator for National Preparedness at FEMA. § 514(a). 

* DHS Assistant Secretary for Cybersecurity and Communications: Gregory 
T. Garcia was appointed by Secretary Michael Chertoff on September 18, 
2006, to be the first Assistant Secretary for Cyber Security and 
Communications for DHS, within DHS's Preparedness Directorate (now 
DHS's National Protection and Programs Directorate). § 514(b). 

* Administrator for the United States Fire Administration: According to 
FEMA's Office of Policy and Program Analysis, and DHS/FEMA's publicly 
available organizational chart, the position of the United States Fire 
Administrator is now an Assistant Administrator within FEMA. According 
to FEMA's Office of Policy and Program Analysis, this is equivalent to 
an Assistant Secretary at DHS. § 514(c). 

Challenges FEMA and DHS Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 611 (Homeland Security Act § 515), National 
Operations Center: 

Establishes the National Operations Center (NOC) as the principal DHS 
operations center, which is to provide situational awareness for the 
federal government and for state, local, and tribal governments as 
appropriate, in the event of a natural or man-made disaster or act of 
terrorism. The NOC is also to ensure that critical terrorism and 
disaster-related information reaches government decision makers. 

Actions Taken: 

* Establishment of the NOC: Located in Washington, D.C., the Homeland 
Security Operations Center was established on February 19, 2003, and 
redesignated the NOC on May 25, 2006. § 515(b). 

* NOC Mission: NOC is a standing inter-and intraagency organization 
that fuses law enforcement, national intelligence, emergency response, 
and private sector suspicious activity reporting and serves as a focal 
point for natural and man-made crisis management and coordination. The 
NOC--which operates 24 hours a day, 7 days a week, 365 days a year--
coordinates information sharing to help deter, detect, and prevent 
terrorist acts and to manage domestic incidents. § 515(b). 

Challenges FEMA and DHS Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 611 (Homeland Security Act § 516), Chief Medical 
Officer: 

Establishes the role of the Chief Medical Officer in DHS, who shall be 
appointed by the President, with the advice and consent of the Senate, 
and delineates the position's responsibilities, including serving as 
the principal advisor to the Secretary of Homeland Security and the 
FEMA Administrator on medical and public health issues. 

Actions Taken: 

* Appointment of Chief Medical Officer: In July 2005, DHS Secretary 
Michael Chertoff appointed Dr. Jeff Runge to be the department's first 
Chief Medical Officer. Subsequently, in October, 2007, President Bush 
nominated Dr. Runge to become the first DHS Assistant Secretary for 
Health Affairs and Chief Medical Officer, which was confirmed by the 
Senate on December 19, 2007. Dr. Runge resigned from both positions as 
of August 2008. Dr. Jon R. Krohmer is the current Acting Assistant 
Secretary for Health Affairs and Chief Medical Officer. § 516(a). 

Challenges FEMA and DHS Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 687 (Stafford Act § 302), Coordinating Officers: 

Grants the President the authority to appoint a single Federal 
Coordinating Officer (FCO) for a multistate major disaster or emergency 
and such Deputy FCOs as the President determines appropriate to assist 
the FCO. 

Actions Taken: 

* Federal Coordinating Officers for Multistate Major Disasters: 
According to the Director of the FEMA Office of Federal Coordinating 
Officer (FCO) Operations, the President has not, as of August 1, 2008, 
appointed a single FCO for a multistate major disaster. In his view, 
the President could have done so even before the passage of the Post-
Katrina Act; however, according to the Director of the FCO Office, 
historically the general practice has been to have one FCO appointed 
per state for multistate disasters. He further stated that FEMA 
currently has 21 FCOs predesignated for each state from Maine to 
Florida and along the Gulf Coast for the 2008 Hurricane Season. In the 
event that a single FCO is appointed to lead a multistate disaster, he 
said, the individual predesignated state FCOs would likely serve as the 
multistate FCO's deputies. § 302(d). 

Areas to Be Addressed: 

* Policies and Procedures for Multistate FCOs: According to the 
Director of the FCO Office, FEMA provides the President with 
recommendations about whom to appoint as an FCO for a given Stafford 
Act declaration, but FEMA currently has no predesignated multistate 
FCOs and has not developed guidance to govern the process for 
recommending a multistate FCO for appointment. Further, FEMA has not 
developed guidance addressing the procedures FEMA would follow if the 
President exercised the authority to appoint a multistate FCO. § 
302(d). 

Challenges FEMA and DHS Identified: 

* Agency officials did not identify any challenges for this section. 

For Further Reading: 

* U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "Homeland Security Grant Program Guidance and Application Kit." 
[hyperlink, 
http://www.fema.gov/txt/government/grant/hsgp/fy08_hsgp_guide.txt] 
(accessed on Sept. 19, 2008). 

* U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "National Response Framework." [hyperlink, 
http://www.fema.gov/emergency/nrf/] (accessed on Sept. 19, 2008). 

[End of section] 

Enclosure III: Supporting and Enhancing Emergency Communications: 

Post-Katrina Act § 671[Footnote 11] (Homeland Security Act § 1801), 
Office of Emergency Communications: 

Establishes the Office of Emergency Communications (OEC) in DHS and 
enumerates the duties of the office and its director. 

Actions Taken: 

* Establishment: OEC became operational on April 1, 2007, and is 
located within the Office of Cybersecurity and Communications in DHS's 
National Protection and Programs Directorate. As of August 1, 2008, the 
Director of OEC was Chris Essid. § 1801(a)-(b). 

* SAFECOM and Intelligence Reform and Terrorism Prevention Act of 2004 
[Footnote 12] (IPRTA) Responsibilities: SAFECOM--a DHS program intended 
to strengthen interoperable public safety communications at all levels 
of government--has been designated as the program responsible for 
carrying out certain requirements in both the Post-Katrina Act and 
IRPTA, according to the Director of the Office for Interoperability and 
Compatibility (OIC). OEC and OIC share responsibility in administering 
SAFECOM.[Footnote 13] OEC administers elements of SAFECOM responsible 
for the development of tools, guidance, and templates on communication-
related issues, while OIC is responsible for SAFECOM's research, 
development, testing, evaluation, and standards activities, according 
to DHS officials. § 1801(c)(1)-(2), (d)(1), 
(e)(1). 

* Transferred Functions: In addition to SAFECOM, OEC has assumed 
responsibility of the Interoperable Communications Technical Assistance 
Program and DHS's responsibilities related to the Integrated Wireless 
Network program, according to the Deputy Director of OEC. § 1801(c)(2)-
(3),(d). 

* Conducting Outreach: According to officials in DHS's National 
Protection and Programs Directorate, OEC's stakeholder outreach efforts 
included coordinating with 150 individuals from the emergency response 
community to develop the National Emergency Communications Plan. These 
officials stated that the outreach was primarily carried out through 
several organizations that represent officials from federal, state, and 
local governments and private-sector representatives from the 
communications, information technology, and emergency services 
sectors. According to these officials, OEC plans to work with the 
emergency response community to implement the National Emergency 
Communications Plan through these institutions and other stakeholder 
outreach mechanisms. As of August 1, 2008, OEC was also providing 
technical assistance to states and reviewing state interoperability 
plans as part of its outreach efforts, according to OEC officials. § 
1801(c)(4)-(5). 

* Technical Assistance: Through the Interoperable Communications 
Technical Assistance Program, OEC has been working with Urban Area 
Working Groups and states to assess their communications infrastructure 
for gaps and determine technical requirements that can be used to 
design or enhance interoperable communications systems. According to 
the Deputy Director of OEC, OEC provided technical assistance to 13 
recipients of the 2007 Urban Area Security Initiative grants by 
providing guidance on technical issues such as engineering solutions 
and drafting requests for proposals, as well as providing best 
practices information. In addition, OEC offered assistance to states 
and territories in developing their Statewide Communication 
Interoperability Plans (SCIP) and, as of August 1, 2008, conducted SCIP 
development workshops for the 30 states and five territories that 
requested such help, according to testimony from the Director of OEC 
and the Under Secretary for the National Protection and Programs 
Directorate. § 1801(c)(6), (d)(3). 

* Coordination of Regional Emergency Communications Efforts: Officials 
in DHS's National Protection and Programs Directorate told us that, as 
of August 1, 2008, there were no formal agreements between OEC, FEMA, 
and the National Communications System[Footnote 14] regarding regional 
coordination activities; however, these three DHS elements have been 
coordinating to minimize any overlap between the roles and 
responsibilities of various DHS regional staff offices related to 
emergency communications. According to the officials, these regional 
staff offices plan to attend Regional Emergency Communications 
Coordination (RECC) working group meetings and to share information 
through the RECC working groups. According to OEC officials, OEC has 
hired a federal employee to represent OEC at RECC working group 
meetings. In addition, OEC intends to hire regional interoperability 
coordinators for each of the 10 FEMA regional offices in fiscal year 
2009. These coordinators are to work with FEMA on the activities of the 
RECC working groups. § 1801(c)(7), (e)(2). 

* Coordinating the Establishment of a National Response Capability for 
a Catastrophic Loss of Local and Regional Emergency Communications: 
Officials in the National Protection and Programs Directorate told us 
that OEC works closely with FEMA and the National Communications System 
to coordinate policy and planning efforts relating to the existing 
response capability managed through the National Response Framework's 
Communication Annex, Emergency Support Function 2.[Footnote 15] 
According to these officials, an example of this coordination was the 
inclusion of continuity of emergency communications and response 
operations in the recently released National Emergency Communications 
Plan. These officials also said that OEC will represent the National 
Communication System in regions where the system has no presence and 
support the system's private-sector coordination role as appropriate. 
In addition, the Director and Deputy Director of OEC told us that OEC, 
FEMA, and the National Communications System are in the early stages of 
developing a strategy that involves the use of OEC's regional 
interoperability coordinators to provide technical support, play a role 
as needed in Emergency Support Function 2, coordinate with OIC SAFECOM 
officials and provide response capabilities within their designated 
regions. According to officials in the National Protection and Programs 
Directorate, FEMA's Mobile Emergency Response Support and Incident 
Management Assistance Team assets can also support state and local 
officials with emergency communications during disasters. § 1801(c)(9), 
(e)(2). 

* Best-Practices Sharing: OEC has conducted a review of best practices 
in emergency communications. Much of this information is available at 
www.llis.gov, an online network of lessons learned and best practices 
for emergency response providers and homeland security officials. OEC 
also provided best practices information in its March 2008 progress 
report on emergency communications. According to the Director and 
Deputy Director of OEC, additional information on emergency 
communications best practices will be included in future iterations of 
the progress report. Furthermore, to facilitate information sharing 
within the emergency management community at the federal, state, and 
local levels, OEC plans to create a Web portal and central repository 
for best practices information related to emergency communications, 
according to OEC officials. In addition, according to OEC and OIC 
officials, they will continue to maintain the SAFECOM Web site, which 
holds tools, templates, and best practice guidance documents. § 
1801(c)(8). 

* Consensus Standards: In coordination with OEC, OIC has continued to 
help establish and promote nonproprietary, voluntary consensus 
standards for public safety radio and data communications systems and 
equipment through participation in Project 25 (P25). P25 is an existing 
venture that partners the emergency response communications community 
with industry manufacturers to publish a suite of standards for 
interoperable digital two-way wireless communications that meet the 
needs of emergency response practitioners. § 1801(c)(11), (e)(1); see 
also Homeland Security Act § 314(a)(2), (4), as added by section 672 of 
the Post-Katrina Act. 

* Review of Interoperability Plans: OEC, in coordination with FEMA's 
Grant Programs Directorate[Footnote 16] and the Department of 
Commerce's National Telecommunications and Information Administration, 
oversaw a peer review of the SCIPs in March 2008. All 56 SCIPs for U.S. 
states and territories were reviewed and approved by April 14, 2008, 
according to OEC officials. Officials in DHS's National Protection and 
Programs Directorate stated that FEMA's Disaster Operations Directorate 
will be included in the review process for future plans to ensure that 
shortfalls identified in the FEMA assisted statewide communications 
plans are addressed. In addition, these officials also stated that 
FEMA's regional disaster emergency communications staff will be 
included in the reviews to ensure that regional issues are considered. 
§ 1801(c)(12). 

Challenges FEMA and DHS Officials Identified: 

* According to officials in DHS's National Protection and Programs 
Directorate, DHS confronted a number of issues in its original efforts 
to fully comply with relevant statutory requirements contained in the 
Post-Katrina Act, while balancing the delivery of essential technical 
services to achieve emergency communications mission objectives. For 
example, the Post-Katrina Act requires FEMA to perform certain 
activities related to building operable and interoperable 
communications capabilities that are nearly identical to some of OEC's 
statutory responsibilities and also overlapped with other duties 
assigned to the Secretary of Homeland Security.[Footnote 17] The Post-
Katrina Act also prohibits the transfer of assets, functions, or 
missions from FEMA to DHS. As a result, according to these officials, a 
number of interpretations were possible regarding the assignment of 
responsibility for these certain emergency communications activities, 
but the flexibility afforded to the secretary to make determinations 
about how to assign these duties to minimize overlap is not clear. 
Further, the officials noted that the requirement that the FEMA 
Administrator minimize reporting requirements for state, local, and 
tribal governments complicated reconciliation of the role conflicts, 
particularly with respect to OEC's responsibilities for conducting 
extensive outreach to the same set of stakeholders. 

* In addition, according to OEC officials, OEC has had difficulties 
finding high-quality candidates to fill specialized positions. 
According to these officials, OEC has been seeking federal detailees 
from within DHS, but has had limited success finding suitable 
candidates. At the time of our work, OEC had been able to secure three 
detailees from the Federal Communications Commission. The Director of 
OIC said that his office has also provided support to OEC to compensate 
for the staffing shortage. Officials in the National Protection and 
Programs Directorate told us that OEC has made progress in filling its 
full-time equivalent vacancies. According to these officials, OEC has 
recently hired nine additional full-time equivalents with several 
candidates currently in the pipeline. OEC officials also said they are 
continuing to advertise available positions. 

Post-Katrina Act § 671 (Homeland Security Act § 1803), Assessments and 
Reports: 

Requires a baseline assessment and inventory of emergency 
communications capabilities and subsequent reports on DHS's progress in 
achieving its goals in carrying out the emergency communications 
requirements in the Post-Katrina Act. 

Actions Taken: 

* Baseline Assessment: OEC addressed the Post-Katrina Act requirement 
for a baseline assessment by preparing the National Communications 
Capabilities Report in two phases. OEC submitted an initial report 
(phase 1) to Congress in March 2008. This report addresses the elements 
described in section 1803(a) of the Homeland Security Act, as amended. 
OEC issued phase 2--final results--of the report in July 2008. 
According to the phase 2 report, it broadened the sample of federal and 
local agency information and validated phase 1 findings, incorporated 
state and tribal data from the SCIPs, and expanded the scope of 
emergency response providers beyond government agencies to include 
private sector entities. Further, it says phase 2 compiles all of these 
findings to provide a comprehensive assessment on the state of 
interoperable emergency communications. § 1803(a). 

* Progress Report: In March 2008, DHS submitted a progress report to 
Congress that addresses the elements described in section 1803(d) of 
the Homeland Security Act, as amended. § 1803(d). 

Challenges FEMA and DHS Officials Reported: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 671 (Homeland Security Act § 1804), Coordination of 
Department Emergency Communications Grant Programs: 

Requires OEC to ensure that homeland security grant guidelines are 
consistent with the goals and recommendations in the National Emergency 
Communications Plan. 

Actions Taken: 

* Coordination on Developing Grant Guidance: According to senior OEC 
officials, OEC and FEMA's Grant Programs Directorate have been working 
together to develop the Interoperable Emergency Communications Grant 
Program and guidance for the Homeland Security Grant Program to ensure 
that the guidance for these grants is consistent with the goals of the 
National Emergency Communications Plan. The purpose of the 
Interoperable Emergency Communications Grant Program, according to DHS 
officials, is to enable state, territorial, and local governments to 
implement their SCIPs. For fiscal year 2008, all 56 states and 
territories have submitted applications for this grant program. 
According to DHS officials, funds were awarded by September 30, 2008. 
The Interoperable Emergency Communications Grant Guidance and 
Application Kit included program funding goals and application 
requirements to ensure consistency between the goals and objectives of 
the National Emergency Communications Plan (NECP) and each state and 
territory's respective SCIP. OEC and FEMA Grants Program Directorate 
partnered to conduct the federal review process of the grant 
applications, to better ensure compliance with programmatic goals and 
requirements of the Interoperable Emergency Communications Grant 
Program. OEC and FEMA Grants Program Directorate are now in the process 
of developing the fiscal year 2009 Interoperable Emergency 
Communications Grant Guidance and Application Kit. § 1804(a). 

* Grant Guidelines: According to OEC officials, OEC, in coordination 
with OIC, has developed SAFECOM's coordinated guidance for federal 
grant programs. The guidance has been incorporated into the fiscal year 
2007 and 2008 Homeland Security Grant Program and the fiscal year 2007 
Public Safety Interoperable Communications Grant Program. Efforts are 
underway to incorporate the guidance into FY 2009 interoperable 
emergency communications-related grant guidance. § 1804(a). 

Challenges FEMA and DHS Officials Reported: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 671 (Homeland Security Act § 1806), Emergency 
Communications Preparedness Center: 

Requires DHS, the Federal Communications Commission, the Department of 
Defense, the Department of Commerce, the Department of Justice, and 
other federal departments and agencies to operate jointly an Emergency 
Communications Preparedness Center in accordance with a Memorandum of 
Understanding (MOU). This center is, among other things, to serve as 
the focal point and information clearinghouse for federal interagency 
emergency communications efforts. 

Actions Taken: 

* Charter: According to OEC officials, OEC currently chairs the 
Emergency Communications Preparedness Center working group. The 
officials said that the working group has drafted an MOU that will 
serve as the center's charter. § 1806(b). 

Areas to Be Addressed: 

* Establishment: The Emergency Communications Preparedness Center will 
not be officially established until the MOU has been approved by the 
signatory agencies, according to the Deputy Director of OEC. The deputy 
director said that DHS, as of August 1, 2008, was still reviewing the 
draft MOU. The deputy director also said that he does not know when the 
MOU will be signed. § 1806(a)-(b). 

* Strategic Assessment: The Post-Katrina Act requires the center to 
prepare for Congress an annual strategic assessment on federal 
coordination to advance the continuity and interoperability of 
emergency communications, which it has not yet done, as the center has 
not been officially established. The Deputy Director of OEC said that 
although the center has not been formally established, OEC is preparing 
a strategic assessment report, with input from the working group that 
drafted the MOU, to be completed by the end of the calendar year. § 
1806(c)(2). 

Challenges FEMA and DHS Officials Reported: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 672 (Homeland Security Act § 314), Office for 
Interoperability and Compatibility, and Post-Katrina Act § 673 
(Homeland Security Act § 315), Emergency Communications 
Interoperability Research and Development: 

Section 314 clarifies the responsibilities of the Director of OIC in 
establishing standards, conducting research, development, testing, and 
evaluation activities, and performing other duties; it also requires 
OIC to coordinate with OEC with respect to the SAFECOM program. 
Additionally, section 315 requires OIC to conduct research and 
development for interoperability and further articulates the purposes 
of that program. 

Actions Taken: 

* SAFECOM and Intelligence Reform and Terrorism Prevention Act 
Responsibilities: OIC administers the research, development, testing, 
evaluation, and standards elements of the SAFECOM program, which 
addresses its responsibility for carrying out certain requirements in 
both the Post-Katrina Act and the Intelligence Reform and Terrorism 
Prevention Act,[Footnote 18] according to the Director of OIC. § 
314(a)(1), (5). 

* Consensus Standards: OIC works with the National Institute of 
Standards and Technology to accelerate the development of the P25 suite 
of standards and equipment. In addition, OIC, according to its 
Director, promotes standards for channel nomenclature for the public 
safety interoperability channels. According to the Public Safety 
National Coordination Committee, a common nomenclature enables 
responders from different jurisdictions to know which radio channels to 
use to communicate with one another during an incident. OIC promotes 
the adoption of these standards through conferences, newsletters, 
industry and responder publications, manuals, and other materials that 
can be found at www.safecomprogram.gov. OIC is also partnering with 
emergency responders, federal agencies, and standards development 
organizations to accelerate the creation of data messaging standards 
called Emergency Data Exchange Language, according to OIC officials. 
The officials stated that these standards will create information 
sharing capabilities between disparate emergency response software 
applications, systems, and devices, allowing emergency responders to 
share data seamlessly and securely when responding to an incident. § 
314(a)(2), (4); see also Post-Katrina Act §§ 1801(c)(11), 1804(b)(2). 

* Research, Development, Testing, and Evaluation: The Director of OIC 
said that OIC considers the Research, Development, Testing, and 
Evaluation (RDT&E) programs described in sections 314(a)(3) and 315 of 
the Homeland Security Act, as amended, as the same program. The 
Director of OIC said an example of OIC's RDT&E activities is Digital 
Radio Vocoder testing. In 2006, firefighters were reporting 
communication problems with their radios due to background noise. A 
working group that included emergency responders and industry 
representatives determined that the problem was with the vocoders, the 
component in a radio that converts speech into digital signals and vice 
versa. As of August 1, 2008, OIC, in conjunction with its partners, was 
performing tests to solve this problem. In addition, OIC, through 
SAFECOM, and in conjunction with its partners, developed evaluation 
criteria for the Tactical Interoperable Communications Scorecards, 
according to the Director of OIC. These scorecards were designed to 
assess the maturity of interoperable communications capabilities in 
certain urban areas. The following are examples, but not a 
comprehensive list of OIC RDT&E activities. For more information see 
www.safecomprogram.gov. 

- Evaluation and Assessment of New Technology: According to the 
Director of OIC, DHS uses the P25 Compliance Assessment Program to 
assess new technology. This program establishes a process for ensuring 
that radio communication equipment complies with P25 standards and is 
capable of interoperating across manufacturers. 

- Testing Public Safety Communications Systems: According to the 
Director of OIC, an example of OIC's testing of public safety 
communications systems is the Radio over Wireless Broadband research 
project. Radio over Wireless Broadband is intended to research how to 
connect to existing land mobile radio systems with advanced wireless 
broadband technologies, such as push-to-talk cellular, while leveraging 
Geographic Information System technology. According to OIC officials, a 
demonstration of this technology was held in Washington, D.C., in 
August 2008. 

- Pilot Projects: One of the pilots that OIC is currently administering 
is the Multi-Band Radio project. The multi-band radio is a device that 
can operate on all public-safety radio bands. OIC intends to test and 
evaluate the multi-band radio through pilots nationwide. In February 
2008, DHS awarded a $6.275 million, 1-year contract to demonstrate the 
first portable multi-band radio. 

- Other RTD&E Activities: According to OIC officials, OIC will launch a 
program to support the development of technologies to increase the 
number of commercial mobile service devices that can receive emergency 
alerts. Additionally, OIC officials stated that FEMA has asked OIC to 
assist in developing standards and protocols, providing technical 
advice, coordinating with industry, and supporting and managing 
technical demonstrations of applicable technologies for the Integrated 
Public Alert Warning System. As of August 1, 2008, OIC is working to 
improve bridge devices that connect radio systems for emergency 
responders, and enable Computer Aided Dispatch systems to exchange 
information across jurisdictions, according to OIC officials. §§ 
314(a)(3), (6), (8), (10), 315. 

* Establishing Interoperable Emergency Communications Requirements: 
According to OIC officials, OIC defined the operational and functional 
requirements for voice and data communication in day-to-day, task 
force, and mutual aid operations in its Public Safety Statement of 
Requirements, which was released in 2004. A second volume of this 
document was released on August 18, 2006. DHS officials stated that 
these requirements help drive the identification of key interface 
standards and the development of technologies that meet emergency 
response requirements. These officials also stated that OIC and OEC 
continually work with SAFECOM's Executive Committee and Emergency 
Response Council to establish requirements that respond to the needs of 
the emergency response community. Additionally, through its 
Interoperability Capstone Integration Product Team process, OIC works 
with FEMA and OEC to identify and prioritize operational capability 
gaps and requirements to enable DHS to make informed decisions about 
technology investments, according to the DHS officials. To promote 
vendor adoption of certain interoperability standards for data (as 
defined by the Statement of Requirements), OIC, according to its 
director, developed a software package, using nonproprietary standards, 
and distributed it to certain federal agencies for free. The Director 
of OIC said that vendors had to adopt these standards in order to 
provide the agencies with devices compatible with the free software 
package. The Director of OIC also said that OIC is drafting Request for 
Proposals (RFP) language to encourage the use of nonpropriety 
standards. For example, OIC has developed a data messaging standards 
guide for RFPs. According to OIC officials, the guide provides language 
requiring manufacturers to incorporate data messaging standards into 
their products. § 314(a)(2), (4); see also Post-Katrina Act §§ 
1801(c)(11), 1804(b)(2). 

* Encouraging Efficiency: OIC, according to its Director, developed the 
Interoperability Continuum to encourage more efficient use of existing 
resources to achieve interoperability. The continuum is a tool designed 
to assist emergency response agencies and policy makers to plan and 
implement interoperability solutions by identifying elements that must 
be addressed to achieve interoperability solutions. OIC also developed 
an operational guide for this tool. To further promote efficiency, OIC 
encourages the use of mutual aid agreements for instances when a large 
number of agencies, personnel, and equipment from neighboring regions 
and states must be brought in to assist the affected jurisdiction, 
according to OIC officials. The officials stated that OIC describes 
specific cases where mutual aid agreements would be beneficial in its 
Statement of Requirements. The officials also stated that OIC developed 
the Writing Guide for a Memorandum of Understanding to assist 
localities in creating formal agreements to address multiorganization 
coordination and communications.§ 314(a)(7). 

* Private Sector Coordination: According to the Director of OIC, OIC 
coordinates with private sector vendors through meetings, conferences, 
round table discussions, and other venues to develop solutions to 
improve emergency communications and interoperability. § 314(a)(9). 

* SAFECOM Coordination: According to OIC officials, OIC and OEC 
coordinate together to develop tools and guidance documents for 
improving interoperability. The officials reported that OIC has 
transitioned several of the tools that it has developed to OEC for 
distribution to the emergency response community. OIC and OEC also work 
together managing SAFECOM's Executive Committee and the Emergency 
Response Council, and share responsibility for maintaining the SAFECOM 
Web site, according to OIC officials. In addition, OIC officials stated 
that OIC and OEC coordinate to report to the Office of Management and 
Budget on SAFECOM activities. Moreover, OIC and OEC leadership meet on 
a regular basis to maintain continuity in the SAFECOM program and 
ensure that the two offices are collaborating, including jointly 
participating in the DHS Science and Technology Directorate's 
Interoperability Integrated Product Team, according to OIC officials. 
Lastly, OIC officials stated that OIC has also provided resources, 
including staff, to assist OEC as it continues to stand up the office. 
§ 314(b). 

Areas to Be Addressed: 

* SAFECOM Coordination: The Director of OIC said that OIC does not have 
a formal mechanism in place to ensure coordination with OEC for their 
shared SAFECOM program responsibilities. However, the Deputy Director 
of OEC said that he was in the process of developing a written 
agreement to institutionalize the working relationships and agreements 
about roles and responsibilities between OEC and OIC/SAFECOM. § 314(b). 

Challenges FEMA and DHS Officials Reported: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 674, 911 and E911 Services Report: 

Requires the Federal Communications Commission to submit a report to 
Congress on the status of efforts of state, local, and tribal 
governments to develop plans for rerouting 911 and E911 services in the 
event that public safety answering points are disabled during 
disasters. 

Actions Taken: 

* Report: In September 2007, the Federal Communications Commission 
submitted to Congress the report titled Rerouting 911 and E911 Services 
when Public Safety Answering Points Are Disabled. § 674. 

Challenges FEMA and DHS Officials Identified: 

* Agency officials did not identify any challenges for this section. 

For Further Reading: 

National Public Safety Telecommunications Council. Channel Naming 
Report. Littleton, Colo.: June 2007. 

U.S. Congress. House. Subcommittee on Emergency Communications, 
Preparedness and Response and the Subcommittee on Management, 
Investigations, and Oversight, Committee on Homeland Security. 
Statement of Matt Jadacki, Deputy Inspector General for Disaster 
Assistance Oversight, U.S. Department Of Homeland Security. 110th 
Cong., 1st sess., February 28, 2007. 

U.S. Congress. Senate. Committee on Homeland Security and Government 
Affairs. Statement of R. David Paulison, Administrator, Federal 
Emergency Management Agency, U.S. Department of Homeland Security. 
110th Cong., 2nd sess., April 3, 2008. 

U.S. Department of Homeland Security. National Emergency Communications 
Plan. Washington, D.C.: July 2008. 

U.S. Department of Homeland Security. National Communications 
Capabilities Report: Phase 1, Initial Results. Washington, D.C.: March 
2008. 

U.S. Department of Homeland Security. Progress Report to Congress on 
Emergency Communications. Washington, D.C.: March 2008. 

U.S. Department of Homeland Security. Tactical Interoperable 
Communications Scorecards: Summary Report and Findings. Washington, 
D.C.: January 2007. 

U.S. Department of Homeland Security, SAFECOM. Public Safety Statement 
of Requirements for Communications & Interoperability, Volume 1, 
Version 1.2. Washington, D.C.: October 2006. 

U.S. Department of Homeland Security. Operational Guide for the 
Interoperability Continuum: Lessons Learned from RapidCom. Washington, 
D.C.: September 2005. 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "Interoperable Communications Technical Assistance Program." 
[hyperlink, http://www.ojp.usdoj.gov/odp/ta_ictap.htm] (accessed on 
Sept. 5, 2008). 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. Lessons Learned Information Sharing. [hyperlink, 
https://www.llis.dhs.gov/index.do] (accessed Nov. 12, 2008). 

U.S. Department of Homeland Security. National Response Framework 
Resource Center. "Annexes." [hyperlink, 
http://www.fema.gov/emergency/nrf/] (accessed on Sept. 5, 2008). 

U.S. Department of Homeland Security SAFECOM. "Interoperability 
Basics." [hyperlink, 
http://www.safecomprogram.gov/SAFECOM/library/interoperabilitybasics/] 
(accessed on Sept. 5, 2008). 

U.S. Department of Homeland Security. SAFECOM. "Technology Solutions & 
Standards." [hyperlink, 
http://www.safecomprogram.gov/SAFECOM/library/technology/] 
(accessed on Sept. 5, 2008). 

U.S. Department of Homeland Security SAFECOM. "Interoperability 
Continuum Brochure." [hyperlink, 
http://www.safecomprogram.gov/SAFECOM/library/interoperabilitybasics/119
0_interoperabilitycontinuum.htm] (accessed on Sept. 5, 2008). 

U.S. Department of Homeland Security. SAFECOM. "P25 Compliance 
Assessment Fact Sheet." [hyperlink, 
http://www.safecomprogram.gov/SAFECOM/press/factsheets/1338.htm] 
(accessed on Oct. 22, 2008). 

U.S. Department of Homeland Security. SAFECOM. "Radio Over Wireless 
Broadband Project Fact Sheet." [hyperlink, 
http://www.safecomprogram.gov/SAFECOM/press/factsheets/1325.htm] 
(accessed on Oct. 22, 2008). 

U.S. Department of Homeland Security. SAFECOM. "Multi-Band Radio 
Project Fact Sheet." [hyperlink, 
http://www.safecomprogram.gov/SAFECOM/press/factsheets/1363.htm] 
(accessed on Oct. 22, 2008). 

U.S. Federal Communications Commission. Rerouting 911 and E911 Services 
when Public Safety Answering Points Are Disabled. Washington, D.C.: 
September 2007. 

[End of section] 

Enclosure IV: Providing Assistance to Disaster-Affected Areas and 
Populations: 

Post-Katrina Act § 639, Basic Life Supporting First Aid and Education: 

Requires the FEMA Administrator to enter into agreements with 
organizations to provide funds for emergency response providers to 
provide life supporting first aid education and training to children. 

Actions Taken: 

* Agreements to Provide First Aid Education to Children: According to 
officials in FEMA's National Preparedness Directorate, FEMA, through an 
award funded by the fiscal year 2008 Competitive Training Grants 
Program, funded the American College of Emergency Physicians to design, 
develop, and deliver all-hazards preparedness training for children and 
adults through interactive Web-based content. The training is to 
include first aid and other life-saving education topics. The audience 
for the training is to be responders, caregivers (such as day care 
professionals), and parents. Training is also to be directed at 
children in grades 1 through 8, using age-appropriate interactive Web-
based games, lessons, practice scenarios, and knowledge tests. The 
award amount is $1,706,225. The award end date is currently September 
30, 2011. These officials also noted that the fiscal year 2008 
Competitive Training Grants Program funded the Partnership for 
Environmental Technology Education to train U.S. citizens on specific 
protective actions to save lives and minimize injuries after a disaster 
and before the arrival of first responders. The award amount is 
$3,500,000 and end date is September 30, 2011. According to the 
officials, in addition to these programs, FEMA currently supports Teen 
Community Emergency Response Team (CERT) training, which targets high 
school students. Teen CERT training is a component of the national CERT 
Program and includes substantial training on life-supporting first aid. 
These officials told us that FEMA, through the Homeland Security Grant 
Program (HSGP), provides funding to states for providing life-
supporting first-aid education to children through the Citizen Corps 
Program. They said that CERT may also be funded by HSGP grants to the 
states, which are passed through to local emergency responder 
organizations who conduct the local CERT and Teen CERT training. In 
addition, FEMA grants are used to provide training to CERT and Teen 
CERT trainers, building capacity to deliver direct training to greater 
numbers of high school students. § 639. 

Challenges FEMA and DHS Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 640a, Disclosure of Certain Information to Law 
Enforcement Agencies: 

Grants the FEMA Administrator authority to provide information from any 
FEMA individual-assistance database, consistent with the Privacy Act, 
[Footnote 19] to law enforcement agencies to identify illegal conduct 
or address public safety and security issues, including compliance with 
sex offender laws, in the event of evacuations, sheltering, or mass 
relocations. 

Actions Taken: 

* Compliance with the Privacy Act: In order to comply with the Privacy 
Act, FEMA revised the routine uses of information in a Systems of 
Record Notice, last updated on July 6, 2006. The Systems of Record 
Notice: 

- allows the disclosure to law enforcement of a record that, on its 
face or in conjunction with other information, indicates a violation or 
potential violation of law; 

- permits FEMA to share information in the event of evacuation, 
sheltering, or mass relocation, in order to identify illegal or 
fraudulent conduct and address public safety and security issues; 

- allows FEMA to release applicant information to the Department of 
Justice (DOJ) or other federal agency in litigation or court-related 
circumstances; and: 

- allows FEMA to release applicant information in order to reunite 
families and find missing children. § 640a. 

* Disclosure of Information: Officials in the Office of Chief Counsel 
told us that FEMA has exercised the authority to share information with 
law enforcement officials. § 640a. 

* Coordination: To facilitate the use of this authority, FEMA has 
entered into multiple agreements with other federal agencies and signed 
a Memorandum of Agreement (MOA) with each of the following: 

- The Federal Bureau of Investigation (FBI) Crimes against Children 
Unit, effective January 8, 2007. This MOA allows the FBI access to 
FEMA's database system in order to assist the FBI in locating missing 
children in the event of a disaster or an emergency. 

- The United States Marshals Service, effective July 30, 2007, under 
which FEMA will grant access to FEMA's disaster assistance database for 
the purposes of identifying and locating sex offenders relocated as a 
result of a major disaster, and for identifying, locating, and 
apprehending fugitives and noncompliant sex offenders. 

- DOJ's Hurricane Katrina Fraud Task Force, effective March 1, 2006, 
under which FEMA will grant access to its database system in order for 
the Hurricane Katrina Fraud Task Force to investigate fraud cases 
related to Hurricanes Katrina, Rita, and Wilma. § 640a. 

Challenges FEMA and DHS Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 689b, Reunification: 

Establishes the National Emergency Child Locator Center within the 
National Center for Missing and Exploited Children and enumerates the 
responsibilities of the center, among other things, to provide 
technical assistance in locating displaced children and assist in the 
reunification of displaced children with their families. 

Actions Taken: 

* Establishment: The National Emergency Child Locator Center has been 
established within the National Center for Missing and Exploited 
Children. § 689b(b)(1). 

* Center Responsibilities: The National Center for Missing and 
Exploited Children Web site states that in the event of a natural 
disaster, the child locator center will (1) establish a toll-free 
hotline to receive reports of displaced children; (2) create a Web site 
to provide information about displaced children; (3) deploy staff to 
the location of a declared disaster area to gather information about 
displaced children; (4) provide information to the public about 
additional resources; (5) partner with federal, state, and local law 
enforcement agencies; and (6) refer reports of displaced adults to the 
Attorney General's designated authority and the National Emergency 
Family Registry and Locator System. § 689b(b)(3). 

* Hotline and Web site: The child locator center has established a toll-
free phone number that is to be activated during disasters and was 
activated during the 2007 California wildfires. It also created a Web 
site that is to be activated during disasters and will be found via a 
link on the National Center for Missing and Exploited Children Web 
site. § 689b(b)(3). 

* Prior Activation: According to the Disaster Assistance Directorate 
Unit Leader with responsibility for mass care, housing, and human 
services, the child locator center was activated during the 2007 
California wild fires--that is, it activated both the hotline and the 
Web site, and it sent expert groups of volunteers and paid staff to 
provide technical assistance to local law enforcement agencies. § 
689b(b)(3). 

* Emergency Response Plan: The National Center for Missing and 
Exploited Children developed an emergency response plan for the 
National Emergency Child Locator Center. Among other things, the plan 
defines criteria to be used to activate the National Emergency Child 
Locator Center, and defines roles and responsibilities of the National 
Center for Missing and Exploited Children and its staff in operating 
the National Emergency Child Locator Center. § 689b(b)(3). 

* Reporting Requirement: FEMA submitted a report to Congress on the 
status of the child locator center in September 2007. § 689b(d). 

* Coordination: FEMA has established a memorandum of understanding 
(MOU), effective March 6, 2007, with the following organizations: the 
Department of Justice (DOJ), the Department of Health and Human 
Services (HHS), the National Center for Missing and Exploited Children, 
and the American Red Cross, that, among other things, requires 
signatory agencies to participate in a cooperative agreement, and for 
FEMA, through the National Emergency Family Registry and Locator 
System, to provide relevant information to the National Emergency Child 
Locator Center. § 689b(b)(3). 

Areas to Be Addressed: 

* Coordination: The Disaster Assistance Directorate Unit Leader told us 
that the child locator center is in the process of finalizing 
cooperative agreements with federal and state agencies and other 
organizations such as the American Red Cross to help implement its 
mission. Officials from the Disaster Assistance Directorate told us 
just before the publication of this document that a cooperative 
agreement between FEMA and the National Center for Missing and 
Exploited Children is being reviewed by each entity's respective legal 
department. § 689b(b)(3). 

Challenges FEMA and DHS Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 689c, National Emergency Family Registry and Locator 
System: 

Requires the FEMA Administrator to establish the National Emergency 
Family Registry and Locator System to help reunify families separated 
after an emergency or major disaster, outlines the operation of the 
system, and requires a mechanism to inform the public of the system. 
Also requires the FEMA Administrator to coordinate information sharing 
to facilitate reunification of families by entering into an MOU with 
DOJ, the National Center for Missing and Exploited Children, the 
Department of Health and Human Services (HHS), the American Red Cross, 
and other private organizations. 

Actions Taken: 

* Establishment: The National Emergency Family Registry and Locator 
System has been established. The Disaster Assistance Directorate Unit 
Leader told us that FEMA will activate the locator system in an 
emergency situation. § 689c(b). 

* Operation of System: The family locator system has established a 
permanent toll-free number and has a Web site that is to be publicly 
available when the family locator system is activated to allow users to 
register as displaced persons, to search for displaced persons, and to 
register and search for displaced children. § 689c(c)(1)-(3). 

* Publication of Information: According to an Executive Officer of the 
Disaster Assistance Directorate, public affairs officials at the 
national and regional level will be alerted to the activation of the 
family locator system, and FEMA will publicize the toll-free number and 
the Web site on local and national media, as well as share the family 
locator system information with law enforcement. § 689c(d). 

* Referring Displaced Children: The family locator system has a 
mechanism to redirect any request to search for or register displaced 
children to the National Emergency Child Locator Center, part of the 
National Center for Missing and Exploited Children. § 689c(c)(4). 

* Coordination: As previously described, FEMA has established an MOU, 
effective March 6, 2007, with the following organizations: DOJ and HHS, 
the National Center for Missing and Exploited Children, and the 
American Red Cross. Among other things, the MOU is designed to 
establish and articulate the mission of the family locator system, and 
to enhance information sharing to facilitate reuniting displaced 
individuals with their families. § 689c(e). 

* Reporting Requirement: FEMA submitted a report to Congress describing 
the status of the family locator system in December 2007.[Footnote 20] 
§ 689c(f). 

Challenges FEMA and DHS Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 689e (Stafford Act § 616), Disaster-Related 
Information Services Requires FEMA to ensure that disaster-related 
information is made available in understandable formats for population 
groups with limited English proficiency and for individuals with 
special needs. Also requires FEMA to develop an informational 
clearinghouse of model language-assistance programs and best practices 
for use by state and local governments. 

Actions Taken: 

* Identifying Population Groups with Limited English Proficiency, in 
Coordination with State and Local Governments: Officials from FEMA's 
National Processing Service Center told us that they obtain information 
on language requirements from the region, state, and the U.S Census 
Bureau at the beginning of each disaster. National Processing Service 
Center officials further stated that their housing inspectors and 
contractors include bilingual inspectors and that they hire local 
interpreters when necessary. Additionally, these contractors recruit 
inspectors from the actual disaster locations when feasible, to improve 
relationships in the community and to assist with language barriers. § 
616(a)(1)-(2). 

* Ensuring Information Is Made Available in Formats That Can Be 
Understood by Special Needs Populations: FEMA's Disability Coordinator 
and the Civil Rights Program Manager reported they are working to 
develop information in formats such as Braille, large print and sign 
language, as well as using interpreters for foreign languages, as part 
of an effort to implement section 689e of the Post-Katrina Act. In 
addition, a FEMA working group has developed a series of 
recommendations for FEMA-wide implementation of section 689e. According 
to the FEMA Civil Rights Program Manager, this working group was one of 
several working groups established to develop methods for implementing 
various provisions of the Post-Katrina Act. The document produced by 
the working group states that its aim is to ensure that information and 
services for all disaster victims are not a specialized function of a 
single individual or office, but rather are integrated into appropriate 
emergency training, planning, response, and recovery policies and 
procedures, and part of the overall awareness of all FEMA staff. 
According to the Civil Rights Program Manager, the document produced by 
the working group, with recommendations and identified best practices, 
was circulated to directorates as guidance on implementing limited 
English proficiency practices and principles. He stated that the 
document can be used to identify opportunities and requirements for 
making program functions accessible to limited English proficiency 
populations. Also, officials from FEMA's National Processing Service 
Center told us they had implemented several new policies to improve 
communications with the public, including limited English proficiency 
populations and those with special needs. For example, they said the 
National Processing Service Centers rewrote the eligibility letters for 
disaster victims to make them easier to understand, by, among other 
things, using plain language, and that they offer translations upon 
request. After each disaster, FEMA regions can choose to include 
Spanish translations of the disaster assistance letters. In addition, 
applicant letters and a guide to FEMA assistance can also be sent in 
Braille or large print upon request. These officials also told us that 
all National Processing Service Center registration, help-line, and 
caseworker personnel have been provided with training and job aides to 
better prepare them to communicate with deaf and hard of hearing 
callers using a variety of methods and devices, including video relay. 
§ 616(a)(2). 

* Informational Clearinghouse: FEMA's Disability Coordinator and the 
Civil Rights Program Manager also stated that they are developing an 
informational clearinghouse of model language-assistance programs and 
best practices. In researching limited English proficiency programs, 
the Disability Coordinator stated that she has found some of the best 
to be in medical facilities, and her office plans to include these best 
practices in the clearinghouse. According to the Disability 
Coordinator, her office has identified about 21 or 22 languages thus 
far to include in the clearinghouse. § 616(a)(3). 

Areas to Be Addressed: 

* Issuing the Limited English Proficiency Policy: FEMA officials told 
us that FEMA completed a Limited English Proficiency Policy, which was 
approved by DOJ in 2003. However, before the policy was published in 
the Federal Register, DHS determined that one overarching limited 
English proficiency policy would be written and published. The 
officials did not estimate when the overarching DHS policy would be 
finalized. § 616(a)(1)-(2). 

* Launching the Informational Clearinghouse: FEMA has not yet launched 
the informational clearinghouse of model language-assistance programs. 
§ 616(a)(3). 

Challenges FEMA and DHS Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 689f (Stafford Act § 425), Transportation Assistance 
to Individuals and Households: 

Authorizes transportation assistance to relocate displaced individuals 
to and from alternate locations for short-or long-term accommodations, 
or return them to their predisaster primary residences. 

Actions Taken: 

* Development of Policy and Regulations: FEMA officials in the Disaster 
Assistance Directorate told us shortly before we published this 
document that they have developed a draft policy for implementing the 
transportation assistance authority, which is under review and requires 
implementation of proposed regulatory changes before becoming 
effective. A copy of this draft policy did not accompany their 
comments. § 425. 

* Development of Procedures: FEMA developed procedures for 
transportation assistance in the Mass Sheltering and Housing Assistance 
Strategy, issued in July 2006. § 425. 

* Relocation Policy: According to the strategy, if the scale of the 
evacuation overwhelms affected states' sheltering capabilities, FEMA 
will coordinate and provide air or surface transportation in support of 
interstate evacuation. § 425. 

* Return Policy: If the evacuated area is without extensive damage to 
residences, as stated in the strategy, FEMA will coordinate and fund 
return mass transportation to the point of transportation origin. If 
the evacuated area suffered extensive damage to residences, eligible 
evacuees are authorized, with host state consent, to use FEMA funding 
known as Other Needs Assistance to purchase return transportation, when 
they are able to do so. § 425. 

Challenges FEMA and DHS Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 689f (Stafford Act § 426), Case-Management Services: 

Grants the President authority to provide case-management services, 
including financial assistance to state or local government agencies or 
private organizations to provide such services, to victims of major 
disasters. 

Actions Taken: 

* Case-Management Projects and Pilots: Using this authority, FEMA has 
developed two case-management projects and pilots: 

- FEMA-HHS/Administration for Children and Families (ACF) Disaster Case-
Management Pilot:
- The FEMA-HHS/ACF Disaster Case Management Pilot is to be tested 
during summer 2008 in a Region 4 state to be determined based on 
disaster activity. 
- Participants in the FEMA-HHS/ACF Disaster Case Management Pilot will 
include: FEMA, HHS, Coordinated Assistance Network, Catholic Charities, 
and other agencies. The period of assistance will depend on the type 
and size of the presidentially declared disaster, but is not to exceed 
18 months. 
- FEMA and HHS/ACF signed an Interagency Agreement for this pilot in 
April 2008. 

- Disaster Case-Management Pilot Program (DCMPP):
- DCMPP will provide grant funding to the states of Mississippi and 
Louisiana, which are then expected to award grants to case-management 
providers within the state that have a history of offering services to 
victims of Hurricanes Katrina and Rita. 
- DCMPP is to give assistance to victims of Hurricanes Katrina and Rita 
who are currently housed in FEMA-provided temporary housing units, 
those whose case-management services are not yet fully completed, and 
those who vacated their FEMA temporary housing units and were 
authorized to stay in a hotel due to health concerns. 
- The DCMPP period of assistance is June 16, 2008-March 1, 2009.
- Victims are to receive assistance through DCMPP until case closure is 
achieved or until the end of the grant period, March 1, 2009, whichever 
occurs first. 
- FEMA plans to gather information through DCMPP to create a permanent 
disaster case-management program. 
- In DCMPP guidance, FEMA lists June 1, 2009, as the due date for final 
program, fiscal, and evaluation reports. § 426. 

* FEMA officials told us in October 2008 that the state of Texas is in 
the process of identifying which case-management program to pursue for 
Hurricane Ike disaster victims, the FEMA-HHS/ACF Case Management Pilot 
Program or DCMPP. § 426. 

Challenges FEMA and DHS Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 689i, Individuals and Households Pilot Program: 

Requires the President, acting through the FEMA Administrator, and in 
coordination with state, local, and tribal governments, to establish a 
pilot program to make better use of existing rental housing located in 
major disaster areas, where alternative housing options are less 
available or less cost-effective. 

Actions Taken: 

* Program Development: In May 2008, the Deputy Assistant Administrator 
for the Disaster Assistance Directorate stated that FEMA had developed 
the Rental Repair Pilot Program and would implement it as soon as FEMA 
identified a cost-effective opportunity to do so, something he said 
FEMA was actively looking to do. § 689i(a)(1). 

* Program Implementation: FEMA officials in the Disaster Assistance 
Directorate told us shortly before we published this document that FEMA 
had implemented the Rental Repair Pilot Program in Iowa. FEMA officials 
told us that after the Midwest floods during summer 2008, they entered 
into a lease agreement with a nonprofit organization that owns a 
multifamily unit in Cedar Rapids, Iowa, an area that was affected by 
the disaster. Under the 14-month lease with the nonprofit organization, 
FEMA is to provide funds to repair seven two-bedroom units and, once 
repaired, is to house eligible applicants in the units for 14 months; 
but, documentation did not accompany their comments. According to FEMA 
officials, additional pilot opportunities have yet to be identified or 
requested by the state-led Housing Task Forces in Texas and Louisiana, 
following Hurricane Ike in summer 2008. § 689i(a)(1--2). 

Challenges FEMA and DHS Officials Identified: 

* The Deputy Assistant Administrator for the Disaster Assistance 
Directorate said that one of the elements of the pilot program under 
the Post-Katrina Act is cost-effectiveness. However, finding cost-
effective opportunities--where the cost is at least evenly offset by a 
demonstrable benefit--to repair rental housing in a major disaster area 
has proven difficult. 

* The Deputy Assistant Administrator stated that pressing housing needs 
often dictate the use of mobile homes. He noted that FEMA cannot defer 
housing to disaster victims while it makes repairs on rental units. 
Once FEMA incurs the costs of transporting a mobile home, he said it is 
more cost-effective to continue to use the mobile home than to repair 
alternative rental housing. 

* In addition, the Deputy Assistant Administrator cited diffculties for 
FEMA to repair apartments in a cost-effective manner: FEMA would have 
to lease the units from the apartment owners, who would not have an 
incentive to lease if they could as easily repair apartments themselves 
and then charge rent at market value or higher. Therefore, the only 
stock available to FEMA would be buildings with very extensive repair 
needs, requiring high expenditures for rehabilitation, he concluded. 

* The Deputy Assistant Administrator suggested that if the Department 
of Housing and Urban Development managed the program and bought the 
apartments, which could then be added to the public housing inventory, 
the program might be cost-effective for the government as a whole. 

Post-Katrina Act § 689j, Public Assistance Pilot Program: 

Requires the President, acting through the FEMA Administrator, and in 
coordination with state and local governments, to establish a pilot 
program to reduce costs, increase flexibility, and expedite assistance 
for specified public-assistance (PA) projects under the Stafford Act. 
The legislation outlined six procedures that FEMA could--but was not 
required to--adopt in carrying out the pilot including, among other 
things, increasing the federal government's share of debris and 
wreckage removal for state and local governments that have a FEMA-
approved debris-management plan and one or more prequalified 
contractors for such services. 

Actions Taken: 

* Establishment and Coordination: The Deputy Assistant Administrator 
for the Disaster Assistance Directorate stated that establishing the PA 
Pilot program was an extensive effort, and that FEMA coordinated with 
members of the National Emergency Management Association and the 
International Association of Emergency Managers, including the states 
of Georgia, New York, California, and North Carolina. § 689j(a)(1). 

* Pilot Program Workgroup: FEMA convened a PA Pilot workgroup to 
develop program guidance and an implementation plan: 

- The work group was composed of members of the National Emergency 
Management Association, the International Association of Emergency 
Managers, and FEMA regional and headquarters staff, including members 
of the Federal Coordinating Officer cadre, to develop program guidance 
and an implementation plan. 

- The PA Pilot workgroup held two in-person meetings, as well as 
teleconferences through March 2007. § 689j(a)(1). 

* Pilot Program Procedures: The PA Pilot workgroup focused on four of 
the six procedures outlined in the legislation, and identified the 
following procedures to implement the PA Pilot program: 

- FEMA will provide grants on the basis of estimates for large projects 
up to $500,000. 

- FEMA will provide an additional 5 percent federal cost share (i.e., 
the amount of money the federal government will share in the cost), not 
to exceed 100 percent of the total cost, to applicants who have a FEMA-
approved debris-management plan and at least two prequalified debris-
and wreckage-removal contractors identified prior to a disaster. 
Usually the minimum federal cost share is 75 percent, with 90 percent 
possible by the President's authorization in situations of severe 
economic impact. 

- FEMA will allow an applicant to retain any revenue from the salvage 
value of recyclable disaster debris as an incentive to recycle debris. 

- FEMA will reimburse the straight-or regular-time salaries (i.e., not 
overtime salaries) and benefits of an applicant's permanently employed 
staff that performs debris-related activities. § 689j(a)(3). 

* Implementation Period: FEMA stood up the PA Pilot program on June 1, 
2007, and it will be implemented until December 31, 2008. § 689j(d). 

* Available Guidance: In June 2007, FEMA published the Public 
Assistance Pilot Program Guidance for State and Local Officials. § 
689j(a)(3). 

* Reporting Requirement: FEMA has acknowledged in its Public Assistance 
Pilot Program Guidance its March 2009 legislative reporting 
requirement. § 689j(b). 

Challenges FEMA and DHS Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 689k, Disposal of Unused Temporary Housing Units: 

Requires the FEMA Administrator, in coordination with the Department of 
the Interior or other appropriate federal agencies, to transfer any 
unused temporary housing units authorized for disposal to tribal 
governments, if appropriate. 

Actions Taken: 

* Unused Mobile Homes: FEMA has made available 1,000 unused mobile 
homes located in Hope, Arkansas, and Texarkana, Texas, for transfer to 
tribal governments. While FEMA will not impose a cost for the mobile 
homes, tribal governments will be responsible for transportation, unit 
set up, and if necessary, retrofitting. The Department of Housing and 
Urban Development has determined that these costs will be considered 
eligible costs under the Indian Housing Block Grant Program. § 689k. 

Challenges FEMA and DHS Officials Identified: 

* Agency officials did not identify any challenges for this section. 

For Further Reading: 

The National Center for Missing & Exploited Children. "Natural 
Disasters: Is Your Family Prepared?" [hyperlink, 
http://www.missingkids.com/missingkids/servlet/PageServlet?LanguageCount
ry=en_US&PageId=3252] (accessed on Sept. 5, 
2008). 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "The Establishment of the National Emergency Child Locator 
Center: FY 2007 Report to Congress." September 2007. 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "The Establishment of the National Emergency Family Registry 
and Locator System: FY 2007 Report to Congress." December 2007. 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "Program Guidance for the Public Assistance Pilot Program: 
Guidance for FEMA, State and Local Officials." [hyperlink, 
http://www.fema.gov/government/policy/papilot.shtm] (accessed Sept. 5, 
2008). 

"Privacy Act System of Records: Notice of Amendment to Existing Routine 
Uses." Federal Register, vol. 71, no. 129. July 6, 2006. 

[End of section] 

Enclosure V: Implementing the Components of the National Preparedness 
System and Other Preparedness Activities: 

Post-Katrina Act § 671[Footnote 21] (Homeland Security Act §1802), 
National Emergency Communications Plan: 

Requires the Secretary of Homeland Security, acting through the 
Director for Emergency Communications and in cooperation with other 
relevant entities, to develop a National Emergency Communications Plan 
(NECP) that includes, among other things, recommendations for how to 
support and promote the ability of first responders and government 
officials to continue to communicate during disasters and the 
attainment of interoperability, nationwide. 

Actions Taken: 

* Plan Release: The Department of Homeland Security (DHS) released the 
NECP on July 31, 2008. § 1802(a). 

* Cooperation with Other Entities: The Deputy Director of the Office 
for Emergency Communications said that when drafting the NECP, his 
office reached out to obtain input from federal, state, and local 
officials, as well as the private sector, including the major 
telecommunications companies. In addition, this official said that the 
Emergency Communications Preparedness Center working group, comprised 
of representatives from DHS, the Federal Communications Commission, the 
Department of Defense, the Department of Commerce, and the Department 
of Justice, provided input into the development of the NECP. According 
to a DHS press release announcing the plan, the Office of Emergency 
Communications developed the plan with more than 150 public and private 
sector-emergency communications officials. § 1802(a)-(b). 

* Plan Contents: The NECP includes an appendix that identifies which 
NECP sections address the nine content requirements of the Post-Katrina 
Act (and an additional requirement established by the Implementing 
Recommendations of the 9/11 Commission Act of 2007).[Footnote 22] 
Examples of some NECP initiatives include: targeting federal emergency 
communications grants to address gaps identified in the NECP, Statewide 
Communication Interoperability Plans, and Tactical Interoperable 
Communications Plans; leveraging existing and emerging technologies to 
expand and integrate disaster communications capabilities among 
emergency-response providers; and developing and injecting 
standardized emergency communications performance objectives and 
evaluation criteria into operational exercises. § 1802(c). 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 611 (Homeland Security Act § 512), Evacuation Plans 
and Exercises: 

Allows grants made to state, local, and tribal governments by DHS 
through the State Homeland Security Program (SHSP) or the Urban Area 
Security Initiative (UASI) to be used to establish programs for the 
development and maintenance of mass evacuation plans, prepare for the 
execution of mass evacuation plans, and conduct exercises of mass 
evacuation plans. 

Actions Taken: 

* SHSP and UASI Grants Authorized for Evacuation Planning: According to 
the Director of Grants Development and Administration, the Federal 
Emergency Management Agency (FEMA) has informed state, local, and 
tribal governments that they may use SHSP and UASI grants to assist 
mass evacuation planning via the fiscal year 2008 Homeland Security 
Grant Program written guidance, of which both grants are components. 
The guidance lists strengthening preparedness planning as one of its 
three objectives, and evacuation planning is included under that 
objective. Further, the guidance states that developing or enhancing 
evacuation plans is an allowable expense. § 512(a). 

* State Evacuation Plan Development: FEMA developed the Mass Evacuation 
Incident Annex to the National Response Framework (NRF), which provides 
an overview of mass evacuation functions, agency roles and 
responsibilities, and overall guidelines for the integration of 
federal, state, tribal, and local support in the evacuation of large 
numbers of people in incidents requiring a coordinated federal 
response. Officials in FEMA's Disaster Operations Directorate also 
noted that the states participating in FEMA's Catastrophic Disaster 
Planning Initiative benefit from detailed federal, state, and local 
catastrophic planning that includes examination of evacuation topics. 
These states include Florida, Louisiana, California, and the eight 
Midwestern states in the New Madrid Seismic Zone. In addition, National 
Preparedness Directorate officials told us that for the last 2 years, 
FEMA has provided technical assistance to the state of Louisiana in 
Baton Rouge, helping to develop a mass evacuation plan, including 
leveraging transportation resources--rail, air, buses, and so forth. § 
512(c)(1). 

Areas to Be Addressed: 

* State Evacuation Plan Development: According to officials in FEMA's 
Disaster Operations Directorate, as of August 1, 2008, FEMA was in the 
process of finalizing the Mass Evacuation Incident Annex Operational 
Supplement to the NRF, which is intended to provide additional guidance 
for mass evacuations. In addition, officials in FEMA's National 
Preparedness Directorate said that a third document, the Comprehensive 
Preparedness Guide (CPG) 101, provides guidance for state and local 
governments to develop emergency operations plans. FEMA released an 
interim version of CPG 101 in August 2008 with the final CPG 101 
expected to be released in December 2008. § 512(b), (c)(1). 

* Technical Assistance for Mass Evacuation Planning: The Post-Katrina 
Act requires FEMA to provide mass evacuation planning assistance to 
institutions that house individuals with special needs upon request by 
a state, local, or tribal government. FEMA officials in the Disaster 
Operations Directorate told us that they had not received any requests 
for such assistance. These officials said that the draft Mass 
Evacuation Incident Annex Operational Supplement will include a tab on 
evacuation issues related to people with special needs and, once 
issued, can provide guidance to hospitals, nursing homes, and other 
institutions that house individuals with special needs. Officials from 
FEMA's National Preparedness Directorate also noted that the Homeland 
Security Preparedness Technical Assistance Program provides technical 
assistance upon request to jurisdictions interested in planning for 
mass evacuations. Additionally, they said the directorate is developing 
evacuation and reentry planning guidance for use by state and local 
governments. § 512(c)(2). 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 631 (Stafford Act § 613), State Catastrophic 
Incident Annex: 

Amends grant requirements that states must meet under section 613 of 
the Stafford Act to be eligible for up to a 50 percent federal cost 
share for emergency preparedness personnel and administrative expenses, 
based on state plans approved by FEMA. In addition to other 
requirements, state plans must now provide for the development of 
catastrophic incident annexes pursuant to standards approved by the 
FEMA Administrator. A state catastrophic incident annex submitted to 
FEMA must be consistent with national-level planning documents, such as 
the national preparedness goal and the NRF's[Footnote 23] catastrophic 
incident annex, and must be developed in consultation with emergency 
responders, local governments, multijurisdictional councils, and 
regional planning commissions. 

Actions Taken: 

* Grant Guidance for State Catastrophic Incident Planning: In FEMA's 
overview of its Emergency Management Performance Grant (EMPG) program 
for fiscal year 2008, FEMA stated that the principal priority for 
fiscal year 2008 EMPG funds is to sustain and enhance catastrophic 
planning capabilities, to include addressing the findings of FEMA's gap 
analysis program and similar capability assessment efforts, and 
assisting state and local jurisdictions to address national and 
regional catastrophic planning needs. The fiscal year 2008 EMPG grant 
process requires applicants to submit a work plan that outlines the 
state's emergency management enhancement and sustainment efforts, 
including projects proposed for the EMPG period of performance. 
According to the fiscal year 2008 EMPG grant guidance, states must 
focus their EMPG program activities on addressing shortfalls and 
sustaining capabilities in their emergency management programs, with a 
specific focus on planning for catastrophic events and reducing loss of 
life and property through mitigation activities. In addition, the grant 
guidance requires states to work closely with FEMA regional offices in 
developing their EMPG work plans to address critical assessment 
findings and ensure appropriate regional coordination and 
collaboration. FEMA regional offices must concur on final work plans 
before states may draw down EMPG funds, which will be released on a 
rolling basis upon approval of the state's final work plan. § 
613(b)(3), (c)(2). 

Areas to Be Addressed: 

* Update to Federal Catastrophic Incident Annex: The federal 
Catastrophic Incident Annex, which states are to use as a model for 
their own catastrophic incident planning, is still based on the NRF's 
predecessor, the now superseded National Response Plan. A revised 
federal Catastrophic Incident Annex has yet to be approved and 
released, and a Catastrophic Incident Supplement to this annex has yet 
to be revised. Post-Katrina Act § 509(b)(2); Stafford Act, § 613(c)(1). 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 632, Evacuation Preparedness Technical Assistance: 

Requires the FEMA Administrator, in coordination with the heads of 
other federal agencies, to provide evacuation preparedness technical 
assistance to state, local, and tribal governments. 

Actions Taken: 

* Providing Evacuation Preparedness Technical Assistance: FEMA 
officials in the Disaster Operations Directorate cited various examples 
of the agency having provided evacuation preparedness technical 
assistance. According to these officials, FEMA has provided such 
assistance in some cases through the Catastrophic Planning Initiative, 
an effort to strengthen response planning and capabilities for select 
scenarios (e.g., a Category 5 hurricane making landfall in southern 
Florida). Other examples include FEMA regional offices providing mass 
evacuation technical assistance to the state of Louisiana. FEMA 
officials also cited workshops in Georgia and Florida and outreach to 
Texas and Louisiana as further examples of technical assistance 
provided. § 632. 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 633 (Stafford Act § 303), Emergency Response Teams: 

Requires the FEMA Administrator to establish emergency response teams 
(at least three at the national level and a sufficient number at the 
regional level); target capability levels for the emergency response 
teams; and adequate numbers of properly planned, organized, equipped, 
trained, and exercised personnel to achieve the target capability 
levels. 

Actions Taken: 

* Establishment of Emergency Response Teams: One national incident 
management assistance team (IMAT), FEMA's term for emergency response 
team, has been established in the National Capital Region, according to 
FEMA officials in the Disaster Operations Directorate. At the regional 
level, Disaster Operations Directorate officials said that IMATs had 
been established in FEMA Regions 4, 5, and 6, as of August 1, 2008. 
According to these officials, they are in the process of establishing a 
second national IMAT in Sacramento, California, and a fourth regional 
IMAT in Region 2. They said that FEMA intends to establish IMATs in all 
10 regions by the end of fiscal year 2010 and the third national team 
in Fiscal Year 2011. § 303(b)(1). 

* Personnel: National IMATs are to consist of 26 positions, including a 
designated team leader and senior managers for operations, logistics, 
planning, and finance and administration sections. This sectional 
organization mirrors the incident command structure presented in the 
National Incident Management System (NIMS). According to FEMA officials 
in the Disaster Operations Directorate, although the National IMAT 
established in the National Capital Region is fully staffed, some IMAT 
positions are not yet filled with permanent full-time (PFT) employees, 
but rather with FEMA detailees who have been selected for their 
advanced training and expertise. In general, the detailees are to 
provide guidance and support to the PFT personnel until the teams are 
fully staffed with PFTs who are fully capable of managing their 
respective IMATs. According to Disaster Operations Directorate 
officials, FEMA continues to hire personnel for authorized IMAT 
positions. § 303(b)(3). 

* Exercising: The National IMAT participated in the National Level 
Exercise 2008. In addition, Disaster Operations Directorate officials 
told us that IMATs have supported a number of disasters and special 
events in 2008 (including recent storms and hurricanes and the 
Democratic and Republican National Conventions). § 303(b)(3). 

* Equipping: According to officials in FEMA's Disaster Operations 
Directorate, FEMA has procured personal equipment for IMAT members and 
has ordered communications vehicles. § 303(b)(3). 

Areas to Be Addressed: 

* Establishment of Emergency Response Teams: FEMA officials in the 
Disaster Operations Directorate said that by the end of fiscal year 
2008, FEMA intends to establish another national IMAT in Sacramento, 
California, and two additional regional teams in Regions 2 and 7 in 
fiscal year 2009. In addition, these officials said that the agency 
intends to establish IMATs in all 10 regional offices by the end of 
fiscal year 2010 and the third national team in fiscal year 2011 § 
303(b)(1). 

* Target Capability Levels: According to officials in FEMA's Disaster 
Operations Directorate, FEMA is finalizing an IMAT doctrine and a 
Concept of Operations Plan that contain operational details. However, 
FEMA has not yet described to us how it established or intends to 
establish target capabilities for the IMATs, which are required by the 
Post-Katrina Act as the basis for determining whether the IMATs consist 
of an adequate number of properly planned, organized, equipped, 
trained, and exercised personnel. § 303(b)(2)--(3). 

* Training and Credentialing: FEMA has established mandatory training 
courses for all IMAT personnel, in addition to the standard training 
required for all FEMA employees. According to officials in FEMA's 
Disaster Operations Directorate, they are in the process of 
implementing a credentialing program for the IMATs. FEMA is planning to 
incorporate training and credentialing for all hazards by identifying 
core competencies required for each IMAT position and assessing the 
competencies against existing task descriptions to guide the 
development of mandatory training and credentialing plans. § 303(b)(3). 

* Readiness Reporting: FEMA has yet to release the Federal Preparedness 
Report, which is required by the Post-Katrina Act to include 
information on readiness levels for the IMATs. Information on the 
Federal Preparedness Report appears later in this enclosure. 
§ 303(b)(4). 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 634, Urban Search and Rescue Response System: 

Establishes the Urban Search and Rescue Response System within FEMA. 

Actions Taken: 

* Administration of the Urban Search and Rescue Response System: FEMA 
administers 28 Urban Search and Rescue Task Forces in the continental 
United States. According to officials in FEMA's Disaster Operations 
Directorate, the Urban Search and Rescue Response System received a 
$7.5 million increase of funding over the fiscal year 2007 budget of 
$25 million, for a total of $32.5 million in fiscal year 2008. § 
634(a). 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 635, Metropolitan Medical Response Grant Program: 

Establishes the Metropolitan Medical Response Grant Program and 
requires it to include each program purpose as it existed on June 1, 
2006. 

Actions Taken: 

* Continuation of the Metropolitan Medical Response Grant Program: The 
Metropolitan Medical Response System program retains the basic 
purposes, funds similar preparedness activities, and supports similar 
target capabilities of the program as it was constituted in fiscal year 
2006. According to the fiscal year 2008 grant guidance, priorities for 
Metropolitan Medical Response System recipients are improvements to the 
Emergency Triage and Pre-Hospital Treatment capability within their 
operational areas. § 635(a)-(b). 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 642, National Preparedness, and § 643, National 
Preparedness Goal: 

Requires the President, acting through the FEMA Administrator, to 
complete, revise, and update as necessary a national preparedness goal 
that defines the target level of preparedness to ensure the nation's 
ability to prevent, respond to, recover from, and mitigate against 
natural disasters, acts of terrorism, and other manmade disasters. 
Requires the goal to be consistent with NIMS and the NRF to the 
greatest extent practicable. The national preparedness goal is also 
required by section 642. 

Actions Taken: 

* Issuance of National Preparedness Guidelines: In September 2007, DHS 
published the National Preparedness Guidelines, which renamed and 
replaced the Interim National Preparedness Goal issued in March 2005. 
The guidelines state that the nation should be prepared with 
coordinated capabilities to prevent, protect against, respond to, and 
recover from all hazards in a way that balances risk with resources and 
need. The guidelines further state that they collate many plans, 
strategies, and systems into an overarching framework, the National 
Preparedness System. Among the documents within the umbrella of the 
guidelines are NIMS and the NRF. § 643; see also § 642. 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 642, National Preparedness, and § 644, Establishment 
of National Preparedness System: 

Requires the President, acting through the FEMA Administrator, to 
establish a national preparedness system to enable the nation to meet 
the national preparedness goal. The national preparedness system must 
include eight required components, which are further described in 
sections 646 through 653 of the Post-Katrina Act, and may include one 
optional component, national planning scenarios, as further described 
in section 645 of the Post-Katrina Act. The national preparedness 
system is also required by section 642. 

Actions Taken/Areas to Be Addressed: 

* For each component of the national preparedness system, information 
related to FEMA's Actions Taken and Areas to Be Addressed will be 
presented in the specific Post-Katrina Act section that provides 
additional information on the components' structure and requirements. 

Challenges DHS and FEMA Officials Identified: 

* FEMA officials in the National Preparedness Directorate cited the 
following three challenges in implementing the National Preparedness 
System: 

(1) FEMA must coordinate with a large number and wide range of entities 
such as DHS components, other federal agencies, and state and local 
governments. For example, these officials said that it will be a 
challenge to integrate plans and implement them across different 
governmental boundaries. 

(2) Developing data and performance metrics is a challenge because 
there are several legacy data systems, with FEMA facing the challenge 
of picking the best available. In addition, finding the owners of the 
processes and associated data described in the national preparedness 
system and incorporating these data into a distributed data system is 
challenging. 

(3) FEMA needs to develop protocols and guidelines for assessing target 
capabilities and any capability gaps that may exist across the federal, 
state, and local levels. However, these officials said that having 
staff available at the state level to collect data on target 
capabilities is a challenge. 

Post-Katrina Act § 645, National Planning Scenarios: 

Allows the FEMA Administrator, in coordination with the heads of 
appropriate federal agencies and the National Advisory Council (NAC), 
to develop planning scenarios to reflect the relative risk requirements 
presented by all hazards, including natural disasters, acts of 
terrorism, and other manmade disasters, to aid in the development of 
target capabilities and target capability levels to meet the national 
preparedness goal. 

Actions Taken: 

* Development: The September 2007 National Preparedness Guidelines 
include 15 National Planning Scenarios, which are: Improvised Nuclear 
Device, Aerosol Anthrax, Pandemic Influenza, Plague, Blister Agent, 
Toxic Industrial Chemicals, Nerve Agent, Chlorine Tank Explosion, Major 
Earthquake, Major Hurricane, Radiological Dispersal Device, Improvised 
Explosive Device, Food Contamination, Foreign Animal Disease, and Cyber 
Attack. According to the guidelines, while preparedness applies across 
the all-hazards spectrum, the 15 National Planning Scenarios reflect a 
special emphasis on catastrophic preparedness and are designed to 
illustrate the potential scope, magnitude, and complexity of a range of 
major events, from terrorist attacks to major disasters and other 
emergencies. These scenarios are similar to the scenarios DHS has used 
for planning since July 2004. § 645. 

Areas to Be Addressed: 

* Coordination: According to the National Preparedness Guidelines, the 
National Planning Scenarios, utilized by the guidelines, were developed 
by the Homeland Security Council in partnership with DHS and other 
federal agencies and state, local, and tribal governments. In its role 
as the DHS component responsible for the National Planning Scenarios, 
FEMA did not coordinate with the NAC, because the NAC did not hold its 
inaugural meeting until October 2007. § 645. 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 646, Target Capabilities and Preparedness 
Priorities: 

Requires the FEMA Administrator, in coordination with the heads of 
appropriate federal agencies, the National Council on Disability (NCD), 
and the NAC to develop specific, flexible, and measurable guidelines to 
define risk-based target capabilities for federal, state, local, and 
tribal government preparedness, and to establish preparedness 
priorities that reflect an appropriate balance between the relative 
risks and resources associated with all hazards. Also requires prompt 
distribution of the target capabilities guidelines to Congress and the 
states. Further, authorizes the FEMA Administrator to provide support 
for the development of state mutual aid agreements. 

Actions Taken: 

* Establishment of Guidelines on Target Capabilities: DHS published the 
Target Capabilities List (TCL) in September 2007, which supports an 
all-hazards approach to building 37 core capabilities to prevent, 
protect against, respond to, and recover from major events such as 
terrorist attacks, natural or manmade disasters, or health emergencies. 
However, FEMA officials in the National Preparedness Directorate said 
that there is a 3 year effort underway within FEMA to update and revise 
the TCL. According to these officials, the preliminary concept for the 
revision is to develop target capabilities that are divided into tiers 
based on a jurisdiction's population. Further, these officials said 
that the revised TCL will allow for performance metrics that focus more 
on outcomes. In addition, according to National Preparedness 
Directorate officials, FEMA intends to provide more user-friendly, 
accessible, and credible capability targets with which to link all 
activities performed along the preparedness cycle, as described in the 
National Preparedness Guidelines, through the Target Capabilities List 
Implementation Project. According to these officials, the TCL will be 
streamlined to provide jurisdictions clearer guidance on the levels of 
capability they need in order to prevent, protect against, respond to, 
and recover from a catastrophic natural disaster or large scale 
terrorist attack. Each of the 37 target capabilities described in the 
TCL will be revised and released as capability frameworks. § 646(a). 

* Coordination: According to FEMA, the development of the September 
2007 TCL included coordination with stakeholders from federal, state, 
local, and tribal governments as well as the private sector through 
workshops and working groups. FEMA officials also said they have 
briefed the NAC and the NCD on TCL development. Further, FEMA intends 
to coordinate with the NAC as it updates the TCL, according to 
officials in FEMA's National Preparedness Directorate. § 646(a). 

* Distribution of Target Capabilities Guidelines: According to 
officials in FEMA's National Preparedness Directorate, DHS has posted 
the TCL, the National Preparedness Guidelines, and other national 
preparedness documents on the Lessons Learned Information Sharing 
System, [hyperlink https://www.llis.dhs.gov]. These officials also told 
us that FEMA briefs Congress on the elements of the national 
preparedness system on a recurring basis. § 646(b). 

* Specific, Flexible, and Measurable Capabilities: According to the TCL 
introduction, it supports an all-hazards approach to building 
interchangeable, flexible capabilities needed to address a broad range 
of incidents to include terrorist attacks, natural disasters, health 
emergencies, and other major incidents. The current TCL version 
contains 37 core capabilities, and each capability includes the 
following: a definition of the capability, an outcome statement that 
describes the expected results to be achieved, a description of the 
major activities and tasks performed with the capability, and 
performance measures associated with the capability. § 646(c). 

* Risk Assessment Guidelines: To assist planners and officials at all 
levels with assessing and determining their greatest risks and to 
establish priorities for addressing resource gaps, training, and 
exercises, the TCL introduction describes a preparedness-cycle 
framework, in which risk assessment is one step. The TCL states that 
risk is a combination of credible threats, vulnerabilities, and 
consequences. It identifies the following risk factors that affect the 
need for and placement of target capabilities: population and 
population density; the presence of critical infrastructure and key 
resources; location in a high-risk area for terrorist events or natural 
disasters; and capabilities to prevent, protect against, or mitigate 
against a threat. The TCL explains that the relative importance of 
these risk factors determines capability needs. § 646(d). 

* Preparedness Priorities: The National Preparedness Guidelines, also 
issued in September 2007, and containing the TCL as one of its 
elements, establish the following eight priorities to guide 
preparedness efforts: (1) expand regional collaboration; (2) implement 
NIMS and the NRF; (3) implement the National Infrastructure Protection 
Plan; (4) strengthen information sharing and collaboration 
capabilities; (5) strengthen communications capabilities; (6) 
strengthen chemical, biological, radiological, nuclear, and explosive 
detection, response, and decontamination capabilities; (7) strengthen 
medical surge and mass prophylaxis capabilities; and (8) strengthen 
planning and citizen preparedness capabilities. § 646(e). 

* Mutual Aid Agreements: FEMA has provided funds to the National 
Emergency Management Association (NEMA) to develop and market model 
intrastate mutual aid legislation. According to these officials, this 
model legislation provides states with a legal framework to address 
reimbursement, workers compensation and liability issues for official 
actions, and the foundation to execute mutual aid. This model 
legislation, according to the officials, also encourages participants 
to develop a system that addresses the logistical issues of inventory, 
status, ordering, support, and returning of resources. Moreover, 
according to officials in FEMA's National Preparedness Directorate, 
FEMA has entered into a cooperative agreement with the International 
Association of Fire Chiefs for the development of state mutual aid 
systems that implement the NEMA-developed model legislation for 
intrastate mutual aid compacts. These officials told us that as of 
August 1, 2008, $3 million has been committed to the cooperative 
agreement with the International Association of Fire Chiefs and 25 
states have been engaged in the project with the remaining 25 expected 
to be incorporated in the next 2 years. Finally, officials in the 
National Preparedness Directorate said that FEMA provides support to 
the development of the United South and Eastern Tribes Tribal Emergency 
Mutual Aid Compact, which is modeled on the interstate Emergency 
Management Assistance Compact and provides a mechanism that enables 
participant tribes to support each other during disasters. § 646(f). 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 647, Equipment and Training Standards: 

Requires the FEMA Administrator to support the development, 
promulgation, and updating, as necessary, of national voluntary 
consensus standards for (1) equipment used by federal, state, local, 
and tribal governments and other emergency response providers, and (2) 
training. In carrying out this section, the FEMA Administrator must 
consult with public-and private-sector organizations with expertise in 
the development of national voluntary consensus standards. With respect 
to equipment standards, the FEMA Administrator must also consult with 
the heads of appropriate federal agencies and the NAC. With respect to 
training standards, the FEMA Administrator must ensure that the 
training provided by the national training program is consistent with 
the standards. 

Actions Taken: 

* Equipment Standards: Officials in FEMA's National Preparedness 
Directorate reported that since fiscal year 2005, DHS has been working 
with the InterAgency Board for Equipment Standardization and 
Interoperability to support voluntary consensus standards reflected in 
the Authorized Equipment List. These officials also noted that DHS has 
established an online tool (the Responder Knowledge Base), which 
provides up-to-date information on commercial equipment and technology 
to the state, local, and tribal homeland security community in order to 
assist them with their purchasing and operational equipment decisions. 
This includes an online, integrated source of equipment-related 
information such as an interactive version of the FEMA Authorized 
Equipment List, with the associated FEMA grants, applicable standards 
and specifications, related certifications, test reports, and other 
information. Additionally, officials in FEMA's National Preparedness 
Directorate told us FEMA leverages the activities of DHS's Science and 
Technology Directorate--specifically, the efforts of the Test & 
Evaluation and Standards Division in coordinating the development of 
voluntary consensus standards for equipment used by federal, state, 
local, and tribal governments and other emergency response providers. 
According to these officials, FEMA also participates in the work of the 
American National Standards Institute's Homeland Security Standards 
Panel, which promotes a cooperative partnership between the public and 
private sectors in order to meet the needs of the nation for homeland 
security standards. In addition, these officials told us that FEMA 
coleads several DHS working groups that address equipment standards, 
and through these groups, has been able to identify and recommend for 
DHS the adoption of over 20 equipment standards. § 647(a). 

* Training Standards: FEMA officials in the National Preparedness 
Directorate said that DHS adopted training standards in accordance with 
the American National Standards Institute and the National Fire 
Protection Association in 2004. According to officials in the U.S. Fire 
Administration, the National Fire Protection Association consulted with 
the U.S. Fire Administration in developing their standards. National 
Preparedness Directorate officials noted that in addition to the U.S. 
Fire Administration, several other organizations will also be involved 
in establishing training standards, including the Law Enforcement 
Training Center and the Center for Domestic Preparedness. In addition, 
they said training courses are reviewed by FEMA's National Integration 
Center for compliance with NIMS standards. § 647(b). 

* Consultation with Standards Organizations: According to officials in 
FEMA's National Preparedness Directorate, FEMA is working with DHS's 
Science and Technology Directorate and its Infrastructure Protection 
Directorate to survey standards for equipment and training currently in 
use and identify gaps. These officials said that they are working with 
the National Institute of Standards and Technology on this standards 
survey. § 647(c). 

Areas to Be Addressed: 

* Coordination on the Development of Equipment Standards: Officials in 
FEMA's Disaster Operations Directorate told us FEMA has participated in 
federal, state, local, and private organization forums that are 
involved in standards setting and development, but did not specify 
coordination with the NAC. § 647(a)(1), (c). 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 648, Training and Exercises: 

Requires the FEMA Administrator, in coordination with the heads of 
appropriate federal agencies, the NCD, and the NAC, to carry out a 
national training program and a national exercise program. 

Actions Taken: 

* National Exercise Program: In 2007, the National Exercise Division 
within FEMA's National Preparedness Directorate introduced and 
implemented the National Exercise Program. According to officials from 
the National Preparedness Directorate, the National Exercise Program 
conducts four Principal Level Exercises and one National Level Exercise 
annually. These FEMA officials said that the Principal Level Exercises 
are discussion-based (i.e., tabletop or seminar) to examine emerging 
issues, and that one is conducted in preparation for the annual 
National Level Exercise. Further, these officials noted that the 
National Level Exercise are operations-based exercises (drills, 
functional exercises, and full-scale exercises) intended to evaluate 
existing national plans and policies, in concert with other federal and 
nonfederal entities. § 648(b). 

Areas to Be Addressed: 

* National Training Program: DHS and FEMA are developing the Homeland 
Security National Training Program, which will oversee and coordinate 
homeland security training programs, increase training capacity, and 
ensure standardization across programs, according to FEMA's Deputy for 
National Preparedness. The Homeland Security National Training Program 
has provided funding to a variety of training partners, including the 
National Domestic Preparedness Consortium and the Rural Domestic 
Preparedness Consortium, for the development and delivery of all-
hazards training for federal, state, local, and tribal emergency 
responders. § 646(a). 

* Coordination: In developing the National Training Program, FEMA has 
not yet coordinated with the NCD, the NAC, or other federal agencies. 
In carrying out the National Exercise Program, FEMA has coordinated 
with other federal agencies. However, FEMA officials in the National 
Preparedness Directorate noted that the National Training Program is 
still being developed. They said that before it is finalized, it will 
be fully coordinated within the federal interagency community, 
including NCD and the NAC. § 648(a)(1), (b)(1). 

Challenges DHS and FEMA Officials Identified: 

* The FEMA official responsible for overseeing the National Training 
Program said that the greatest challenge to implementing the program is 
ensuring that lessons learned from each and every exercise and real 
world incidents are recorded and fed back into the preparedness cycle, 
including training plans, so that plans and training can be improved. 

* Officials from FEMA's National Preparedness Directorate reported that 
other challenges include identifying and prioritizing training 
requirements for a wide range of federal, state, local, and tribal 
positions and recharacterizing the requirements based on the TCL; 
allocating and balancing training responsibilities among FEMA and DHS 
training organizations; controlling duplication; and ensuring 
consistency of doctrine and course content. 

Post-Katrina Act § 649, Comprehensive Assessment System: 

Requires the FEMA Administrator, in coordination with the NCD and the 
NAC, to establish a comprehensive system to assess, on an ongoing 
basis, the nation's prevention capabilities and overall preparedness, 
including operational readiness. 

Areas to Be Addressed: 

* Establishment: FEMA has not yet implemented a comprehensive 
assessment system. In fiscal year 2008, according to officials in 
FEMA's National Preparedness Directorate, they began development of the 
system and established an outreach strategy. The officials said they 
conducted a comprehensive review of six major assessment systems 
developed by DHS/FEMA in the last decade with the intention of using 
the results of the analysis to inform the development and 
implementation of the Comprehensive Assessment System. According to the 
officials, they intend to apply the best practices of the six systems 
to develop an integrated planning and assessment methodology, process, 
and system. § 649(a). 

* Coordination: FEMA does not currently have a plan for coordinating 
with the NCD or the NAC as it develops the comprehensive assessment 
system. § 649(a). 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 650, Remedial Action Management Program: 

Requires the FEMA Administrator, in coordination with the NCD and the 
NAC, to establish a remedial action management program to, among other 
things, track lessons learned and best practices from training, 
exercises, and actual events. 

Actions Taken: 

* Establishment of Remedial Action Management Program: FEMA launched 
the Remedial Action Management Program (RAMP) in 2003 and released it 
as a Web application for all FEMA intranet users in January 2006. RAMP 
uses FEMA facilitators to conduct sessions immediately after exercises 
or events, and these facilitators are responsible for developing issue 
descriptions for remedial actions. In addition, FEMA has a related 
program called the Corrective Action Program (CAP) that is to be used 
for governmentwide corrective action tracking by federal, state, and 
local agencies. While RAMP is FEMA's internal remedial action program, 
CAP is designed to serve as an overarching program for linking federal, 
state, and local corrective actions. § 650. 

Areas to Be Addressed: 

* Coordination: FEMA developed RAMP prior to enactment of the Post-
Katrina Act. However, FEMA has not yet established any mechanisms to 
coordinate ongoing implementation of RAMP or CAP with the NCD or the 
NAC. § 650. 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 651, Federal Response Capability Inventory: 

Requires the FEMA Administrator to accelerate the completion of the 
inventory of federal response capabilities required by the Stafford 
Act; develop a list of organizations and functions within the 
Department of Defense (DOD) that may be used to provide support to 
civil authorities during natural and manmade disasters and terrorist 
events; and establish an inventory database to allow, among other 
things, real-time exchange of information regarding capabilities. 

Areas to Be Addressed: 

* Completion of Federal Response Capability Inventory: FEMA has not yet 
completed the inventory of federal response capabilities. According to 
FEMA officials in the National Preparedness Directorate, the agency is 
assessing federal capabilities as part of its comprehensive assessment 
system efforts. In addition, FEMA is also culling information from work 
previously conducted to assess overall preparedness and is awaiting the 
results of the State Preparedness Reports in order to conduct a 
comprehensive assessment of state and federal response capabilities. § 
651(a). 

* List of DOD Organizations and Functions to Support Civil Authorities: 
According to FEMA officials in the National Preparedness Directorate, 
DOD is currently conducting a capabilities-based assessment of homeland 
security requirements and related capabilities to help prepare for 
situations in which DOD capabilities would need to be integrated into 
the homeland security mission. Representatives from DHS are 
participating with DOD in the assessment. § 651(c). 

* Establishment of Inventory Database: According to FEMA officials in 
the National Preparedness Directorate, there is an information system, 
based on the TCL, that includes a feature that allows grouping of 
resources into capabilities, but the information system does not 
provide information in real time. FEMA officials also stated that the 
system has the capability for real-time exchange to be established in 
the future, but it needs to be able to pull data from a number of 
systems that are not currently linked. According to officials in FEMA's 
Disaster Operations Directorate, FEMA intends to upgrade its National 
Response Coordination Center capabilities with the installation of a 
Web-based software system called the Emergency Management Information 
Management System. These officials said that the software system will 
operate in real-time and will be used to support disaster operations 
management, maintain situational awareness, and coordinate information 
sharing. According to these officials, FEMA's longer term goal is to 
use this software system to create a larger national asset database of 
all federal response teams for all hazards. § 651(d). 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 652, Reporting Requirements: 

Requires the FEMA Administrator to submit annually to Congress a 
Federal Preparedness Report, describing the nation's level of 
preparedness for all hazards, and a Catastrophic Resource Report, 
describing the federal resources needed for and devoted to developing 
the capabilities of all levels of government to respond to a 
catastrophic incident. This section also requires a state receiving 
federal preparedness assistance to submit a report to the FEMA 
Administrator on the state's level of preparedness. 

Actions Taken: 

* State Preparedness Report: In the fiscal year 2008 Homeland Security 
Grant Program guidance, DHS required that State Preparedness Reports be 
submitted by March 31, 2008, and DHS received all 56 reports (for the 
states, territories, and the District of Columbia) by early April 2008. 
According to officials in FEMA's National Preparedness Directorate, 
FEMA analyzed each report and used them to produce substantive analysis 
on nationwide trends, identify areas for increased attention, and 
inform broader assessments of national preparedness. These officials 
told us that the agency provided guidance on how states should 
interpret Post-Katrina Act language for reporting purposes. For 
example, the law requires states to provide an assessment of their 
current capability levels, and FEMA guidance for this requirement 
instructed states to report data using the capabilities included in the 
TCL. § 652(c). 

Areas to Be Addressed: 

* Federal Preparedness Report: FEMA has not submitted this report to 
Congress. According to officials in FEMA's National Preparedness 
Directorate, the Federal Preparedness Report is in the final stages of 
review, and they expect to submit it to Congress soon. They said that 
the National Preparedness Directorate is also providing detailed 
briefings to Congress every 90 days addressing its progress and 
gathering congressional recommendations for additional data and 
information. According to these officials, the draft report is based 
primarily on DHS data and information, but it does contain some other 
federal information, such as hospital preparedness grants funded by the 
Department of Health and Human Services. § 652(a). 

* Catastrophic Resource Report: FEMA has not submitted this report to 
Congress. Officials in FEMA's National Preparedness Directorate said 
that FEMA plans to merge this reporting requirement with its Federal 
Preparedness Report and to incorporate information from the State 
Preparedness Reports. However, FEMA officials did not provide 
information regarding the combined report's status or its expected 
submission date to Congress. § 652(b). 

Challenges DHS and FEMA Officials: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 653, Federal Preparedness: 

Requires, among other things, that each federal agency with 
responsibilities under the NRF develop operational plans and 
corresponding capabilities to ensure a coordinated federal response. 
Such plans must be certified by the President on an annual basis. This 
section further requires the FEMA Administrator, in coordination with 
other federal agencies with responsibilities under the NRF, to develop 
prescripted mission assignments. 

Actions Taken: 

* Prescripted Mission Assignments: FEMA finalized a catalogue of 
prescripted mission assignments (PSMA) in June 2008. There are 223 
PSMAs in the catalogue, and they are listed by Emergency Support 
Function employed under the NRF. According to FEMA officials in the 
Disaster Operations Directorate, the PSMA catalogue will be continually 
updated based on experiences and lessons learned from disasters and 
simulation exercises. For example, since the June publication of the 
catalogue, officials in the Disaster Operations Directorate reported 
that it has already been updated with a supplement, bringing the total 
number of PSMAs to 236, scripted for 33 separate agencies. § 653(c). 

Areas to Be Addressed: 

* Development of Operational Plans: FEMA officials in the National 
Preparedness Directorate stated that federal agency operational plans 
in support of the NRF are being developed, but they have yet to be 
finalized or disseminated. Officials in FEMA's Disaster Operations 
Directorate told us that the federal government's Integrated Planning 
System is currently in the final stages of interagency review. The 
planning system is intended to be the underlying framework for 
conducting all deliberate federal interagency incident planning, 
including operational planning. According to these officials, the 
Secretary of Homeland Security begins the planning process by approving 
Strategic Guidance Statements for each of the 15 National Planning 
Scenarios. Once a statement is approved for a planning scenario, a 
strategic plan will be developed, which will define overarching 
missions and authorities, and delineate federal roles and 
responsibilities. FEMA will also begin developing a concept plan, which 
will describe a concept of operations for integrating and synchronizing 
existing capabilities to accomplish mission essential tasks. 
Departmental and agency operational plans, which will identify detailed 
resource, personnel, and asset allocations in order to execute the 
objectives of the strategic plan, will be developed, after FEMA 
completes a concept plan. § 653(a)(4). 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act, § 654, Use of Existing Resources: 

Requires the FEMA Administrator to use existing preparedness documents, 
planning tools, and guidelines in establishing the national 
preparedness goal and the national preparedness system, to the extent 
practicable and consistent with the Post-Katrina Act. 

Actions Taken: 

* Revision of Existing Preparedness Documents: Several initiatives 
underpinning the Post-Katrina Act's national preparedness system were 
underway as a result of Homeland Security Presidential Directive-8 
(HSPD-8), which was issued on December 17, 2003. HSPD-8 required the 
development of the national preparedness goal; preparedness priorities; 
a comprehensive assessment system; a training and exercise program; a 
system to collect, analyze, and disseminate lessons learned, best 
practices, and information from exercises, training events, and actual 
incidents; equipment standards; and a federal response capability 
inventory, including DOD civil support resources. Because HSPD-8 
preceded the Post-Katrina Act, FEMA was able to adapt existing 
preparedness documents, tools, and guidelines in developing the new 
preparedness system. For example, the Interim National Preparedness 
Goal, issued in March 2005, was revised and renamed the National 
Preparedness Guidelines. Likewise, the TCL and the National Planning 
Scenarios, which accompanied the Interim National Preparedness Goal, 
have been retained and updated as part of the new national preparedness 
system. Other initiatives, such as RAMP (i.e., one of the programs for 
tracking lessons learned and best practices from training, exercises, 
and actual events), preceded the Post-Katrina Act and have been 
continued within the new national preparedness system. § 654. 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 663, Transfer of Noble Training Center: 

Specifies that the Noble Training Center is transferred to the Center 
for Domestic Preparedness, which shall integrate the Noble Training 
Center into its program structure. 

Actions Taken: 

* Transfer: According to officials in FEMA's National Preparedness 
Directorate, the Noble Training Center was transferred to the Center 
for Domestic Preparedness in April 2007 at the same time that the 
Center for Domestic Preparedness was transferred to FEMA. Officials in 
the National Preparedness Directorate also told us that the medical 
training curriculum previously offered at the Noble Training Center, 
renamed the Center for Domestic Preparedness Noble Training Facility, 
has been completely revised and fully integrated into the Center for 
Domestic Preparedness's training program. § 663. 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 664, National Exercise Simulation Center: 

Requires the President to establish a National Exercise Simulation 
Center (NESC) that uses a mix of live, virtual, and constructive 
simulations to, among other things, provide a learning environment for 
the homeland security personnel of all federal agencies, and that uses 
modeling and simulation for training, exercises, and command and 
control functions at the operational level. 

Actions Taken: 

* Preliminary Support: FEMA has been using FEMA Simulation Centers, DOD 
facilities, and other facilities to support exercise simulation while 
it develops the NESC. For example, FEMA officials said that FEMA has 
provided initial exercise simulation support for exercises requiring 
the two highest levels of federal interagency participation in the 
National Exercise Program. § 664. 

Areas to Be Addressed: 

* Establishment: According to an official in FEMA's National 
Integration 
Center, the NESC is currently under development and is estimated to 
take 3-4 years to fully establish. FEMA, in conjunction with its 
relevant partners, has started to define requirements for the NESC, 
according to the Assistant Deputy Administrator for National 
Preparedness. § 664. 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 682, National Disaster Recovery Strategy: 

Requires the FEMA Administrator, in coordination with specified and 
other appropriate federal agencies, nonfederal government officials 
(including through the NAC), and representatives from appropriate 
nongovernmental organizations, to develop, coordinate, and maintain a 
National Disaster Recovery Strategy (NDRS) to serve as a guide to 
recovery efforts after major disasters and emergencies. Specifies 
required contents for the NDRS and requires the FEMA Administrator to 
submit a report to Congress describing the NDRS in detail and any 
additional authorities necessary to implement it. 

Actions Taken: 

* Initial Draft: FEMA has developed the NDRS, which is currently in 
draft form. According to the Deputy Assistant Administrator for 
Disaster Assistance, the NDRS has had initial vetting by federal 
partners, but it has not yet gone to the states or out of the Disaster 
Assistance Directorate for internal DHS review. § 682(a). 

Areas to Be Addressed: 

* Completion of the NDRS: As of August 1, 2008, the NDRS was still 
under review and FEMA officials could not estimate when it would be 
released. § 682(a). 

* Coordination: While FEMA officials stated that they shared the draft 
NDRS with federal partners for initial vetting, FEMA has not yet taken 
action to coordinate with nonfederal or nongovernmental stakeholders, 
including the NAC. § 682(a). 

* Reporting Requirement: FEMA has not yet reported to Congress on the 
NDRS and has not yet taken action to consider what, if any, additional 
authorities will be required to carry out the NDRS for inclusion in 
that report. § 682(c)(1). 

Challenges DHS and FEMA Officials Identified: 

* According to the Deputy Assistant Administrator for Disaster 
Assistance, a number of factors have contributed to the delay in the 
completion of the NDRS. These factors included waiting for the 
completion of National Disaster Housing Strategy and the NRF, obtaining 
current program information from other federal agencies, and deciding 
the proper extent of the NDRS's review process. 

Post-Katrina Act § 683, National Disaster Housing Strategy: 

Requires the FEMA Administrator, in coordination with specified federal 
and nonfederal government agencies, the American Red Cross, the NAC, 
and the NCD, to develop, coordinate, and maintain a National Disaster 
Housing Strategy (NDHS). Specifies required contents for the NDHS and 
requires the FEMA Administrator to issue guidance summarizing the types 
of Stafford Act housing assistance, eligibility requirements, and 
application procedures. 

Actions Taken: 

* Release of Draft National Disaster Housing Strategy: FEMA released a 
draft NDHS on July 21, 2008, for a 60-day public comment period, which 
it later extended by 7 days to September 29, 2008. The draft includes 
four chapters: (1) Introduction, (2) Responsibilities and Roles (which 
is a required component of the strategy), (3) Disaster Housing: Current 
Practices and Future Directions, and (4) Implementing the Strategy. § 
683(a), (b)(2). 

* Coordination: According to officials in FEMA's National Preparedness 
Directorate, the NAC became involved in October 2007 and has 
participated in drafting annexes for the second draft version of the 
NDHS. The officials said the draft has been shared with the NAC and 
other external agencies and that FEMA has received comments from the 
NAC, as well as others. In addition, these officials reported that in 
drafting the annexes, FEMA has been coordinating with several other 
agencies including, among others, the Department of Housing and Urban 
Development, the Department of Health and Human Services, the General 
Services Administration, the Small Business Administration, the U.S. 
Army Corps of Engineers, the Department of Labor, the Bureau of Indian 
Affairs, and the Veteran's Administration. § 683(a), (b)(2). 

Areas to Be Addressed: 

* Plan Content: The draft NDHS released for public comment lists seven 
annexes, but states that these are "under development." The titles of 
these annexes appear to correspond with specific content requirements 
of the Post-Katrina Act, as well as the requirement to provide guidance 
on the types of Stafford Act housing assistance. § 683(b)--(c). 

* Completion of the Strategy: FEMA has yet to finalize the NDHS. As of 
August 1, 2008, FEMA officials could not estimate when the draft would 
be finalized and its annexes completed. § 683(a). 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

For Further Reading: 

U.S. Department of Homeland Security. National Emergency Communications 
Plan. Washington D.C.: July 2008. 

U.S. Department of Homeland Security. National Preparedness Guidelines. 
Washington D.C.: September 2007. 

U.S. Department of Homeland Security. National Response Framework. 
Washington D.C.: January 2008. 

U.S. Department of Homeland Security. Target Capabilities List. 
Washington D.C.: September 2007. 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. Authorized Equipment List. [hyperlink, 
https://www.rkb.us/mel.cfm?subtypeid=549] (accessed Sept. 5, 2008). 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. Comprehensive Preparedness Guide 101: Producing Emergency Plans 
(Interim Version 1.0). Washington D.C.: August 1, 2008. 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. Fiscal Year 2008 Emergency Management Performance Grants 
Guidance and Application Kit. Washington D.C.: February 2008. 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. Fiscal Year 2008 Homeland Security Grant Program Guidance and 
Application Kit. Washington D.C.: February 2008. 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. Lessons Learned Information Sharing. [hyperlink, 
https://www.llis.dhs.gov] (accessed Nov. 12, 2008). 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. National Disaster Housing Strategy (Draft). Washington D.C.: 
July 2008. 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. National Response Framework Resource Center. "Incident 
Annexes." [hyperlink, 
http://www.fema.gov/emergency/nrf/incidentannexes.htm] 
(accessed Sept. 4, 2008). 

[End of section] 

Enclosure VI: Supporting Regional Preparedness and Cooperation: 

Post Katrina Act § 611 (Homeland Security Act § 507), Regional Offices: 

Requires that each of the 10 regional offices be headed by a Regional 
Administrator; enumerates the responsibilities of Regional 
Administrators; designates area offices for Alaska, the Pacific, and 
the Caribbean; requires each Regional Administrator to establish a 
Regional Advisory Council; requires each Regional Administrator to 
oversee regional office strike teams; and, if the Federal Emergency 
Management Agency (FEMA) Administrator determines additional 
authorities are necessary for deploying or preparing regional office 
strike teams, requires the FEMA Administrator to report this need to 
Congress. 

Actions Taken: 

* Management of Regional Offices: According to officials in FEMA's 
Disaster Operations Directorate, Regional Administrators head each of 
the regional offices, and are members of the Senior Executive Service. 
They report directly to the FEMA Administrator. Each of the Regional 
Administrators had professional experience in emergency management and 
homeland security prior to his or her appointment as Regional 
Administrator. § 507(b). 

* Regional Administrator Responsibilities: According to officials in 
FEMA's Disaster Operations Directorate, the Regional Administrator's 
role in enhancing capabilities to prevent, protect against, respond to, 
and recover from all hazards is outlined in the Regional-National 
Preparedness Concept of Operations. This document specifies that 
Regional Administrators and Deputy Regional Administrators are 
responsible for the day-to-day management and administration of 
regional activities and staff. This document also specifies that 
Federal Preparedness Coordinators, as representatives of the Regional 
Administrators, oversee and coordinate regional preparedness program 
management for their regional offices. In addition, FEMA has expanded 
the authority of the Regional Administrators by transferring 
administrative and operational authority of specific preparedness 
personnel from their respective headquarters elements to the Regional 
Administrators. The following are additional actions FEMA and regional 
offices have taken to implement their Post-Katrina Act 
responsibilities: 

- Coordinating the Establishment of Operable and Interoperable 
Emergency Communications Capabilities: According to the Deputy 
Assistant Administrator of FEMA's Disaster Operations Directorate, each 
of the regional offices has a designated disaster emergency 
communications staff member who provides operational and tactical 
support. 

- Strategic and Operational Planning: According to FEMA officials in 
the Disaster Operations Directorate, the regional offices are in the 
process of hiring regional operational planners. FEMA expects to have 
three to four operational planners in each of the regional offices by 
the end of fiscal year 2008. As stated in the Regional-National 
Preparedness Concept of Operations, each of the regional offices is to 
have a Preparedness Analysis and Planning Officer, who is responsible 
for, among other things, the development of annual and multiyear 
regional preparedness strategies. According to Disaster Operations 
Directorate officials, each planning officer is expected to have a 
number of Preparedness Analysis and Planning Specialists to provide 
support. In addition, FEMA reported that it has a new Regional 
Catastrophic Planning Grant Program in place to help improve the level 
of planning capabilities within the states. The program is administered 
by the Federal Preparedness Coordinators through their regional 
offices. 

- Fostering Cooperative Agreements: According to FEMA officials in the 
Disaster Operations Directorate, the FEMA Regional Offices have 
established Regional Emergency Management Advisory Committees that are 
cross-border emergency management groups comprised of U.S. states, 
Canadian provinces, and federal partners. For example, one such 
committee includes Ontario, Quebec, Wisconsin, Illinois, Indiana, 
Michigan, Ohio, New York, and Pennsylvania. These officials said that 
there are three other committees based in different regions of the 
country, two of which have emergency management assistance compacts in 
place that have been ratified by Congress. Additionally, the officials 
noted that the regional offices have fostered the development of 
cooperative agreements through evacuation planning with their 
respective states as well as New Madrid Seismic Zone catastrophic 
planning. Furthermore, the officials said the National Emergency 
Management Association has developed and markets model intrastate 
mutual aid legislation. According to these officials, this model 
legislation provides states with a legal framework to address 
reimbursement, workers compensation and liability issues for official 
actions, and the foundation to execute mutual aid. This model 
legislation, according to the officials, also encourages participants 
to develop a system that addresses the logistical issues of inventory, 
status, ordering, support, and returning of resources. 

- Identifying Capability Gaps in Responding to Special Needs 
Populations: According to officials in the Disaster Operations 
Directorate, FEMA's Gap Analysis Program uses a consistent, national 
approach to determine asset gaps at the local, state, and national 
levels, which they consider to be a critical component of preparedness 
and planning. The Gap Analysis Program examines transportation and 
evacuation, sheltering/mass care (general and special needs populations 
and companion animals), and other areas. 

- Regional Response Coordination Centers: According to officials in 
FEMA's Disaster Operations Directorate, each regional office maintains 
a Regional Response Coordination Center. In addition, they said that 
the regional offices continue to hire Watch Analysts to support the 
coordination centers. 

- Participation in Exercises: According to officials in FEMA's Disaster 
Operations Directorate, a review of Regional Exercise Support program-
funded exercises indicates that out of the 44 regional exercises 
conducted in fiscal year 2008, all 10 Regional Administrators 
participated in at least 1 regional-level exercise. These officials 
said that Regional Administrators from Regions 9 and 10 participated in 
a national-level exercise program called Top Officials 4 Full-Scale 
Exercise in 2007. In addition, they reported that Regional 
Administrators from Regions 3 and 10 participated in a national-level 
exercise, while the Regional Administrator from Region VI participated 
in both planning and conducting a regional-level exercise in 2008. 
Finally, they said that Region 9's Regional Administrator also 
participated in the conduct of a tabletop exercise in 2008. 
§ 507(c)(2)-(3). 

* Area Offices: FEMA established area offices for Alaska, the Pacific, 
and the Caribbean. The Pacific office is located in Hawaii (FEMA Region 
9), the Caribbean office is located in Puerto Rico (Region 2), and the 
Alaska office is located in Anchorage, Alaska (Region 10). § 507(d). 

* Regional Advisory Councils: The FEMA Associate Deputy Administrator 
said that each of the regional offices has established a Regional 
Advisory Council. According to the Regional Administrator for Region 3, 
each of the Regional Advisory Councils has met at least once and 
discussed issues ranging from training and exercises to strategies to 
enhance private/public partnerships. § 507(e). 

* Regional Strike Teams: According to Disaster Operations Directorate 
officials, "strike teams" and "emergency response teams," the Post-
Katrina Act's terms for the support teams deployed to assist in major 
disasters and emergencies under the Stafford Act, are now called 
Incident Management Assistance Teams (IMAT). IMATs are interagency 
national-or regional-based teams composed of subject matter experts and 
incident-management professionals, and are designed to manage and 
coordinate national response emergencies and major disasters. According 
to the officials, Regional Administrators oversee IMATs based within 
their regions. IMAT personnel are intended to be permanent, full-time 
employees whose duties and responsibilities are solely focused on their 
IMAT functions. The officials said that the IMATs' other functions 
include working with state and local emergency managers to plan, 
prepare, and train for disasters; running exercises; and building 
relationships with emergency managers and other IMAT personnel. 

- Staffing Regional IMATs: Disaster Operations Directorate officials 
said that IMATs had been established in FEMA Regions 4, 5, and 6, as of 
August 1, 2008. The officials also said that FEMA intends to establish 
IMATs in all 10 regions by the end of fiscal year 2011. According to 
the officials, each of the strike team positions described in the Post-
Katrina Act, for example, the Federal Coordinating Officer, is 
represented in the established IMATs. Further, the officials explained 
that each of the 10 FEMA Regions has a Defense Coordinating Officer. 
This officer can be added to augment and support the IMAT when 
activated in response to a major disaster or an emergency. A Defense 
Coordinating Officer is required by the Post-Katrina Act in each 
Regional Office Strike Team. According to the officials, FEMA's draft 
IMAT Concept of Operations states that personnel from FEMA 
headquarters, other regional offices, and other federal agencies may be 
organized with the IMAT as appropriate depending on the situation. 
Further, the draft IMAT Concept of Operations also specifically 
includes a designated Liaison Officer within the National Team to 
coordinate with external entities, including the Department of Defense. 

- Statutory Authority: According to FEMA officials in the Disaster 
Operations Directorate, FEMA has made no determination that the 
statutory authority is inadequate in regards to the IMATs. § 507(c)(2), 
(f). 

Areas to Be Addressed: 

* Establishing IMATs: According to Disaster Operations Directorate 
officials, as of August 1, 2008, FEMA had not established IMATs for 7 
of the 10 regions, but intends to do so by the end of fiscal year 2011. 
§ 507(c)(2), (f). 

* IMAT Credentialing and Training Program: Officials in the Disaster 
Operations Directorate said that FEMA intends to develop a 
credentialing and training program for all IMAT positions. According to 
these officials, the agency is in the process of setting up focus 
groups to analyze positions and existing courses to identify training 
requirements for each position. FEMA plans to use this information to 
guide the development of the IMAT Training and Credentialing Standard 
Operating Procedures and establish a training curriculum (i.e., 
courses, field experience, and exercises) for various positions by 
types/levels. § 507(f)(5). 

* Training for Regional Administrators: As of August 1, 2008, FEMA has 
not established specific training requirements for its Regional 
Administrators. § 507(c)(3). 

Challenges FEMA and DHS Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post Katrina Act § 661, Emergency Management Assistance Compact Grants: 

Authorizes FEMA to provide grants to administer the Emergency 
Management Assistance Compact (EMAC).[Footnote 24] 

Actions Taken: 

* EMAC Grant: In an undated memorandum of agreement regarding resource 
typing, credentialing, and mutual aid systems, FEMA agreed to provide 
the National Emergency Management Association (NEMA) with funds to 
serve as EMAC's executive agent and administrator through a cooperative 
agreement. According to the Assistant Deputy Administrator of FEMA's 
National Preparedness Directorate, in 2007, FEMA provided NEMA $1 
million in accordance with this agreement and the amount was increased 
in 2008 to $2.5 million. FEMA officials said that the funds have been 
committed and obligated. According to the EMAC Cooperative Agreement 
Scope of Work, NEMA intends to implement the following objectives and 
tasks to enhance and improve interstate mutual aid through EMAC: (1) 
develop and implement an online training and education program; (2) 
hire additional training and education staff; (3) enhance coordination 
with FEMA, the Department of Homeland Security (DHS), and the federal 
government; (4) continue to develop National Incident Management 
System-compliant resource-typed mission packages and review and analyze 
existing registries used to support credentialing programs; (5) conduct 
a pilot project to develop resource staging capabilities in select 
states; (6) develop internal operational capacity to support major EMAC 
activations; (7) fund full-time administration and staff for EMAC; and 
(8) facilitate international mutual aid assistance. Several of these 
tasks, such as the training and education program, resource typing and 
credentialing, and developing operational capacity, reflect 
recommendations that NEMA had made after conducting an after-action 
review of the mutual aid response during the 2005 Hurricane season. 
§ 661(a)-(b). 

* Coordination: According to FEMA officials, NEMA, under the EMAC 
Cooperative Agreement, established and maintains the EMAC Advisory 
Group for the purpose of bringing stakeholders together to coordinate 
activities, and prevent duplication of efforts and confusion. FEMA 
officials said that the EMAC Senior Policy Advisor serves on the 
National Incident Management System Project Support Team as well as 
several of the nine working groups, which are composed of various 
emergency management disciplines, to bring EMAC expertise to their 
deliberations on resource management, resource typing, credentialing, 
information management for decision support, and Incident Command 
System field operating guides and forms. In addition, the officials 
said that the EMAC Executive Task Force Chair served as the Chair of 
the National Incident Management System Credentialing Working Group 
that drafted credentialing guidelines. Furthermore, they noted that the 
EMAC Director has served as a member of the subcommittee preparing a 
national standard on resource management. § 661(b)(3)-(4), (c). 

Challenges FEMA and DHS Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post Katrina Act § 671 (Homeland Security Act § 1805), Regional 
Emergency Communications Coordination: 

Establishes in each regional office a Regional Emergency Communications 
Coordination (RECC) working group and enumerates its duties, which 
include reporting to the Regional Administrator and coordinating across 
regional entities and jurisdictions to support the ability to 
communicate during disasters; identifies the agencies and organizations 
that the working groups are required to represent; and identifies 
public and private organizations with which to coordinate their 
activities. 

Actions Taken: 

* Establishment: As of August 1, 2008, 7 of the 10 RECC working groups 
had been established with 6 having met at least once, according to 
Disaster Operations Directorate officials. § 1805(a). 

* Coordination: FEMA officials in the Disaster Operations Directorate 
stated that 2 RECC workings groups, as of August 1, 2008, had partial 
coordination with the groups described in the Post-Katrina Act. § 
1805(c). 

* Local Emergency Communications Systems Assessment: According to FEMA 
officials in the Disaster Operations Directorate, 1 RECC working group, 
as of August 1, 2008, had completed its assessment of the 
survivability, sustainability, and interoperability of local emergency 
communications systems to meet the goals of the National Emergency 
Communications Plan. The agency further specified that 4 of the 
regional offices (3 of which have established RECC working groups, but 
1 does not) were in the process of completing this assessment, as of 
August 1, 2008. § 1805(d)(1). 

* Process for Multijurisdictional Coordination: As of August 1, 2008, 1 
RECC working group was establishing a process for the coordination of a 
multijurisdictional, multiagency emergency communication network for 
use during disasters through the use of mutual aid agreements, 
according to officials in the Disaster Operations Directorate. § 
1805(d)(3). 

Areas to Be Addressed: 

* Establishment: As of August 1, 2008, three of the ten RECC working 
groups had not yet been established, according to FEMA Disaster 
Operations Directorate Officials. § 1805(a). 

* Federal Representation in RECC Working Groups: We received membership 
rosters for the seven RECC working groups that have been established to 
date. At the federal level, although the Post-Katrina Act requires each 
RECC working group to include representatives from DHS, the Federal 
Communications Commission, and other federal agencies with relevant 
responsibilities, only one of the rosters included a representative 
from the Federal Communications Commission, and two of the rosters 
listed no federal representatives at all, including none from DHS. § 
1805(b)(2). 

* Nonfederal Representation in RECC Working Groups: As of August 1, 
2008, four of the seven RECC working group membership rosters that we 
received do no not include all the representatives from the nonfederal 
elements described in the Post-Katrina Act. § 1805(b)(1). 

* Coordination: FEMA officials from the Disaster Operations Directorate 
reported that five of the seven established RECC working groups, as of 
August 1, 2008, had not coordinated with the nonfederal groups 
described in the Post-Katrina Act. § 1805(c). 

* Local Emergency Communications Systems Assessment: According to FEMA 
Disaster Operations Directorate officials, five regional offices (two 
of which are without RECC working groups), as of August 1, 2008, had 
not started their assessment of the survivability, sustainability, and 
interoperability of local emergency communications systems to meet the 
goals of the National Emergency Communications Plan. § 1805(d)(1). 

* Annual Reporting: As of August 1, 2008, FEMA officials in the 
Disaster Operations Directorate said that all the regional offices 
(i.e., the seven regional offices with established RECC working groups 
and the three regional offices without them) were preparing to report 
on the status of their regions in building robust and sustainable 
interoperable voice and data emergency communications networks. 
According to these officials, the reports are due on September 31, 
2008. § 1805(d)(2). 

* Process for Multijurisdictional Coordination: As of August 1, 2008, 
six of the seven established RECC working groups have yet to start 
establishing a process for the coordination of a multijurisdictional, 
multiagency emergency communication network for use during disasters 
through the use of mutual aid agreements, according to officials in the 
Disaster Operations Directorate. § 1805(d)(3). 

* Establishment of Support Services: FEMA's Disaster Operations 
Directorate officials reported that, as of August 1, 2008, none of the 
RECC working groups have coordinated the establishment of federal, 
state, local, or tribal support services and networks designed to 
address immediate and critical human needs in responding to disasters. 
§ 1805(d)(4). 

Challenges FEMA and DHS Officials Identified: 

* A senior FEMA official in the Disaster Operations Directorate stated 
that the lack of travel funds for members of the RECC working groups 
prevented them from meeting and carrying out the duties of the working 
groups. 

Post Katrina Act § 671 (Homeland Security Act § 1807), Urban and Other 
High-Risk Area Communications Capabilities: 

Requires DHS to provide technical guidance, training, and other 
assistance, as appropriate, to support the rapid establishment of 
consistent, secure, and effective interoperable emergency 
communications capabilities in the event of an emergency in urban and 
other high-risk areas. 

Actions Taken: 

* Technical Assistance: According to the Deputy Director of the Office 
of Emergency Communications, DHS has supported the rapid establishment 
of interoperable emergency communications capabilities of urban and 
other high-risk areas by providing technical assistance to Urban Area 
Security Initiative (UASI) grant recipients. Through the Interoperable 
Communications Technical Assistance Program, FEMA provided technical 
support and conducted workshops to assist UASI grant recipients in 
developing Tactical Interoperable Communications Plans, which are plans 
designed to prepare agencies for tactical interoperable communications 
sharing during an incident. For example, we reported in 2007 that 
FEMA's technical assistance representatives met with public safety 
agencies in the Miami area to compile an inventory of regional 
emergency communications capabilities in support of developing the 
area's tactical plan. § 1807(a). 

Challenges FEMA and DHS Officials Identified: 

* Agency officials did not identify any challenges for this section. 

For Further Reading: 

Emergency Management Assistance Compact. "Intrastate-Mutual Aid 
Legislation." [hyperlink, http://www.emacweb.org/?150] (accessed on 
Aug. 29, 2008). 

U.S. Congress. House. Subcommittee on Emergency Communications, 
Preparedness and Response, Committee on Homeland Security. Hearing on 
the National Emergency Communications Plan. 110th Cong., 2nd sess. July 
15, 2008. 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "Disaster Operations Directorate: Fact Sheet." [hyperlink, 
http://www.fema.gov/media/fact_sheets/dod.shtm] (accessed on July 17, 
2008). 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "FEMA Leadership." [hyperlink, 
http://www.fema.gov/about/bios/index.shtm] (accessed on Feb. 26, 2008). 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "Interoperable Communications Technical Assistance Program." 
[hyperlink, http://www.ojp.usdoj.gov/odp/ta_ictap.htm] (accessed on 
Sept. 5, 2008). 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "Regional Contacts." [hyperlink, 
http://www.fema.gov/about/contact/regions.shtm] (accessed on Sept. 5, 
2008). 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "Resource Management: Mutual Aid." [hyperlink, 
http://www.fema.gov/emergency/nims/rm/ma.shtm] (accessed on Sept. 5, 
2008). 

U.S. Department of Homeland Security. National Response Framework 
Resource Center. "References." [hyperlink, 
http://www.fema.gov/emergency/nrf/] (accessed on Sept. 5, 2008). 

U.S. Department of Homeland Security. "TOPOFF: Exercising National 
Preparedness." [hyperlink, 
http://www.dhs.gov/xprepresp/training/gc_1179350946764.shtm] (accessed 
on Sept. 5, 2008). 

[End of section] 

Enclosure VII: Improving Timely Delivery of Goods and Services in 
Disaster Events: 

Post-Katrina Act § 636, Logistics: 

Requires FEMA to develop an efficient, transparent, and flexible 
logistics system for procurement and delivery of goods and services 
necessary for an effective and timely emergency response. 

Actions Taken: 

* FEMA's Logistics Mission: According to the National Response 
Framework's Emergency Support Function 7, Logistics Management and 
Resource Support, FEMA is responsible for providing a comprehensive 
national disaster logistics planning, management, and sustainment 
capability that uses the resources of federal partners, public and 
private groups, and other stakeholders to meet disaster response and 
recovery needs. FEMA's Logistics Management Directorate (LMD) is the 
program office responsible for carrying out this mission. The following 
are actions taken by LMD to improve its logistics capabilities: 

- Enhancing Logistics Management: Seeking to develop an effective and 
efficient logistics planning and operations capability, FEMA elevated 
its logistics office from the branch to the directorate level in April 
2007. Additionally, LMD has adopted the concept of the National 
Logistics Coordinator (NLC) as its mission. The NLC, as envisioned by 
FEMA, will work with its partners to coordinate domestic emergency 
logistics capabilities, promote the collaboration of government 
agencies, private sector groups and other stakeholders, and improve 
disaster readiness, responsiveness, and preparedness. 

- Building Logistics Partnerships: FEMA and the U.S. General Services 
Administration--FEMA's colead for Emergency Support Function 7--
sponsored the National Logistics Coordination Forum, which was held in 
March 2008. The forum was intended to open a dialogue between the 
sponsors and their logistics partners, and to discuss how to better 
involve the private sector in planning for and recovering from 
disasters. The forum was also intended to initiate the development of a 
charter and operating doctrine for the NLC concept. In attendance were 
representatives from other federal agencies, public and private sector 
groups, nongovernmental organizations, and other stakeholders. 

- Improving the Supply Chain: According to the agency, FEMA's supply 
chain can deliver disaster commodities and equipment from its logistics 
centers to points of distribution during disaster operations. To 
improve its supply chain management, FEMA brought in a supply chain 
expert from the United Parcel Service through its Loaned Executive 
Program. FEMA also has a Private Sector Office to exchange information 
on best practices and to facilitate engagement with the private sector. 
In addition, FEMA established a Distribution Management Strategy 
Working Group in January 2008 to analyze and develop a comprehensive 
distribution and supply chain management strategy. 

- Improving Logistics Visibility: As of August 1, 2008, FEMA had fully 
implemented Total Asset Visibility (TAV) programs in Regions 4 and 6 to 
track and manage electronically and in real time the movement of its 
disaster commodities and assets. According to FEMA LMD officials, TAV 
is partially available in the other 8 FEMA regions. The tracking and 
monitoring of disaster assets is performed by a group of trained TAV 
Specialists in each region. 

- Assuming Emergency Transportation Responsibility: FEMA's LMD assumed 
emergency transportation responsibility from the Department of 
Transportation in 2007, according to LMD officials. These LMD officials 
said FEMA carries out its emergency transportation responsibilities by 
(1) processing and coordinating requests for federal transportation 
support from FEMA Regions, Distribution Centers, National Logistics 
Staging Areas and Joint Field Offices, Emergency Support Functions, and 
other organizations, including requests for military transportation; 
(2) acquiring transportation services and in-transit visibility of 
transportation assets into and out of disaster areas; and (3) assisting 
in the implementation of alternate transportation services. DHS and 
FEMA signed a Memorandum of Agreement (MOA) with the General Services 
Administration for emergency transportation support, which had 
previously been supplied by a private-sector vendor under the 
Department of Transportation. Additionally, the MOA outlines FEMA and 
the General Services Administration's respective responsibilities for 
Emergency Support Function 7 (Logistics). The officials also noted that 
LMD's Transportation Branch works closely with Emergency Support 
Function 1 (Transportation), to be aware of highway infrastructure 
issues that could affect FEMA movements. 

- Staffing a Professional Workforce: At the time of our work, LMD had 
hired 22 of 25 full-time employees (FTE) for fiscal year 2008, and is 
continuing the hiring process to meet its fiscal year 2008 hiring goal. 
LMD intends to complete its hiring actions by September 30, 2008, and 
has been allocated an additional 30 FTEs for fiscal year 2009. 

- Delivering Individual Assistance Services: According to the FEMA 
Administrator, as of August 1, 2008, FEMA can mobilize 60 Mobile 
Disaster Recovery Centers to assist disaster victims on-site. Mobile 
Disaster Recovery Vehicles are used to support these centers. As of 
August 1, 2008, FEMA was in the process of hiring a permanent, full-
time manager and drafting a budget for a program to manage its fleet of 
60 Mobile Disaster Recovery Vehicles, according to LMD officials. 

- Providing Logistical Support for FEMA's Housing Program: FEMA 
transitioned the logistics management of its temporary housing unit 
program from the regional offices to FEMA headquarters, according to 
LMD officials. The officials said that the Concept of Operations for 
the temporary housing unit program was signed by the Assistant 
Administrator of LMD on May 12, 2008, and issued as a "Working Draft" 
for the 2008 hurricane season. The officials further noted that LMD 
plans to collect lessons learned from the 2008 hurricane season and 
publish a final operating procedure in the first or second quarter of 
fiscal year 2009. § 636. 

Areas to Be Addressed: 

* Transforming LMD: In 2007, FEMA conducted the Logistics Management 
Transformation Initiative, a comprehensive assessment of FEMA's 
logistics planning, processes, and technology. LMD officials intend for 
this initiative to help inform the development of a long-term strategy 
to transform FEMA's business processes and identify information 
technology (IT) development opportunities. According to LMD officials, 
FEMA plans to complete this transformation by 2009, and review and 
refine business processes by 2014. § 636. 

* Strategic and Operational Plans: The DHS Office of Inspector General 
reported in May 2008 that, while FEMA had developed a logistics 
planning strategy that calls for developing three levels of logistics 
plans (strategic, operational, and tactical), the FEMA Incident 
Logistics Concept of Operations and a Logistics Management Operations 
Manual were still in draft. As of August 1, 2008, LMD officials could 
not estimate when the documents would be finalized. § 636. 

* Logistics Visibility: In May 2008, the DHS Office of the Inspector 
General also reported that FEMA's IT systems do not provide the agency 
with complete asset visibility, comprehensive asset management, or 
integrated information during disaster response, but noted that FEMA 
has made efforts to improve its IT systems. According to LMD officials, 
the aspect of TAV FEMA uses to manage warehouse inventory is only 
available at Distribution Centers in Atlanta, Georgia, and Fort Worth, 
Texas. The officials stated that FEMA expects to deploy the warehouse 
management portion of TAV to the other six FEMA distribution centers--
in Berryville, Virginia; Frederick, Maryland; San Jose, California; 
Guam; Hawaii; and Puerto Rico--in fiscal years 2009 and 2010. Further, 
the officials said that shipments from FEMA's logistics partners are 
not yet tracked through TAV, but FEMA is working with the General 
Services Administration, U.S. Army Corps of Engineers, and American Red 
Cross to integrate their shipments into TAV to provide full visibility 
of these partners' critical shipments to disaster areas. § 636. 

* Logistics Credentialing: As of August 1, 2008, LMD was planning to 
implement a prototype logistics-management credentialing program, 
according to LMD officials. The officials said that LMD plans to focus 
the program initially on the FEMA headquarters workforce, then expand 
it to the regions, and eventually include other agencies and states. § 
636. 

Challenges FEMA and DHS Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 637, Prepositioned Equipment Program: 

Requires FEMA to establish a prepositioned equipment program in at 
least 11 different locations. This section also requires FEMA, when 
closing a prepositioned program, to notify affected state, local, and 
tribal officials not later than 60 days before such closure. 

Actions Taken: 

* Prepositioned Equipment Program: FEMA's Disaster Operations 
Directorate is responsible for the management of the Prepositioned 
Equipment Program. As of August 1, 2008, there were prepositioned 
equipment programs in eight different locations across the country, 
according to officials in the Disaster Operations Directorate. § 
637(a). 

* Advance Notice of Closure: According to officials in FEMA's Disaster 
Operations Directorate, four Prepositioned Equipment Program sites were 
transferred in spring 2006 (prior to the passage of the Post-Katrina 
Act) from: Long Beach, California to Moffett Field, California; 
Albuquerque, New Mexico to Ft. Worth, Texas; Chantilly, Virginia to 
Frederick, Maryland; and Tampa/St. Petersburg, Florida to Atlanta, 
Georgia. At the time the program was managed by FEMA's Logistics Branch 
(now the Logistics Management Division). According to Disaster 
Operations Directorate officials, FEMA coordinated, to varying degrees, 
with the affected states prior to the transfers. The officials noted 
that as of August 1, 2008 they had not closed a prepositioned equipment 
location since assuming management of the program. § 637(b). 

Areas to Be Addressed: 

* Establishing Prepositioned Equipment Programs: According to FEMA 
officials, the Disaster Operations Directorate is drafting the business 
plans for three additional prepositioned programs, and intends to 
establish these remaining three programs by fiscal year 2012. The total 
estimated cost for establishing these three programs is $9 million, 
said the officials. § 637(a). 

* Advance Notice of Closure Policies: According to FEMA officials 
responsible for the Prepositioned Equipment Program, FEMA has not yet 
developed written guidance for providing advance closure notice, but 
plans to do so. § 637(b). 

Challenges FEMA and DHS Identified: 

* FEMA officials reported funding as a challenge. They said that 
adequate funding was critical to maintain the current 8 prepositioned 
equipment program pods, establish 3 additional program pods, and 
ultimately maintain all 11 program pods, as mandated by the Post-
Katrina Act. 

Post-Katrina Act § 681 (Stafford Act §§ 402, 502), General Federal 
Assistance: 

Amends the Stafford Act to authorize the President to provide 
accelerated federal assistance in the absence of a specific request 
where necessary to save lives, prevent human suffering, or mitigate 
severe damage in a major disaster or emergency. This section also 
requires the President to promulgate and maintain guidelines to assist 
governors in requesting the declaration of an emergency in advance of a 
disaster event. 

Actions Taken: 

* Accelerated Federal Assistance Directive: According to officials in 
FEMA's Disaster Operations Directorate, FEMA is currently reviewing a 
draft policy directive for providing accelerated federal assistance. 
The officials said that the directive states that FEMA can provide 
federal assistance without a major disaster or emergency declaration if 
a state agrees to assume the normal cost share after a declaration has 
been made or assume total cost if no declaration is made. §§ 402(5), 
502(a)(8). 

* Providing Accelerated Federal Assistance: According to officials in 
FEMA's Disaster Operations Directorate, FEMA provides accelerated 
federal assistance in two forms. The first form involves the 
prepositioning of goods and services in advance of a potential 
disaster. For example, the officials explained that FEMA was able to 
respond quickly to a state that had been affected by ice storms because 
the agency, acting without an initial request from the state, had 
prepositioned goods in advance of the storms. The officials said that 
the second form includes the use of gap analysis, a tool in which FEMA 
asks a given jurisdiction to provide information on its disaster 
response needs and its current capabilities. According to the 
officials, the resulting difference identifies the resources and 
services FEMA should provide in the event of a disaster. §§ 402(5), 
502(a)(8). 

* Guidelines for Governors: FEMA issued an interim Disaster Assistance 
Policy in July 2007, which provides guidelines to assist Governors in 
requesting the declaration of an emergency in advance of a disaster. § 
502(c). 

Challenges FEMA and DHS Identified: 

* Agency officials did not identify any challenges for this section. 

For Further Reading: 

U.S. Congress. Senate. Committee on Homeland Security and Government 
Affairs. Statement of R. David Paulison, Administrator, Federal 
Emergency Management Agency, U.S. Department of Homeland Security. 
110th Cong., 2nd sess., April 3, 2008. 

U.S. Congress. Senate. Committee on Homeland Security and Government 
Affairs. Statement of Richard L. Skinner, Inspector General, U.S. 
Department of Homeland Security. 110th Cong., 2nd sess., April 3, 2008. 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "Declaration Policies and Guidance." [hyperlink, 
http://www.fema.gov/hazard/guidance.shtm] (accessed on Sept. 5, 2008). 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "Logistics Management Directorate." U.S. Department of Homeland 
Security. [hyperlink, http://www.fema.gov/media/fact_sheets/lmd.shtm] 
(accessed on Sept. 5, 2008). 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "National Logistics Coordination Forum." [hyperlink, 
http://www.fema.gov/about/divisions/logistics.shtm] (accessed on Sept. 
5, 2008). 

U.S. Department of Homeland Security. National Response Framework 
Resource Center. "Annexes." [hyperlink, 
http://www.fema.gov/emergency/nrf/] (accessed on Sept. 5, 2008). 

U.S. Department of Homeland Security. Office of Inspector General. 
Emergency Preparedness and Response Could Better Integrate Information 
Technology with Incident Response and Recovery. Washington, D.C.: 
September 2005. 

U.S. Department of Homeland Security. Office of Inspector General. 
FEMA's Preparedness for the Next Catastrophic Disaster. Washington, 
D.C.: March 2008. 

U.S. Department of Homeland Security. Office of Inspector General. 
Logistics Information Systems Need to Be Strengthened at the Federal 
Emergency Management Agency. Washington, D.C.: May 2008. 

[End of section] 

Enclosure VIII: Changing Contracting Practices to Enhance Preparedness 
and Strengthen Accountability: 

Post-Katrina Act § 691, Advance Contracting: 

Requires the Federal Emergency Management Agency (FEMA) Administrator 
to report to Congress on recurring disaster response requirements for 
which the agency is and is not capable of contracting in advance, to 
enter into at least one advance contract for each type of the goods and 
services identified in the report, and to report quarterly on disaster 
assistance contracts entered into using other than competitive 
procedures. Also requires the FEMA Administrator to encourage state and 
local governments to establish prenegotiated contracts for goods and 
services. 

Actions Taken: 

* Initial Reporting Requirement: FEMA submitted a report to Congress in 
December 2007 on advance contracting that: 

- identified specific goods and services that FEMA could contract for 
in advance of an event, such as construction supplies, communications 
gear, and food items and services such as engineering, communication 
services, and environmental services; 

- identified specific goods and services that FEMA could not contract 
for in advance of an event, such as perishable food items, plasma, and 
hazmat materials; 

- described FEMA's strategy for maximizing use of advance contracts; 

- identified prenegotiated federal contracts for goods and services; 
and: 

- described FEMA's continuing efforts to coordinate with state and 
local governments, as well as other federal agencies, on prenegotiated 
contracts. § 691(a), (b)(1), (3). 

* Entering into Contracts: Since the December 2007 Congressional 
Report, FEMA officials told us the following prepositioned goods and 
services have been placed under contract: consulting and management 
services for the placement of disaster victims into hotels during a 
mass evacuation; damage inspection services and field registration; 
mail services for processing incoming mail and claim forms from 
disaster victims; installation and maintenance of temporary housing; 
rail and bus services for evacuees; ground, air fixed and rotary 
winged, and para-transit services for removal of people and supplies; 
mass evacuation transportation planning; communications; technical, 
analytical, planning, and coordination services; base camp initiation 
and management; fuel and other provisions; hazard mitigation 
engineering services and technical services; storage, shipping, and 
maintenance of mail equipment; maintenance of disaster response 
vehicles; temporary housing units for disaster victims; emergency 
family registry and locator system for law enforcement; disaster legal 
services; satellite network communications for disaster operations; 
verification and authentication of applicants applying for aid; remote 
registration intake capability at shelters; unemployment assistance; 
animal and health inspection services; truck drivers and emergency 
response support specialists; disaster kits to include basic sundry 
items, cots, and equipment rentals; Web-based disaster training for 
federal, state and local government, and tribal and private 
organizations that respond to disasters; and formaldehyde testing. § 
691(b)(1). 

* Quarterly Reporting Requirements: FEMA submitted the first-quarter 
report for fiscal year 2007 on contracts not using competitive 
procedures as part of the advance contracting report in December 2007. 
FEMA submitted a combined third-and fourth-quarter report for fiscal 
year 2007 in May 2008 on contracts not using competitive procedures. 
The combined report included two spreadsheet attachments, one listing 
overall disaster assistance contract awards, and the second listing a 
subset of noncompetitive contract awards, made during the 2007 third 
and fourth fiscal quarters. In May and July 2008, FEMA submitted first-
and second-quarter 2008 reports, respectively, to Congress on contracts 
not using competitive procedures. FEMA also submitted the third-quarter 
2008 report to Congress in July 2008. § 691(d). 

* Encouraging Prenegotiated State and Local Contracts: FEMA has taken 
the following actions to encourage state and local governments to 
establish prenegotiated contracts for goods and services: 

- Guidance: FEMA has provided guidance to Public Assistance applicants 
through the Debris Removal Applicant's Contracting Checklist, which was 
prepared August 2006. The checklist can be found at www.fema.gov under 
the search words Debris Removal Applicant's Contracting Checklist. FEMA 
issued a 98-page Public-Assistance Debris-Management Guide in July 2007 
to encourage nonfederal entities to take a proactive approach to 
coordinating and managing their debris removal operations as part of 
their overall emergency management plan. 

- Strategy: FEMA produced a Debris-Removal Operations Disaster-
Assistance Strategy in June 2007, in order to assist state and local 
governments, which have principal responsibility for coordinating and 
managing debris removal operations. 

- Registry: FEMA has established a Web-based Debris-Removal Contractor 
Registry, with over 800 contractors, specifically for state and local 
governments to use to plan in advance to establish institutional 
capability for managing debris removal operations. This registry can be 
found at www.fema.gov under the search words Debris Removal Contractor 
Registry. This registry is separate from the one required by section 
697 of the Post-Katrina Act, which is discussed later in the enclosure. 
The registry homepage states that the information in the registry is 
provided and maintained by contractors, not by FEMA, and that state and 
local governments are responsible for exercising due diligence before 
entering a contract. However, the registry is available as a tool to 
assist state and local governments in identifying and contacting 
debris-removal contractor resources. § 691(b)(4). 

Challenges FEMA and DHS Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 692, Limitations on Tiering of Subcontractors: 

Requires the Secretary of Homeland Security to promulgate regulations 
to limit contractors' use of subcontracts--at a minimum the regulations 
are to limit subcontracts to 65 percent of the cost of any DHS disaster 
response contract, task, or delivery order above the simplified 
acquisition threshold, unless the secretary determines that such 
requirement is not feasible or practicable. 

Actions Taken: 

* Draft Regulation: FEMA's Director of Acquisition Operations told us 
that DHS has drafted a regulation to implement section 692. § 692. 

* Coordination with FEMA: The FEMA Director of Acquisition Operations 
told us that DHS has coordinated the drafting of the regulation with 
FEMA, which is the component likely to be most affected by it. § 692. 

Areas to Be Addressed: 

* Final Regulation: The regulation to implement section 692 is still 
under review at DHS and has not been published as a proposed rule in 
the Federal Register. § 692. 

Challenges FEMA and DHS Officials Identified: 

* The DHS Inspector General (IG) reported in July 2008 that "it does 
not appear that multitier subcontracting, as an isolated factor, caused 
significant increases in costs to the government, nor did it reduce 
subcontracting opportunities for small and local businesses. The prime 
contractors subcontracted a significant amount of the value of their 
contracts to small and local business." The DHS IG further reported 
that, "by limiting subcontracting, section 692 could restrict funding 
available to small and local businesses while potentially impairing 
FEMA's ability to respond quickly to future catastrophic disasters." 
The DHS IG calculated that had section 692 "been in effect following 
Hurricane Katrina, approximately $300M worth of subcontracting would 
not have been allowed." The DHS IG report recommended that FEMA and DHS 
officials work with the Office of Federal Procurement Policy to seek 
congressional relief from section 692 and the promulgation of less 
restrictive rules over multitier contracts. FEMA officials told us that 
they are advocating the repeal of section 692, absent evidence that 
section 692 would not adversely affect small businesses or the contract 
workforce available to FEMA. DHS's Office of the Chief Procurement 
Officer also advocates the repeal of section 692 because, under a new 
law, the Federal Acquisition Regulations (FAR) must be amended to limit 
the tiering of subcontractors for cost-type contracts and orders above 
the simplified acquisition threshold.[Footnote 25] Because all civilian 
executive branch agencies will be subject to the new FAR requirement, 
DHS's Office of the Chief Procurement Officer believes that Congress 
should repeal the DHS-specific requirement in section 692, which it 
views as inconsistent with the new civilianwide requirement. 

Post-Katrina Act § 694 (Stafford Act § 307), Use of Local Firms and 
Individuals: 

Requires federal agencies to provide a local contracting preference in 
the award of emergency-response contracts to the extent feasible and 
practicable, to provide a written justification for awards made to 
nonlocal businesses, and to transition any preexisting emergency-
response contracts to local businesses following a Stafford Act 
declaration, unless the head of the contracting agency determines that 
it is not feasible or practicable to do so. 

Actions Taken: 

* Rule: The DHS Director of Acquisition Policy and Legislation reported 
that DHS/FEMA sponsored a governmentwide rule to implement section 694 
of the Post-Katrina Act. The rule, which is subject to the Federal 
Acquisition Regulation (FAR) rulemaking process, was published as an 
interim rule in the Federal Register in November 2007 and took effect 
at that time, accompanied by a request for public comments.[Footnote 
26] No public comments were received, and the interim rule was adopted 
as a final rule in September 2008.[Footnote 27] The rule addresses the 
requirements of the statute as follows: 

- Local Area Contracting Preference: The rule requires federal agencies 
to provide a local area contracting preference in the award of 
emergency response contracts to the extent feasible and practicable. 

- Written Justification: The rule requires contracting officers to 
issue a written justification to the contracting file when awarding 
emergency response contracts to nonlocal businesses. 

- Local Area Business Transition: The rule requires agencies to 
transition any preexisting emergency response contracts to local 
businesses following a Stafford Act declaration, unless the agency head 
determines that such transition is not feasible or practicable. 
Further, the rule states that agencies should not structure emergency-
response contracts in such a way that may inhibit the transition of the 
work to local firms after a Stafford Act event is declared. § 
307(a)-(b). 

* Local Area Contracting Preference Instructions: FEMA's Disaster 
Contracting Course, published in February 2008, includes specific 
information on the local area contracting preference. The FEMA Director 
of Acquisition Operations told us that the tenet of using local sources 
is covered in FEMA's disaster training and communicated frequently to 
help ensure that the contracting officers and specialists are aware of 
it; for example, during recent disaster assistance activities, an e-
mail reminded staff of the local area preference. § 307(a). 

Areas to Be Addressed: 

* Local Area Business Transition Guidance: According to FEMA's Branch 
Chief of Acquisition Policy and Legislation, FEMA plans to issue 
acquisition guidance to assist contracting officials in structuring 
emergency response contracts to allow for the transition of the work to 
local firms, which will reportedly supplement existing guidance issued 
by the FAR Councils and the DHS Office of the Chief Procurement 
Officer. FEMA officials told us that FEMA is developing the additional 
guidance through the use of an Integrated Process Team composed of both 
acquisition and program personnel and expects to have the guidance in 
draft no later than October 31, 2008. According to officials from 
FEMA's Office of Management, FEMA sent a small business and local 
transition team to Austin, Texas, to pilot a transition program. The 
process is being documented and from this effort, the local area 
business transition guidance will be finalized. The officials said the 
guidance is expected to be finalized no later than March 31, 2009. § 
307(b)(2). 

Challenges FEMA and DHS Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 695, Limitation on Length of Certain Noncompetitive 
Contracts: 

Requires the Secretary of Homeland Security to promulgate regulations 
restricting the contract period for noncompetitive emergency-response 
contracts awarded by DHS. The contract period shall be the minimum 
necessary to complete the urgent and compelling requirements of the 
work and enter into another contract using competitive procedures, but 
shall not exceed 150 days unless the secretary determines that 
exceptional circumstances apply. 

Actions Taken: 

* Inclusion in Homeland Security Acquisition Manual: DHS has addressed 
the section 695 restrictions in its Homeland Security Acquisition 
Manual. In the case of contracts awarded based on unusual and 
compelling urgency, the manual states that the contract period should 
be the minimum necessary, but not to exceed 150 days unless a 
justification is approved that exceptional circumstances apply. § 695. 

Areas to Be Addressed: 

* Inclusion in Regulations: Senior DHS officials in the Office of the 
Chief Procurement Officer for Acquisition Policy told us that they will 
include the section 695 restrictions in DHS's Homeland Security 
Acquisition Regulation, as required by the Post-Katrina Act, but this 
action has not yet been completed. However, they told us that the 
Homeland Security Acquisition Manual was mandatory, so the restrictions 
are effective pending the issuance of a regulation in the Homeland 
Security Acquisition Regulation. § 695. 

Challenges FEMA and DHS Officials Identified: 

* DHS officials told us that DHS is seeking a repeal of section 695 
because it holds DHS to a different standard than the rest of the 
federal government, as provided for in section 862 of the recently 
enacted Duncan Hunter National Defense Authorization Act for Fiscal 
Year 2009.[Footnote 28] This law establishes a maximum 1-year period 
for noncompetitive federal contracts awarded on the basis of unusual 
and compelling urgency, unless the head of the agency determines that 
exceptional circumstances apply.[Footnote 29] In comparison, DHS's 
limit is 150 days under section 695. Absent unique requirements based 
on DHS's mission needs, DHS advocates that it be subject to the same 
restrictions on the length of noncompetitive awards in times of 
disaster that govern other executive agencies. DHS supports the 
governmentwide 1-year maximum period of performance for noncompetitive 
procurements because, according to DHS, it is precisely in a time of 
emergency that the department's scarce contracting resources need to 
focus on urgently procuring relief-related goods and services. DHS 
believes that it is counterproductive to major disaster relief efforts 
to require DHS contracting officers to generate new contracts after 
only 150 days. 

Post-Katrina Act § 697, Registry of Disaster Response Contractors: 

Requires FEMA to establish and maintain a registry of disaster-response 
contractors that includes their names, locations, areas served, goods 
or services provided, bonding levels, and socioeconomic status; to 
verify, through contractors' attestations and documentation, that the 
information submitted for the registry is true; and to make the 
registry available on the FEMA Web site for other federal agencies to 
consult. 

Actions Taken: 

* Modification of Existing Registry: FEMA asked the General Services 
Administration (GSA) to modify an existing federal contractor registry, 
Central Contractor Registration (CCR), to meet the requirements to 
include additional information on disaster-response contractors. This 
registry is the primary contractor registrant database for the federal 
government. FEMA asked GSA to supplement existing CCR data fields to 
include bonding levels and areas served for disaster response 
contractors. According to FEMA's Branch Chief of Acquisition Policy and 
Legislation, the addition of these two fields, coupled with the 
information already in the CCR, will cover the content required by 
section 697. GSA added these two categories to the CCR registration 
process in an optional Disaster Relief Registry, which, according to 
officials in FEMA's Office of Management, went public on September 24, 
2008, in an effort to begin capturing local firm information from the 
states of Texas and Louisiana. § 697(b)(1)-(2). 

* Categories Included in Registry Contents: CCR already includes: 

- the name of the business concern; 

- its location, telephone information, primary place of business, and 
whether the business concern is: 

(1) a small business concern: 

(2) a small business concern owned and controlled by socially and 
economically disadvantaged individuals: 

(3) a small business concern owned and controlled by women or: 

(4) a small business concern owned and controlled by service-disabled 
veterans. § 697(b)(2). 

* Representation of Small Business Status: According to FEMA officials, 
the CCR allows traditional small businesses, women-owned small 
businesses, veteran-owned small businesses and service-disabled 
veteran-owned small businesses to self-attest to their small business 
status. § 697(b)(2)-(3). 

* Certification of Other Statuses: For other special statuses like 
small disadvantaged businesses (SDB), section 8(a) small businesses, 
[Footnote 30] and historically underutilized business zone (HUBZone) 
small businesses, FEMA officials stated that vendors must enter proof 
of certification by the Small Business Administration.[Footnote 26] § 
697(b)(2)-(3). 

* Web Site: A link to the CCR has been added to the FEMA Web site: 
[hyperlink, http://www.fema.gov/business/contractor.shtm]. § 697(b)(4). 

Areas to Be Addressed: 

* Attestation Process: FEMA officials have not determined how they 
intend to implement the attestation requirement contained in section 
697. § 697(b)(3). 

* Verification Process: FEMA officials have not determined how they 
intend to implement the verification requirement contained in section 
697. Shortly before we published this document, FEMA officials told us 
that they are meeting with Dun & Bradstreet to determine whether the 
firm can verify the accuracy of information entered into the CCR by 
vendors. If the firm cannot, FEMA officials said that they will develop 
the verification process by March 31, 2009. However, they did not 
provide any related project details. § 697(b)(3). 

* Federal Consultation of Registry: Just before our publication 
deadline, the DHS Office of the Chief Procurement Officer, Acquisition 
Policy and Legislation Branch, advised us that it had developed and 
submitted a FAR business case to the GSA Civilian Agency Acquisition 
Council Chairperson, requesting rule making to implement the 
requirement in section 697 for federal agencies to consult the disaster 
response contractor registry as part of their acquisition planning. 
According to DHS, the proposed FAR rulemaking will complement the CCR's 
collection of business concerns' data (including added data fields for 
disaster response contractors) for agencies involved with disaster 
contracting. They told us the FAR rule will provide guidance to federal 
agencies when contracting for disaster relief activities to consult the 
registry during acquisition planning. § 697(b)(5). 

Challenges FEMA and DHS Officials Identified: 

Cost is a challenge in setting up a FEMA-administered disaster-response 
contractor registry: the Branch Chief of Acquisition Policy and 
Legislation estimated that developing a stand-alone registry would cost 
millions of dollars. 

* Cost is also a challenge for the verification of the information 
submitted to the database: the Branch Chief raised concerns about the 
cost-effectiveness of vetting, in advance, each registered business 
nationwide, and said that funding to set up such a system would be 
needed. 

* FEMA officials in the Office of Management also expressed concern 
about the attestation and verification elements of the law. They told 
us that neither FEMA, nor any present DHS organization, possesses the 
personnel, resources, or funds necessary to review and verify 
attestations of entities' records in the CCR; presently, there are over 
460,000 entities registered in the CCR that can voluntarily register 
for the "Disaster Response Registry" fields. These officials said they 
would be required to divert FEMA resources (personnel and funds) that 
could best be utilized on mission-critical efforts. They also noted 
concerns about complexities that could arise from the need to handle 
disputes of records and nonverifiable information and data. The 
officials noted that the process of verifying voluntary business 
submittals in the CCR before any entity receives a contract would be 
redundant to contracting officials' existing responsibilities to verify 
business information before the award of a contract. 

* In light of these concerns, the DHS Office of the Chief Procurement 
Officer told us that it is seeking legislative relief from the 
submission, attestation, and verification requirements of section 697. 
According to DHS, the legislative proposal reportedly requests relief 
from what DHS views as very costly and redundant attestation and 
verification requirements by FEMA at the time of entry into the 
disaster registry by business concerns. DHS believes the use of the 
existing CCR, a proven business system, offers the appropriate cost 
effective electronic business solution to collect the section 697 data 
for the disaster response registry, and that validation and 
verification by the contracting officer at the time of award, an 
existing inherent responsibility, provides more current, cost-
effective and potentially more reliable verification than at the time 
of business concerns' entries into the registry. 

For Further Reading: 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "Advance Contracting of Goods and Services: Report to 
Congress." December 2007. 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "Debris Management Guide." July 2007. [hyperlink, 
http://www.fema.gov/government/grant/pa/demagde.shtm] (accessed on 
September 5, 2008). 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "Disaster Contracts Report for First Fiscal Quarter 2008: 
Report to Congress." May 2008: 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "Disaster Contracts Report for Second Fiscal Quarter 2008: 
Report to Congress." July 2008. 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "FEMA Recovery Division Fact Sheet RP9580.201: Debris Removal 
Applicant's Contracting Checklist." [hyperlink, 
http://www.fema.gov/pdf/government/grant/pa/9580_201.pdf]. (accessed on 
Sept. 5, 2008). 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "Report on Disaster Contracts Issued on a Non-Competitive 
Basis, 3RD and 4TH Quarters of Fiscal Year 2007: Report to Congress." 
May 2008. 

U.S. Department of Homeland Security. Office of Inspector General. 
"Hurricane Katrina Multitier Contracts." OIG-08-81. July 2008. 

[End of section] 

Enclosure IX: Improving Information Technology Systems to Support 
Compatibility, Accessibility, and Tracking: 

Post Katrina Act § 640, Improvements to Information Technology Systems: 

Requires the Federal Emergency Management Agency (FEMA) to take 
measures to update and improve its information technology (IT) systems 
and submit to the appropriate committees of Congress a report on its 
progress in implementing this section. 

Actions Taken: 

* Compatibility of FEMA IT Systems and Asset Tracking Capability: 
According to FEMA's 2007 report to Congress on its IT systems, FEMA's 
Office of the Chief Information Officer (CIO) was managing an IT 
environment composed of a multitude of independent systems that were 
experiencing difficulties in sharing information. FEMA employs three IT 
systems to track personnel, supplies, and commodities during disasters. 
To electronically track its property, FEMA uses the Logistics 
Information Management System III. For tracking disaster response 
personnel and their employee information, FEMA uses the Automated 
Deployment Database (ADD). Lastly, FEMA uses the Total Asset Visibility 
(TAV) system for supply-chain management, enabling FEMA to track 
commodities in real time. FEMA has several initiatives underway to 
improve system interaction, information sharing, and communication, 
with the aim to begin integrating the information in its three distinct 
personnel and asset tracking systems in fiscal year 2009. Through these 
initiatives, FEMA intends to achieve a more seamless information-
sharing environment among its asset-tracking systems, resulting in a 
more integrated common operating picture for FEMA management. In 
addition, according to officials in the Office of the CIO, FEMA has 
developed a data analysis and reporting process that examines and 
collates data from multiple sources so that FEMA's program offices can 
analyze combined data and create reports for FEMA offices. FEMA also 
has a separate system designed to track mission assignments and 
requests for goods and services. In addition, this system has the 
capability to store prescripted mission assignments in advance, so that 
program operations can more quickly and easily manage the assignments 
during disasters. § 640(a)(1), (4). 

* Timely Technology Enhancements: According to officials in the Office 
of the CIO, FEMA currently has a process for the rapid development of 
technology applications to ensure that technology enhancements reach 
its offices in a timely fashion. These officials said that FEMA intends 
to replace that process with a centrally managed process under the 
Enterprise Application Development Integration Sustainment contract, 
which is a contract vehicle intended to execute all the software 
development needs of FEMA offices. § 640(a)(2). 

* Asset Tracking Capability: FEMA officials told us shortly before we 
published this document that, as of August 1, 2008, all 10 FEMA regions 
have TAV program capability to electronically track all orders, 
shipments in transit, and shipments received of its disaster 
commodities and assets in real-time status. The tracking and monitoring 
of disaster assets is performed by a group of trained TAV Specialists 
in each region. In addition, FEMA officials told us that in September 
of 2008, FEMA began coordinating with the Defense Logistics Agency, the 
U.S. Army Corp of Engineers, and the American Red Cross to link the TAV 
system to these external agency supply systems to enable tracking of 
Mission Assignment purchases and shipments from these activities to 
FEMA disaster support operations, which FEMA expects will be 
operational by spring 2009. FEMA officials also told us that planned 
improvements to the TAV program in the next fiscal year include linking 
the system to a new property management system recommended by DHS, 
inclusion a function to allow visibility of partner--such as Red Cross 
and the Defense Logistics Agency--shipments and purchases, and 
improving the field connectivity of the TAV system by inclusion of 
these requirements in the overall CIO communications upgrades, but no 
documentation of these current and planned efforts accompanied their 
remarks. § 640(a)(4). 

* National Emergency Management Information System Improvements: FEMA 
has increased the capacity of its IT system for response and recovery 
operations--the National Emergency Management Information System 
(NEMIS)--to process concurrent requests, said officials in the Office 
of the CIO. According to the officials, FEMA intends to centralize 
NEMIS into one departmental data center and establish disaster recovery 
capabilities in a second departmental data center. § 640(a)(5). 

* IT Training: The Emergency Management Institute (EMI) and FEMA 
vendors provide training on FEMA's IT systems. EMI provides training on 
NEMIS and other FEMA systems. EMI training includes user guides, 
manuals, and other materials. According to officials in the Office of 
the CIO, training materials and user guides are required on delivery of 
all commercial-off-the-shelf software packages, and the vendors for ADD 
and TAV provide training for their systems. § 640(a)(6). 

* Reporting Requirement: FEMA submitted a report to Congress entitled 
Public Law 109-295, Section 640 Response: Improvements to Information 
Technology Systems in September 2007. § 640(b). 

Areas to Be Addressed: 

* Completion of IT Upgrades: FEMA expects that completing alignment of 
its IT systems with its mission needs will be a long-term process that 
will extend well into fiscal year 2010 and will require the commitment 
of both resources and leadership. Officials in the Office of the CIO 
stated that FEMA anticipates investing $1 million in the redesign of 
NEMIS (for disaster assistance requests) in fiscal year 2009. In 
addition to NEMIS's redesign, FEMA plans to transfer ADD's (personnel) 
functions to a new Human Resource system. FEMA officials told us that a 
Web-enabled Automated Deployment Database is currently under 
development, with an introduction scheduled for late first quarter 
fiscal year 2009, and that it will serve as a bridge to a future Human 
Resource system. Further, FEMA plans to replace the Logistics 
Information Management System III (property management) with a new 
software platform, and improve its mission-assignment (operations) 
system capabilities. § 640(a). 

* Developing a Testing Environment: According to FEMA's 2007 IT report, 
the Office of the CIO's testing environment is limited and needs 
improvement. To improve its testing capability, FEMA is developing the 
Consolidated Test Facility, according to officials in the Office of the 
CIO. The officials said that FEMA plans to house two testing 
environments in the facility. One environment will be used to perform 
integration testing and development for software delivered to the 
agency. The other will be used to perform stress and performance 
testing. § 640(a)(3). 

Challenges FEMA and DHS Officials Identified: 

* Agency officials did not identify any challenges for this section. 

For Further Reading: 

U.S. Congress. House Subcommittee on Emergency Communications, 
Preparedness and Response and Subcommittee on Management, 
Investigations, and Oversight, Committee on Homeland Security. 
Statement of Matt Jadacki, Deputy Inspector General for Disaster 
Assistance Oversight, U.S. Department Of Homeland Security. 110th 
Cong., 1ST sess., February 28, 2007. 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. Public Law 109-295, Section 640 Response: Improvements to 
Information Technology Systems. Washington, D.C.: September 2007. 

U.S. Department of Homeland Security. Office of Inspector General. DHS' 
Efforts to Develop the Homeland Secure Data Network. Washington, D.C.: 
April 2005. 

U.S. Department of Homeland Security. Office of Inspector General. 
Management of the DHS Wide Area Network Needs Improvement. Washington, 
D.C.: December 2005. 

[End of section] 

Enclosure X: Human Capital: Ensuring a Well-Trained, Professional 
Workforce to Prepare for, Respond to, and Recover from Disasters: 

Post-Katrina Act § 611 (Homeland Security Act § 510), Credentialing and 
Typing: 

Requires the Federal Emergency Management Agency (FEMA) Administrator 
to enter into a Memorandum of Understanding (MOU) with the 
administrators of the Emergency Management Assistance Compact (EMAC), 
[Footnote 32] as well as state, local, and tribal governments, and 
organizations that represent emergency response providers, to 
collaborate on developing standards for deployment capabilities, 
including credentialing and typing[Footnote 33] of personnel and 
resources likely needed for a disaster response. 

Actions Taken: 

* Establishment of MOU: Effective April 1, 2007, the FEMA Administrator 
entered into an MOU with the National Emergency Management Association, 
which is the administrator of EMAC, regarding resource typing and 
credentialing of personnel and mutual aid systems. § 510. 

* Draft Credentialing Standards: The National Incident Management 
System (NIMS) Draft Guideline for the Credentialing of Personnel was 
published in August 2008. The guideline has been developed to establish 
definitions to explain and identify actions and processes that can 
provide the foundation for consistent use and interoperability of 
credentialing on a national scale. By establishing recommended 
protocols to facilitate coordinated response to incidents, the 
guideline is intended to encourage interoperability between federal, 
state, and local officials, and will facilitate deployment for 
response, recovery, and restoration. § 510. 

Areas to Be Addressed: 

* Final Credentialing Standards: FEMA has not yet published the final 
Guideline for the Credentialing of Personnel, but FEMA officials in the 
National Preparedness Directorate told us that as of October 1, 2008, 
the draft guideline was being prepared for publication in the Federal 
Register for a 30-day public comment period. § 510. 

* Resource-Typing Standards: FEMA has not yet developed resource-typing 
standards to complement its draft personnel standards; however, FEMA's 
National Integration Center (NIC) Incident Management Systems Division 
has a national resource-typing initiative underway. § 510. 

Challenges FEMA and DHS Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 621 (5 U.S.C. § 10102), Strategic Human Capital 
Plan: 

Requires the FEMA Administrator to develop a Strategic Human Capital 
Plan (SHCP) to shape and improve its workforce. Specifically, the plan 
is to include: a workforce gap analysis, a plan of action for 
addressing those gaps, and a discussion of selected aspects of the 
Surge Capacity Force. 

Actions Taken: 

* Plan Development: FEMA published its SHCP for 2008-2012 in May 2008 
and submitted it to Congress in June 2008. § 10102(a). 

* Plan Contents: The SHCP is organized around five key strategic 
initiatives: Understanding the Composition and Character of the 
Workforce; Right Sizing the Agency; Building Core Competencies; 
Training and Professionally Developing the Workforce; and Building the 
Culture of the New FEMA. § 10102(b). 

* Workforce Gap Analysis: The SHCP identifies nine operational core 
competencies such as service to disaster victims and operational 
planning, and states that FEMA intends to develop occupational 
competencies for its mission-critical occupations that mirror the 
operational core competencies. The SHCP also identifies the staffing 
levels and vacancies of each category of employee type, such as 
leadership positions, permanent, temporary, and so forth, and addresses 
workforce trends, including hiring projections and retirement 
eligibility. § 10102(b)(1). 

* Recruitment and Retention Plan: The SHCP states that FEMA will use 
the operational core competencies as the foundation for recruiting and 
retaining employees and that FEMA will review its current recruitment 
and employment processes for achievement of maximum results, including 
review of recruitment bonuses, among other actions. § 10102(b)(2). 

* Developing and Training the Workforce: The SHCP lists FEMA's 
objectives for improving its learning and development program, such as 
building a FEMA professional leadership program focused on FEMA's core 
competencies. FEMA also plans to formally adopt and implement 
Individual Development Plans for each employee, with annual reviews by 
the employee and supervisors, and credentialing or certification plans 
for certain jobs. Lastly, the SHCP states that credentialing programs 
will measure skills development and competency achievement and that the 
implementation of a standardized training program for Reservists will 
ensure that salary and promotions are tied to a consistent 
qualifications and credential plan. § 10102(b)(2). 

Areas to be Addressed: 

* Specific Recruitment and Retention Goals: The SHCP states FEMA's 
target levels and intentions for recruitment, including the need to 
review available human capital flexibilities such as bonuses to support 
recruitment. The SHCP also states that the new employee training and 
development initiatives will help support retention goals. However, the 
SHCP contains no specific list of recruitment and retention goals, 
including how FEMA will use bonus authorities to support those goals or 
how FEMA's program objectives will be achieved through such goals. § 
10102(b)(2). 

* Recruiting for State Experience: While the SHCP refers to critical 
considerations for rightsizing the agency's workforce, there is no 
mention of a strategy for recruiting individuals who have had 
experience carrying out emergency management responsibilities in state 
agencies. § 10102(b)(2). 

* Surge Capacity Force: While the SHCP states that FEMA has established 
a Disaster Reserve Workforce Division, which will integrate each of the 
existing elements of workforce readiness, the SHCP's discussion of the 
surge capacity force does not address the content requirements of the 
statute, such as the number of surge staff not employed by DHS or FEMA 
and their qualifications or credentials. § 10102(b)(3). 

Challenges FEMA and DHS Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 621 (5 U.S.C. § 10103), Career Paths: 

Requires the FEMA Administrator to identify and publish information on 
career paths for FEMA personnel, including the education, training, 
experience, and assignments needed for career progression within the 
agency; ensure that opportunities for such necessary education, 
training, and experience are available; and establish a policy for 
assigning FEMA personnel to positions that balances the need for 
personnel to serve in career-enhancing positions with the need to 
require service for a sufficient amount of time to provide necessary 
stability. 

Areas to Be Addressed: 

* Career Paths: The Deputy Director of FEMA's Human Capital Division 
told us that FEMA has no structured system that outlines career paths, 
nor has FEMA developed a new policy for assigning personnel. The 
Department of Homeland Security (DHS) Inspector General reported in 
April 2008 that FEMA could not verify the completion of the 
establishment of career paths. § 10103. 

Challenges FEMA and DHS Officials Identified: 

* The Deputy Director stated that, in his opinion, the statutory 
provision is not necessarily structured to match FEMA processes. He 
said a better question would be how FEMA structures and manages 
mission-critical positions. 

Post-Katrina Act § 621 (5 U.S.C. § 10104), Recruitment Bonuses: 

Grants the FEMA Administrator the authority, for 5 successive years, to 
pay recruitment bonuses for positions that would be difficult to fill 
in the absence of such a bonus; and requires an annual report to 
Congress on the use of recruitment bonuses. 

Actions Taken: 

* Payment of Recruitment Bonuses: FEMA has exercised the authority to 
pay recruitment bonuses, totaling over $111,000, to eight new employees 
in fiscal year 2007. § 10104(a). 

* Service Agreements: FEMA has established written service agreements 
for employees receiving recruitment bonuses. § 10104(c). 

* Reporting Requirement: FEMA submitted a "Combined Report: FEMA Use of 
Recruitment and Retention Bonuses FY 2007" to Congress in December 
2007. § 10104(f). 

Challenges FEMA and DHS Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 621 (5 U.S.C. § 10105), Retention Bonuses: 

Grants the FEMA Administrator the authority, for 5 successive years, to 
pay retention bonuses to retain employees who are essential based on 
their unique qualifications or a special need of the agency; and 
requires an annual report to Congress on the use of retention bonuses. 

Actions Taken: 

* Payment of Retention Bonuses: FEMA has exercised the authority to pay 
retention bonuses. FEMA gave relocation bonuses, for the purpose of 
retention, totaling over $24,000, to two employees in fiscal year 2007. 
§ 10105(a). 

* Service Agreements: FEMA has established written service agreements 
for employees receiving relocation bonuses. § 10105(b). 

* Reporting Requirement: FEMA submitted a "Combined Report: FEMA Use of 
Recruitment and Retention Bonuses FY 2007" to Congress in December 
2007. § 10105(f). 

Challenges FEMA and DHS Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 621 (5 U.S.C. § 10106), Quarterly Report on Vacancy 
Rate in Employee Positions: 

Requires the FEMA Administrator to submit to Congress an initial 
report, then quarterly updates for 5 successive years, on the vacancies 
in employee positions at the agency. Specifies the reports are to 
include: vacancies of each category of employee position; the number of 
applicants for each publicly advertised vacancy; the length of time 
that each vacancy has been pending; the hiring-cycle time for each 
vacancy that has been filled; and a plan for reducing the hiring-cycle 
time and reducing the current and anticipated vacancies with highly 
qualified personnel. Quarterly updates are additionally to contain an 
assessment on the progress in filling vacant positions. 

Actions Taken: 

* Initial Report: FEMA submitted its initial report in September 2007, 
which covered the first two quarters of fiscal year 2007. For the first 
quarter of fiscal year 2007, FEMA's Human Capital Division was still in 
the process of developing the capacity to provide quarterly vacancy 
reports and developed a baseline for comparison and measurement of 
improvement. For first quarter fiscal year 2007, there was an average 
pending time of 61 days and an average hiring-cycle time of 120 days. 
In the second quarter, FEMA reported improvements in reducing the 
pending-cycle time to 31 days and the hiring-cycle time to 80 days. § 
10106(a). 

* Quarterly Updates: FEMA submitted quarterly vacancy reports for the 
4th quarter of fiscal year 2007, and the 1st and 2nd quarters of fiscal 
year 2008 in May 2008. § 10106(b). 

* Progress Assessments: The quarterly reports include information on 
how FEMA is assessing its progress in filling vacancies. §10106(a)(2), 
(b). 

* Reporting Requirements: The vacancy reports FEMA has submitted 
generally contain the elements specified by the Post-Katrina Act: 
vacancies of each category of employee position; the number of 
applicants; the length of time that each vacancy has been pending; the 
hiring-cycle time for each vacancy that has been filled; and planned 
actions to achieve 95 percent personnel strength by September 30, 2008. 
§10106(a)(2), (b). 

Challenges FEMA and DHS Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 622 (Homeland Security Act § 844), Homeland Security 
Rotation Program: 

Requires the Secretary of Homeland Security to establish the Homeland 
Security Rotation Program to, among other things, expand the knowledge 
base of the department by providing for rotational assignments of 
employees to other components. Requires the Chief Human Capital Officer 
to administer this program and enumerates associated responsibilities, 
including ensuring the Rotation Program provides professional education 
and training. 

Actions Taken: 

* Establishment: DHS established a Department Rotational Assignments 
Program on November 13, 2007. This program is open to all civilian DHS 
employees. § 844(a)(1). 

* Best Practices: The DHS Chief Learning Officer told us that a 
subcommittee of the DHS Training Leaders Council ensured an inclusive 
and collaborative process was used to obtain best practices from DHS 
legacy organizations, as well as best practices from the Department of 
Defense. § 844(a)(1). 

* Stated Program Goals: DHS's Management Directive for the rotation 
program states that the program seeks to foster greater information 
sharing and team building between DHS and its components and to be a 
means for employees to obtain depth and breadth of experience while 
cross-pollinating knowledge, experience, and corporate perspectives. § 
844(a)(2). 

* Employee Eligibility and Participation: All DHS employees in Senior 
Executive Service (SES) candidate development and selective management 
or career development programs are to complete a rotational assignment 
before completion of the program. Other SES members, supervisors, and 
managers are eligible for rotational assignments. Rotational assignment 
opportunities may be made available on an individual basis with 
supervisor support and agreement. From October 1, 2007, to March 31, 
2008, more than 269 DHS employees from 20 different DHS components 
participated in the rotation program. That number does not include DHS 
employees who have been detailed to support operational or surge 
mission requirements. A FEMA Semi-Annual Rotational Assignment Report 
shows that employees ranging from the GS-7 to GS-14 levels participated 
in the rotation program. § 844(a)(1)-(2); see also 5 U.S.C. § 10103(b). 

* Administration: The Chief Human Capital Officer administers the 
rotation program. § 844(a)(3). 

* Reporting Requirement: DHS submitted the Rotational Assignments 
Program Report to Congress in June 2008. § 844(a)(5). 

Areas to Be Addressed: 

* Incentives: The DHS Management Directive for the Rotation Program 
does not specify any incentives for employee participation. § 
844(a)(3). 

Challenges FEMA and DHS Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 623 (Homeland Security Act § 845), Homeland Security 
Education Program: 

Requires the Secretary of Homeland Security, acting through the FEMA 
Administrator, to establish a graduate-level Homeland Security 
Education Program in the National Capital Region (NCR) to provide 
educational opportunities to senior federal officials and selected 
state and local officials with homeland security and emergency 
management responsibilities; and requires the leveraging of existing 
resources, as well as establishing student enrollment priorities and 
selection criteria and employee service commitments. 

Actions Taken: 

* Establishment: The Naval Postgraduate School's Center for Homeland 
Defense and Security, FEMA, and DHS have created an 18-month Homeland 
Security Master's Degree Program for the NCR. The Homeland Security 
Master's Degree Program is taught, and the degree awarded, by the Naval 
Postgraduate School's Center for Homeland Defense and Security. The NCR 
Academy was launched June 6, 2007, in Shepherdstown, West Virginia, at 
the Office of Personnel Management's Eastern Management Development 
Center. § 845(a). 

* FEMA Appointment of Program Administrator: The Deputy Administrator, 
National Preparedness Directorate, formally requested in October 2008 
that the FEMA Administrator appoint the Assistant Administrator for the 
National Integration Center as the administrator of the Homeland 
Security Education Program. In the request memorandum, the Deputy 
Administrator stated that because the majority of the resources for the 
program are managed by the National Integration Center, the Assistant 
Administrator of the center would be best positioned for the 
appointment. The FEMA Administrator approved the appointment on October 
20, 2008. § 845(a). 

* Leveraging of Existing Resources: The Center for Homeland Defense and 
Security has two campuses for the Homeland Security Master's Degree 
Program. The accredited Master's degree program in the NCR is a 
reproduction of a degree program, based out of Monterey, California. 
The DHS Chief Learning Officer stated that DHS had previously reviewed 
and approved the Naval Postgraduate School Homeland Security Master's 
Degree Program for the Monterey cohort, which has been in place since 
2003. The DHS Chief Learning Officer told us the recently established 
NCR Homeland Security Master's Degree Program uses the already approved 
program and curricula. He also told us the program employs adjunct 
faculty from universities and colleges across the United States. He 
said that the program leveraged the curricula already in use by the 
adjunct faculty at their home institutions and incorporated them into 
the program's curriculum. § 845(b). 

* Student Enrollment Sources: The NCR student body has a greater 
percentage of DHS and federal officials than state and local officials, 
while the program in Monterey has more state and local than federal 
officials. § 845(c)(1). 

* Enrollment Priorities and Selection Criteria: The Master's Program is 
open to DHS employees at the GS-13, GS-14, GS-15, and exceptional GS-12 
levels, as well as other federal and nonfederal employees. Applicants 
must have a minimum 3.0 GPA and an undergraduate degree from an 
accredited college or university, or been awarded a graduate degree, 
and have relevant work experiences and qualifications. § 845(c)(2). 

* Service Commitment: DHS has established an interim service commitment 
agreement for employees who receive training and educational 
opportunities that specifies that the employee will continue in service 
to the agency for at least three times the length of the training 
period, and states that if the employee leaves DHS prior to that time, 
he or she will pay back expenses. § 845(d). 

Areas to Be Addressed: 

* Diversity: In a Comptroller General opinion dated December 20, 2007, 
we reported that FEMA had not yet taken measures to ensure diversity 
within the Homeland Security Education Program. Although FEMA reported 
that it was following existing laws prohibiting discrimination, FEMA 
stated that DHS's Office of the Chief Learning Officer and the Training 
Leaders Council were in the process of developing guidelines to support 
diversity.[Footnote 34] FEMA officials have not provided any updated 
information during this review about how the FEMA Administrator is 
ensuring racial, gender, and ethnic diversity in the graduate degree 
program. § 845(c)(3). 

* Service Commitment: DHS's interim service commitment agreement is not 
specific to the Homeland Security Education Program. Under the statute, 
before any employee selected for the program may be assigned to 
participate, the employee must agree in writing to continue in the 
service of the sponsoring agency for 2 years following the end of the 
program and to repay his or her educational expenses on a pro rata 
basis if the employee voluntarily separates from service before the end 
of the commitment. DHS's interim agreement requires its employees to 
remain in service for three times the length of their training--
amounting to 4-1/2 years in the case of the Homeland Security Education 
Program--which would appear to expose DHS employees to repayment 
liability for longer than the 2-year statutory service commitment. 
Further, because DHS has not developed a service commitment agreement 
specific to the Homeland Security Education Program, other agencies do 
not have such an agreement available to execute with their own 
employees. § 845(d). 

Challenges FEMA and DHS Officials Identified: 

* The Branch Chief for FEMA's Human Capital Division stated that it is 
a challenge for some FEMA applicants to be competitive for programs 
that preference graduate school education, as many FEMA officials have 
moved up the ranks as police officers, fire fighters, and emergency 
managers without graduate education. 

* The Branch Chief for FEMA's Human Capital Division said that the 
Federal Coordinating Officers' participation in the executive 
management training is a challenge because their professional 
development must be paid for with disaster funds. 

Post-Katrina Act § 624, Surge Capacity Force: 

Requires the FEMA Administrator to prepare and submit to Congress a 
plan to establish and implement a Surge Capacity Force for deployment 
to disasters, including catastrophic incidents. Requires the plan to 
include procedures for designation of staff from other DHS components 
and executive agencies to serve on the Surge Capacity Force. Procedures 
must be developed as soon as practicable. The plan must also ensure the 
Surge Capacity Force includes a sufficient number of appropriately 
credentialed individuals capable of deploying to disasters after being 
activated, as well as full-time, highly trained, credentialed 
individuals to lead and manage. Individuals in the Surge Capacity Force 
are to be trained and deployed in accordance with the Stafford Act, 
unless the FEMA Administrator reports to Congress that additional 
statutory authorities are necessary. 

Actions Taken: 

* Disaster Reserve Workforce/Surge Capacity: The Director of FEMA's 
Disaster Reserve Workforce explained that unlike in the military model, 
FEMA's disaster reservists are the primary resource for disaster 
response and recovery positions, filling 70-80 percent of all Joint 
Field Office positions. FEMA has interpreted Surge Capacity Force to 
include its Disaster Reserve Workforce of 5,000-6,000 reserve Disaster 
Assistance Employees, who are full-time-staff and contract staff who 
are organized in 23 cadres. If additional capacity is necessary, 
another approximately 2,000 Disaster Assistance Employees are available 
to perform immediate, nontechnical functions that require large numbers 
of staff. Other sources FEMA has identified include local hires--
additional staff hired from the affected area to perform the same 
functions as disaster reservists; contract support for activities that 
require specialized skill sets and for general disaster assistance 
functions; other full-time FEMA staff detailed to perform disaster 
assistance work; and other resources--particularly employees from other 
DHS components--detailed to perform disaster assistance work. For 
example, the Director of FEMA's Disaster Reserve Workforce gave us 
information regarding the deployment of Disaster Assistance Employees 
and full-time FEMA employees for the summer of 2008. She told us that 
between July and September 2008, FEMA had, on average, 4,067 Disaster 
Assistance Employees at 22 Joint Field Office disaster locations, 
compared to 1,364 full time FEMA staff working at those locations.§ 
624(a). 

* Disaster Reserve Workforce/Surge Capacity Planning: FEMA contracted 
Booz Allen Hamilton to perform a baseline assessment and preliminary 
design for professionalizing the Disaster Reserve Workforce and its 
supporting program management function, including FEMA's Surge Capacity 
Force planning. Booz Allen Hamilton developed a preliminary design for 
the Disaster Reserve Workforce, which includes an organizational 
concept, workforce size and composition, concept of operations, and a 
policy framework. One of Booz Allen Hamilton's recommendations was to 
establish a central office for the development, management, and 
deployment of the Disaster Reserve Workforce. The office, the Disaster 
Reserve Workforce Division, was stood up on March 31, 2008. According 
to the Director of the Disaster Reserve Workforce Division, the Branch 
Chief responsible for Surge Capacity Force planning joined FEMA on June 
22, 2008. The Director also told us that FEMA now has an interim Surge 
Capacity Force Plan under internal review. § 624(a). 

* DHS Employees Designated to Serve: The Interim Surge Capacity Force 
Plan was announced in a meeting of the DHS Human Capital Council in 
March 2008 and communicated to the heads of DHS components in a May 
2008 memorandum from the FEMA Administrator. In the May 2008 
memorandum, FEMA sent a listing of job titles and positions needed in 
the Surge Capacity Force to all DHS Human Capital Officers and asked 
them to identify approximately 900 employees throughout DHS for the 
Surge Capacity Force. § 624(a)-(b),(g). 

* Credentialing: The Director of the Disaster Reserve Workforce 
Division reported that the Surge Capacity Force is being credentialed 
by the National Preparedness Directorate's NIMS credentialing program, 
which is the administrative process for validating the qualifications 
of personnel, assessing their background, and authorizing their access 
to incidents involving mutual aid between states.[Footnote 30] NIMS 
credentialing guidelines are to provide a process for the Disaster 
Reserve Workforce to receive physical "smartcards" for establishing 
credentials for access to an incident. The Director of the Disaster 
Reserve Workforce Division told us that FEMA's Security Office is 
currently engaged in acquiring the enrollment stations and cards to 
execute this activity agencywide over a period of time. The director 
also told us that the division has a separate credentialing program 
aimed at establishing more-substantive qualifications. According to the 
director, the NIMS credentialing guidelines do not address the 
knowledge, skills, and abilities, or core competencies required to meet 
the qualification standards for FEMA job-titled positions that deliver 
FEMA programs and services. Therefore, according to the director, the 
Disaster Reserve Workforce Division, in partnership with FEMA's 
Emergency Management Institute, recently began the process of 
developing standardized credentialing plans, which will incorporate 
existing position task books for the Disaster Assistance Employee 
workforce (a total of 230 positions organized in 23 cadres). For 
example, the External Affairs Officer position task book was revised in 
April 2008. She said that these task books will provide the basis for 
building the credentialing plans. § 624(c). 

Areas to Be Addressed: 

* Surge Capacity Plan: Despite the initial actions FEMA has taken to 
assess its baseline capabilities and draft an interim Surge Capacity 
Force Plan, according to the Director of the Disaster Workforce 
Division, as of May 2008, FEMA had not yet provided Congress with a 
plan for establishing and implementing a Surge Capacity Force. The 
director stated that her goal is to submit a plan to implement surge 
capacity force by summer 2009 with timelines and information on select-
-but not all--positions in the disaster reserve workforce. § 624(a). 

* Employees Designated to Serve: Although the FEMA Administrator had 
taken action to begin identifying DHS personnel to serve in the Surge 
Capacity Force, as of May 2008, DHS has not designated members to the 
Surge Capacity Force, according to the Director of the Disaster Reserve 
Workforce Division. She told us the initial DHS Agency Surge Capacity 
designation lists were submitted in June 2008. Upon review, the 
Director of the Disaster Reserve Workforce Division said there were 
inconsistencies with the different agencies' interpretation of 
requirements for personnel, training, and skill sets. A Surge Capacity 
Force Working Group met to review surge staffing requirements and to 
develop a timeline for the development of processes and a Concept of 
Operations Plan. Agency participants in the working group include FEMA, 
the Transportation Security Administration, and U.S. Citizenship and 
Immigration Services. The Director of the Disaster Reserve Workforce 
Division told us that a final draft is expected to be complete by 
December 2008, with a full plan for implementation expected by summer 
2009. § 624(b), (g). 

* Additional Authorities Necessary: According to officials in the 
Disaster Reserve Workforce Division, FEMA has identified additional 
authorities desired, which are designed to support recruiting for the 
disaster reserve workforce. These include access to healthcare and 
retirement benefits for disaster reservists; mandatory annual training 
and drilling requirements for reserve members; authority for retirees 
serving as disaster reservists to continue receiving their government 
retirement benefits; and the ability to offer credit for disaster 
reserve experience to be used in consideration for future full-time, 
permanent FEMA employment. The Disaster Reserve Workforce Director told 
us that FEMA submitted the legislative package to DHS for consideration 
on July 9, 2008. The House Committee on Transportation and 
Infrastructure recently considered a bill that would allow all 
temporary personnel performing Stafford Act services (of which disaster 
reservists are a subset) to be eligible for federal employee health 
benefits.[Footnote 36] § 624(a)(2). 

* Sufficient Number of Credentialed and Trained Individuals: According 
to officials in FEMA's Disaster Reserve Workforce Division, FEMA does 
not yet have a standardized credentialing program in place for its 
Disaster Reserve Workforce, but does have an effort under way to 
develop one, as described above. FEMA plans to continue pilot testing 
position task books in summer 2008. It expects to complete the 
development of credentialing plans for all cadres and positions by 
2010, depending on funding. Disaster Reserve Workforce Division 
officials explained that development of the credentialing plans in 
conjunction with the position task books will highlight gaps in the 
training curriculum that will assist in prioritizing curriculum 
development. FEMA also plans to hold training and briefings for the DHS 
employees designated to serve in the Surge Capacity Force, but had not 
implemented these as of May 2008. § 624(c)-(d). 

Challenges FEMA and DHS Officials Identified: 

* The Disaster Reserve Workforce Division is a nascent office, which 
was not established until nearly 2 years after the initial surge 
capacity plan was to be provided to Congress. Officials in the office 
stated that before a division was established specifically for the 
Disaster Reserve Workforce, disaster workforce and surge capacity 
planning had to compete with other priorities and did not get the 
attention it needed. Now, according to the director, the new office has 
limited capabilities and resources. As of May 2008, in addition to a 
small legacy staff, it had only two employees--the Director and a 
Deputy Director for one of the three divisions the office planned to 
establish. According to the Director, the division has since advertised 
16 new positions and is conducting interviews, with several selections 
and offers in progress. 

* According to the Director of the Disaster Reserve Workforce Division, 
the Surge Capacity Force Plan and full surge capability is a long-term 
goal, which will take time to develop. She stated that Booz Allen 
Hamilton estimated that it will take FEMA 5 years to fully implement 
the eight recommendations that FEMA had chosen as priorities from the 
baseline assessment. 

For Further Reading: 

Government Accountability Office. Comptroller General of the United 
States. Presidential Signing Statements --Agency Implementation of Ten 
Provisions of Law. B-309928. December 20, 2007. 

U.S. Congress. Senate. Committee on Homeland Security and Governmental 
Affairs. Statement of Richard L. Skinner, Inspector General, U. S. 
Department of Homeland Security. April 3, 2008. 

U.S. Department of Homeland Security. "Rotational Assignments Program 
Report to Congress." June 2008. 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "Combined Report: Use of Recruitment and Retention Bonuses: 
Fiscal Year 2007 Report to Congress." December 2007. 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "Strategic Human Capital Plan 2008-2012: FEMA P-692." May 2008. 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "Quarterly Vacancy Report: Through 2ND Quarter Fiscal Year 2007 
Report to Congress." August 2007. 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "Quarterly Vacancy Report: 4th Quarter Fiscal Year 2007 Report 
to Congress." May 2008. 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "Quarterly Vacancy Report: 1st Quarter Fiscal Year 2008 Report 
to Congress." May 2008. 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "Quarterly Vacancy Report: 2nd Quarter Fiscal Year 2008 Report 
to Congress." May 2008. 

U.S. Department of Homeland Security. Naval Post-Graduate School. "The 
Center for Homeland Defense and Security Master's Degree Program." 
[hyperlink, http://www.chds.us/?masters/overview] (accessed on Sept. 5, 
2008). 

[End of section] 

Enclosure XI: Applying Specific Expertise to Disaster Planning, 
Response, and Recovery Activities: 

Post-Katrina Act § 611 (Homeland Security Act § 511), National 
Infrastructure Simulation and Analysis Center: 

Requires the National Infrastructure Simulation and Analysis Center 
(NISAC) to model, simulate, and analyze the systems and assets 
constituting critical infrastructure, in order to enhance preparedness, 
protection, response, recovery, and mitigation activities. Requires 
each federal agency and department with critical infrastructure 
responsibility under Homeland Security Presidential Directive-7 (HSPD-
7) to establish a formal relationship with the NISAC, which must 
include an agreement on information sharing. 

Actions Taken: 

* NISAC Modeling, Simulation, and Analysis Support: The Deputy Director 
of the Department of Homeland Security's (DHS) Infrastructure Analysis 
and Strategy Division (IASD), who manages the NISAC, said that the 
requirements of the Post-Katrina Act were reflected in the NISAC's 
preexisting mission and therefore the Post-Katrina Act did not 
substantially change any of the NISAC's work activities. The NISAC has 
taken actions to simulate and analyze the systems and assets comprising 
critical infrastructure in order to enhance preparedness, protection, 
response, recovery, and mitigation activities, according to the IASD 
Deputy Director. We identified 22 major simulation, modeling, and 
analysis activities in 2008 and 26 major activities in 2007. For 
example, as part of its support to DHS, the NISAC conducted an 
infrastructure consequence analysis of a Category 3 hurricane making 
landfall in Rhode Island for use in the Ardent Sentry Northern Edge 
2007 exercise. § 511. 

Areas to Be Addressed: 

* Coordination: NISAC has not established any formal interagency 
agreements, including an agreement regarding information sharing, with 
federal agencies and departments that have critical infrastructure 
responsibilities under HSPD-7. According to the IASD Deputy Director, 
the National Infrastructure Protection Plan, which provides the 
framework for the nation's efforts to protect critical infrastructure 
and is signed by 15 federal departments and agencies, meets the intent 
of the Post-Katrina Act's requirement on the establishment of formal 
interagency agreements. The IASD Deputy Director said that structured 
processes conducted under the National Infrastructure Protection Plan 
framework, including the NISAC annual report and work plan, are the 
primary mechanisms for coordinating with agencies given critical 
infrastructure responsibilities under HSPD-7. § 511(b)(2). 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 611 (Homeland Security Act § 513), Disability 
Coordinator: 

Requires the Federal Emergency Management Agency (FEMA) Administrator 
to appoint a Disability Coordinator who is to report directly to the 
FEMA Administrator to ensure that the needs of individuals with 
disabilities are addressed in emergency preparedness and disaster 
relief and specifies responsibilities of the Disability Coordinator. 

Actions Taken: 

* Appointment: The FEMA Administrator appointed the Disability 
Coordinator in July 2007. § 513(a). 

* Reporting Relationship: FEMA officials told us in an e-mail shortly 
before we published this document that, although the Disability 
Coordinator is colocated with the Office of Equal Rights for 
administrative support purposes, the position reports directly to the 
Administrator. However, they did not provide documentation of the 
reporting relationship with their e-mail. § 513(a). 

* Consulting with Other Organizations: The Disability Coordinator said 
that she consulted with three main organizations that represent the 
interests and rights of individuals with disabilities in emergency 
planning requirements and relief efforts in the event of a disaster. 
The three organizations are the National Council on Disability (NCD), 
the Inter-Agency Coordinating Council (ICC) on Preparedness and 
Individuals with Disabilities, and the National Advisory Council (NAC). 
In addition, the Disability Coordinator said that she has consulted 
with several disability advocacy groups including the National 
Association for the Blind, the National Association for the Deaf and 
Hard of Hearing, and the American Association of Retired Persons. § 
513(b)(2)-(3). 

* Training Materials: As of May 2008, FEMA completed approximately 30 
training sessions for emergency managers regarding how to help people 
with disabilities, according to the Disability Coordinator. § 
513(b)(5). 

* Promoting and Ensuring the Accessibility of Information: The 
Disability Coordinator said that FEMA's Web site is compliant with 
section 508 of the Rehabilitation Act,[Footnote 37] as is the agency's 
emergency related video programming. She also said that she works with 
state and local governments and local cable networks during disaster 
periods to help ensure that disaster information is accessible in 
multiple formats. § 513(b)(6)-(7). 

* Ensuring Rights Are Respected: According to the Disability 
Coordinator, FEMA included, as part of its disability training sessions 
to emergency-response providers, information to ensure that the rights 
and wishes of individuals with disabilities regarding postevacuation 
residency and relocation are respected. FEMA is also developing a 
handbook for field use for federal, state, and local officials to 
accommodate those with disabilities. § 513(b)(9). 

* Ensuring the Needs of Individuals with Disabilities Are Included in 
the National Preparedness System: The Disability Coordinator said that 
she has provided input into components of the National Preparedness 
System developed by FEMA and provided input into exercises conducted 
under the National Exercise Program. § 513(b)(10). 

Areas to be Addressed: 

* Disseminating Best Practices: FEMA is still in the process of 
developing and implementing best practices and model evacuation plans 
for individuals with disabilities. The Disability Coordinator said that 
as a best practice FEMA is developing "go kits" for people with 
developmental impairments, the hearing impaired, and the blind, which 
will be distributed in an emergency. The go kits will contain visual 
and hearing devices. For example, the go kit for the hearing impaired 
will include a teletypewriter, a keyboard with headphones, and a 
clipboard with sound capabilities. The go kits will be stored in the 
regions and will include a list of their contents and directions for 
use. Another best practice, according to the Disability Coordinator, is 
FEMA's development of a handbook for field use for federal, state, and 
local officials to accommodate those with disabilities. FEMA is also in 
the process of developing model evacuation plans for people with 
disabilities. § 513(b)(4). 

* Ensuring the Accessibility of Information: FEMA has not yet fully 
developed and implemented alternative formats for alerts and warning 
signals issued by the agency for people with disabilities, but 
officials said that they are working with the National Oceanic and 
Atmospheric Administration to develop them. § 513(b)(7). 

* Ensuring the Availability of Accessible Transportation: According to 
the Disability Coordinator, FEMA has begun to work with state emergency 
managers to help develop evacuation plans that include accessible 
transportation options. This official also said that FEMA is working 
with states to develop paratransit options as well as to coordinate the 
use of accessible vans for hospitals and nursing homes. § 513(b)(8). 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 689, Individuals with Disabilities: 

Requires that the FEMA Administrator, in coordination with the NAC, the 
NCD, the ICC on Preparedness and Individuals with Disabilities, and the 
Disability Coordinator, develop guidelines to accommodate individuals 
with disabilities. 

Actions Taken: 

* Initial Guidelines and Coordination: According to FEMA officials, 
FEMA coordinated with the ICC on Preparedness and Individuals with 
Disabilities and the NCD to publish a reference guide titled 
"Accommodating Individuals with Disabilities in the Provisions of 
Disaster Mass Care, Housing, and Human Services." The reference guide 
describes existing legal requirements and standards relating to access 
for people with disabilities, with a focus on equal access requirements 
related to Emergency Support Function 6 (Disaster Mass Care, Housing, 
and Human Services). The reference guide states that it is not intended 
to satisfy all of the guideline requirements contained in section 689 
of the Post-Katrina Act. FEMA officials said that they could not 
coordinate with FEMA's Disability Coordinator during the guide's 
development as she had yet to be hired. §689(a). 

* Additional Interim Guidelines: In addition to the above reference 
guide, an "Interim Emergency Management Planning Guide for Special 
Needs Populations" was released for state and local emergency managers 
and planners and is out for public comment. This interim guidance, 
dated August 15, 2008, is available on FEMA's Web site at [hyperlink, 
http://www.fema.gov/news/newsrelease.fema?id=45435]. The interim 
guidance addresses some of the requirements contained in section 689 
such as access to shelters and portable toilets and access to emergency 
communications and public information. § 689(a). 

Areas to be Addressed: 

* Complete Guidelines and Coordination: Although FEMA's "Interim 
Management Planning Guide for Special Needs Populations" addresses some 
of the guideline requirements contained in section 689, it does not 
address others, such as access to first-aid stations and mass-feeding 
areas. Also, the interim guide does not reflect whether FEMA 
coordinated with the NAC or the NCD in its development. § 689(a). 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 689g (Stafford Act § 326), Designation of Small 
State and Rural Advocate: 

Requires that the President establish in FEMA a Small State and Rural 
Advocate to advocate for fair treatment of small states and rural 
communities in the provision of Stafford Act assistance, and this 
section enumerates the duties of the advocate. 

Actions Taken: 

* Designation of Advocate: The FEMA Small State and Rural Advocate 
assumed his position in August 2007. § 326(a). 

* Participation in the Declaration Process: According to officials from 
FEMA's National Preparedness Directorate, as of October 2008, the Small 
State and Rural Advocate has reviewed more than 100 declaration 
requests and appeals. § 326(c)(1). 

* Reporting Requirement: FEMA submitted a report to Congress in 
February 2007 detailing the extent to which disaster declaration 
regulations meet the particular needs of states with populations of 
less than 1,500,000 individuals and comply with statutory restrictions 
on the use of arithmetical formulas and sliding scales based on income 
or population, as required by the Post-Katrina Act. § 689g(b). 

Areas to be Addressed: 

* Assistance with Declaration Request Preparation: The Small State and 
Rural Advocate stated that he has not assisted small population states 
in the preparation of any requests for declarations. § 326(c)(2). 

Challenges DHS and FEMA Officials Identified: 

* According to the Small State and Rural Advocate, there is some 
concern at FEMA over whether or not his role in reviewing declaration 
requests might conflict with his responsibility to help small 
population states prepare such requests. 

For Further Reading: 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "Accommodating Individuals with Disabilities in the Provision 
of Disaster Mass Care, Housing, and Human Services: Reference Guide." 
[hyperlink, http://www.fema.gov/oer/reference/index.shtm] (accessed 
Sept. 10, 
2008). 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency and DHS Office for Civil Rights and Civil Liberties. "Interim 
Emergency Management Planning Guide for Special Needs Populations, 
Version 1.0." August 15, 2008. 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "Report to Congress: Small State and Rural Advocate Report on 
Disaster Declaration Regulations." February 2008. 

[End of section] 

Enclosure XII: Implementing Controls to Prevent Waste, Fraud, and 
Abuse: 

Post-Katrina Act § 693, Oversight and Accountability of Federal 
Disaster Expenditures: 

Authorizes the FEMA Administrator to designate up to 1 percent of the 
total amount of a mission assignment to be used by the recipient agency 
to perform oversight activities. 

Areas to Be Addressed: 

* Oversight Tasking of Mission-Assigned Agencies: FEMA officials stated 
that they have not exercised this authority. In addition, FEMA 
officials said that the agency has not established a mechanism for 
exercising this authority, such as modifying their mission assignment 
form to allow for designating funds to task an agency to perform 
oversight activities. § 693(a). 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 696 (Stafford Act § 408), Fraud, Waste, and Abuse 
Controls: 

Requires the Federal Emergency Management Agency (FEMA) Administrator 
to ensure that all FEMA programs administering federal disaster-relief 
assistance develop and maintain proper internal management controls to 
prevent and detect fraud, waste, and abuse; to adapt FEMA databases to 
include specific internal controls; and to ensure that the Inspector 
General reviews FEMA databases for the existence and implementation of 
the required internal controls. Also amends the Stafford Act to require 
the development of a system, including an electronic database, to 
counter improper payments in the provision of assistance to individuals 
and households. 

Actions Taken: 

* Verification Procedures in the Individuals and Households Program 
(IHP): According to FEMA, the agency established identity verification 
processes, which include verifying that the applicant's social security 
number is valid, matches the applicant's name, and does not belong to a 
deceased individual. Further, FEMA reported that it has implemented 
procedures to validate that the address an applicant reports as damaged 
was the applicant's primary residence during the time of the disaster 
and that the address is located within the disaster-affected area. This 
validation is done by transmitting the damaged address to a service 
that accesses several publicly available databases to confirm the 
applicant-provided information, according to FEMA officials. § 
408(i)(1). 

* Actions to Minimize the Risk of Making Duplicative IHP Payments: 
According to DHS's Fiscal Year 2007 Annual Financial Report, FEMA's 
internal controls and processes to prevent and detect duplicate and 
improper payments for the IHP needed improvement. The report listed 
eight corrective actions scheduled to be completed by June 2008. FEMA 
officials in the Disaster Assistance Directorate provided the following 
information about five of the eight corrective actions that it 
considers to be complete: 

- Complete the expedited assistance policy: FEMA issued an interim 
critical needs assessment policy, the new name for the expedited 
assistance policy, in September 2008. FEMA's expedited assistance 
program, instituted in response to Hurricanes Katrina and Rita, 
authorized $2,000 in fast track assistance to eligible IHP applicants 
to help with immediate, emergency needs for food, shelter, clothing, 
and personal necessities. We reported in February 2006 that weak or 
nonexistent internal controls in processing applications left the 
government vulnerable to fraud and abuse, such as duplicative 
payments.[Footnote 33] Under FEMA's new policy, a state must request, 
and FEMA must approve, critical needs assistance based on an assessment 
that the disaster has caused extended displacement and unusual 
financial burdens on individuals and households. The new policy, among 
other things, reduces the amount of assistance from $2,000 to $500 per 
payment; limits the period of eligibility to 60 days; and requires 
identity and occupancy verification. The policy also states that FEMA 
will coordinate with agencies offering monetary assistance for critical 
needs to prevent duplication of assistance. 

- Put in place a contract for data verification and prepopulation of 
verified data: According to officials in the Disaster Assistance 
Directorate, FEMA implemented database modifications in July 2008 that 
enabled it to prepopulate its individual assistance records with 
verified applicant data. These officials said that this was 
accomplished through a Systems Change Request to its National Emergency 
Management Information System (NEMIS), which performs numerous 
disaster-related activities, including providing disaster assistance 
to individuals. According to the Disaster Assistance Directorate 
officials, the prepopulation of data fields now occurs when the 
applicant's social security number is entered in the registration 
intake module, using data supplied by FEMA's data verification 
contractor, including the applicant's damaged property address, mailing 
address, and phone number. 

- Develop IHP applicant recertification guidelines: FEMA amended its 
recertification processing guidance, which sets forth FEMA's procedures 
for processing applications for continued rental assistance, in August 
2008. According to officials in FEMA's Disaster Assistance Directorate, 
its National Processing Service Center staff have been trained to 
implement the new procedures.[Footnote 34] 

- Develop a process for approving policy and guidance: To implement 
this corrective action, FEMA finalized a Rulemaking, Policy, and 
Federal Register Notice Approval Procedural Manual in April 2008. 

- Develop a process to ensure consistent application of all disaster-
specific policy: Officials from FEMA's Disaster Assistance Directorate 
reported that the FEMA National Processing Service Centers have taken 
the following actions to help ensure that employees are consistently 
applying disaster-specific policy:
- After employees are trained on new policy and their corresponding 
procedures, they are tested using an automated survey tool to verify 
that they understand the new procedures. Real case examples are 
included in the assessments so that the actual application of their 
knowledge is verified prior to assigning employees to work cases. 
- The National Processing Service Centers have established a weekly 
video teleconference schedule with Applicant Services Managers and 
Program Specialists to ensure that personnel understand all policy and 
procedural changes. 
- The National Processing Service Centers have established the National 
Coordination Team Assistance Group, an in-house call group staffed by 
IHP subject-matter experts who are available to answer questions from 
front-line workers to help ensure that assistance applications are 
processed correctly and consistently. 
- The National Processing Service Center Quality Control has expanded 
its function through an accelerated review of cases involving disaster-
specific or new procedures. Reviewing such cases on a near real-time 
basis, the group's goal is to ensure caseworkers are applying 
procedures consistently and to make recommendations for improving 
training guidelines when problems are identified. § 408(i)(1)-(2). 

* Procedures to Minimize and Collect Duplicate IHP Payments: FEMA 
established a process to identify and collect duplicative IHP payments. 
This process includes, among other things, FEMA's disaster assistance 
database automatically checking specific data fields in every applicant 
record for potentially duplicate applications, having a FEMA caseworker 
and a supervisor review potentially duplicate applications to determine 
if FEMA is entitled to collect a payment already made, and notifying 
the applicant of FEMA's decision to collect a duplicate payment while 
providing an appeal process for the applicant. § 408(i)(2)-(3), (5). 

* Instructions Regarding the Proper Use of IHP Assistance and How to 
Appeal Decisions: After the submission of an IHP application, FEMA 
provides applicants with a copy of its application and a program guide, 
Help after a Disaster: Applicant's Guide to the Individuals and 
Households Program. Updated and reissued in July 2008, this guide 
provides applicants with information regarding the proper use of IHP 
payments. It also notifies applicants of FEMA's appeal process and the 
steps an applicant should take to have FEMA review any assistance-
related decision such as requiring the applicant to state in writing 
why he or she believes that FEMA's decision was incorrect. § 
408(i)(4)-(5). 

* Audits of Databases That Administer Federal Disaster Assistance: 
Shortly before we published this document, FEMA officials told us that 
a contract is about to be awarded to perform an internal audit of 
FEMA's federal disaster relief assistance applications and databases. 
They told us the contract will support the statutorily required review 
by the Office of Inspector General, which is to determine if these 
applications and databases include the proper level of internal 
controls to prevent and detect fraud, waste, and abuse in FEMA's 
disaster relief programs, but they did not provide documentation of 
this contract. § 696(b). 

Areas to Be Addressed: 

* Database Integration to Highlight Ineligible Applications: According 
to FEMA's Information Technology Report submitted to Congress in 
September 2007 under section 640 of the Post-Katrina Act, FEMA uses 
NEMIS to perform numerous disaster-related activities, including 
providing disaster assistance to individuals and communities. Although 
NEMIS interfaces with FEMA's financial accounting system through a 
special module, FEMA has not yet taken action to ensure that applicant 
information collected in NEMIS is integrated with disbursement and 
payment records to determine ineligible applicants. § 696(a)(2)-(a)(4). 

* Actions to Minimize the Risk of Making Duplicative IHP Payments: FEMA 
officials in the Disaster Assistance Directorate provided the following 
information about three of the eight corrective actions from DHS's 
Fiscal Year 2007 Annual Financial Report that are not complete: 

- Enhance training to assist FEMA personnel with the Lodging Expense 
Reimbursement System: According to officials from FEMA's Disaster 
Assistance Directorate, FEMA's National Processing Service Centers 
initiated a recredentialing training plan for all of its Human Service 
Specialists during fiscal year 2008. They stated that the curriculum 
included additional training in processing Lodging Expense 
Reimbursement. However, according to the Disaster Assistance 
Directorate Officials, the training plan was interrupted on several 
occasions due to other workload priorities and approximately 2/3 of the 
training plan, including the Lodging Expense Reimbursements training, 
was not completed. These officials said that National Processing 
Service Center staff will receive training in Lodging Expense 
Reimbursement prior to being assigned to work cases in the Lodging 
Expense Reimbursement queue for Hurricanes Gustav and Ike. 

- Award a contract to make available 6,000 call center agents: 
According to officials from FEMA's Disaster Assistance Directorate, 
FEMA reviewed the costs associated with a contract of this magnitude 
and determined it was prohibitively expensive. They said that the 
National Processing Service Centers are using other means to address 
their surge staffing needs. 

- Clarify and define the Separated Households Policy: According to 
officials for FEMA's Disaster Assistance Directorate, this corrective 
action is in progress. The officials told us that FEMA has developed a 
draft policy to clarify the circumstances in which FEMA will authorize 
separate applications and provide temporary housing assistance to more 
than one disaster applicant from a single household. § 408(i)(2). 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

Post-Katrina Act § 698, Fraud Prevention Training Program: 

Requires the FEMA Administrator to develop and implement a program to 
provide training on the identification and prevention of waste, fraud, 
and abuse of federal disaster relief assistance. 

Areas to Be Addressed: 

* Establishment of Program: FEMA officials said that while the agency 
provides training to National Processing Service Center employees on 
how to identify potentially fraudulent practices on the part of the 
disaster assistance applicant, FEMA has yet to develop an overall 
policy on waste, fraud, and abuse. Once this overall policy is 
established, FEMA's Office of the Chief Counsel will have the lead for 
developing a training program, according to FEMA officials. § 698. 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

For Further Reading: 

U.S. Department of Homeland Security. Financial Annual Report, Fiscal 
Year 2007. Washington D.C.: November 15, 2007. 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. Help After a Disaster: Applicant's Guide to the Individuals and 
Households Program. [hyperlink, 
http://www.fema.gov/assistance/process/guide.shtm] (accessed Sept. 10, 
2008). 

[End of section] 

Enclosure XIII: Managing Recovery from Hurricanes Katrina and Rita in 
the Gulf Coast Region: 

Post-Katrina Act § 638, Hurricane Katrina and Hurricane Rita Recovery 
Offices: 

Requires the Federal Emergency Management Agency (FEMA) Administrator 
to establish recovery offices to provide all eligible federal 
assistance to individuals and state, local, and tribal governments 
affected by Hurricanes Katrina or Rita. Authorizes recovery offices in 
each of the following states, Mississippi, Louisiana, Alabama, and 
Texas, which shall terminate at the FEMA Administrator's discretion. 

Actions Taken: 

* Establishment of Recovery Offices: FEMA established Transitional 
Recovery Offices (TRO) in Mississippi, Louisiana, Alabama, and Texas. 
According to officials in FEMA's Gulf Coast Recovery Office, both the 
Mississippi and Louisiana TROs have a main office and two area field 
offices while the Alabama TRO is closed and remaining mission 
requirements are being transitioned to FEMA's Atlanta regional office. 
At the time of our work, FEMA officials in the Gulf Coast Recovery 
Office said that the Texas TRO was not yet closed but was in the 
process of transitioning the remaining mission requirements to the FEMA 
regional office in Denton, Texas. § 638(a). 

* Senior Leadership at Recovery Offices: The four TROs are led by a 
Director with a supporting senior management team. § 638(b). 

* Staff at Recovery Offices: FEMA officials in the Gulf Coast Recovery 
Office stated that when the TROs began initial operations, FEMA relied 
on temporary personnel, such as local hires and Disaster Assistance 
Employees, to meet staffing needs. The TROs then transitioned from 
these initial temporary personnel to personnel from the Cadre of 
Response Employees who were staffed for appointments of 2 years, 
according to FEMA officials. § 638(d)(1). 

* Staffing Levels: FEMA officials in the Gulf Coast Recovery Office 
stated that individual TROs are responsible for assessing their own 
staffing needs. Officials from the TROs in Texas, Mississippi, and 
Louisiana reported using different mechanisms to evaluate staffing 
levels. For example, the Mississippi TRO officials reported reviewing 
staffing periodically. The office conducted a review earlier in 2008 of 
Individual Assistance staff to project the number of positions to be 
released by October 2008, according to FEMA officials. Louisiana TRO 
officials stated that they conducted a full vacancy analysis as well as 
two internal and external hiring cycles in an attempt to completely 
fill the identified vacancies. § 638(d)(2). 

* Assistance Provided: According to officials in the Gulf Coast 
Recovery Office, FEMA established the office following Hurricanes 
Katrina and Rita to provide a single, unified point of contact for its 
multistate recovery efforts in Alabama, Louisiana, Mississippi, and 
Texas. A FEMA publication outlining TRO accomplishments in the 3 years 
since their establishment reports the following Gulf Coast recovery 
assistance: 

- FEMA has provided more than $7.8 billion to individuals and families 
through FEMA's Housing and Other Needs Assistance to address disaster-
related personal property replacement, transportation assistance, 
healthcare, and other expenses related to moving and storage. 

- More than 143,000 families were provided with temporary housing units 
throughout the Gulf Coast, and FEMA has moved over 127,000 households 
out of temporary housing units into long-term housing solutions. 

- More than $11 billion has been obligated in Public-Assistance grants 
for emergency work and permanent repairs for infrastructure, including 
schools, hospitals, criminal justice facilities, and utilities. 

- FEMA's Hazard Mitigation Grant Program has allocated approximately 
$467 million. § 638(c). 

* Performance Measures: Performance information for Public Assistance 
Program activities is posted on the Gulf Coast Recovery Office's Web 
site, [hyperlink, 
http://www.fema.gov/hazard/hurricane/2005katrina/weekly.shtm], 
and is updated weekly. The Post-Katrina Act requires two specific 
performance measures--public assistance project worksheet completion 
rates and public assistance reimbursement times. Although the latter 
does not appear on the reports posted on the Web site and the former is 
not clearly stated in those reports, FEMA officials reported using both 
measures. 

- Project Worksheet Completion Rates: The Web site posts reports 
containing information on various public assistance efforts in Alabama, 
Louisiana, Mississippi, and Texas as well as Gulf-wide. According to 
FEMA officials, the project worksheet completion rates are tracked on 
these reports. The officials said that the Joint Field Office tracks 
project worksheet completion rates daily by calculating the ratio of 
completed worksheets to worksheets anticipated to be completed. The 
reports show two project worksheet ratios. One ratio is based on 
worksheets obligated (the point at which funds are to be available to 
states) and the other ratio is for worksheets that have been entered 
into FEMA's National Emergency Management Information System. However, 
these officials did not explain the basis for these ratios (i.e., how 
completion is defined or how the anticipated number of worksheets is 
forecast). 

- Public Assistance Reimbursement Times: According to officials in the 
Gulf Coast Recovery Office, FEMA has established a standard of 48 hours 
from the time the funds are approved in FEMA's system until the funds 
are made available to the states through the Department of Health and 
Human Services payment management system. Although a measure of 
reimbursement times does not appear in the reports on the Web site, 
these officials said that FEMA's Office of Chief Financial Officer 
tracks public assistance funds that do not meet the 48 hour standard 
and refers them to the FEMA finance center for resolution. § 638(e). 

Areas to Be Addressed: 

* Public Assistance Closeout Incentives: Officials in FEMA's Disaster 
Assistance Directorate said that there is nothing that the agency can 
do to provide incentives for the closeout of public assistance projects 
without additional statutory authority to provide funds. However, FEMA 
officials commented that good management practices can expedite the 
closeout process. § 638(f). 

Challenges DHS and FEMA Officials Identified: 

* Agency officials did not identify any challenges for this section. 

For Further Reading: 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "Gulf Coast Recovery Office Public Assistance Weekly Updates." 
[hyperlink, 
http://www.fema.gov/hazard/hurricane/2005katrina/weekly.shtm] (accessed 
on Sept. 5, 2008). 

U.S. Department of Homeland Security. Federal Emergency Management 
Agency. "3 Years Later: Recovery Continues along the Gulf Coast." 
[hyperlink, 
http://www.fema.gov/hazard/hurricane/2005katrina/3years.shtm] (accessed 
on Sept. 5, 2008). 

[End of section] 

Enclosure XIV: Crosswalk between Post-Katrina Act Provisions & 
Enclosures: 

Section[Footnote 40]: § 601; 
Provision Title: Short Title; 
Location in Enclosures: Not Specifically Addressed--Operative 
Terms[Footnote 41]. 

Section[Footnote 40]: § 602; 
Provision Title: Definitions; 
Location in Enclosures: Not Specifically Addressed--Operative Terms. 

Section[Footnote 40]: § 611 (Homeland Security Act (HSA) § 501); 
Provision Title: Definitions; 
Location in Enclosures: Not Specifically Addressed--Operative Terms. 

Section[Footnote 40]: § 611 (HSA § 503); 
Provision Title: Federal Emergency Management Agency (FEMA); 
Location in Enclosures: Enclosure II: Implementing Organizational 
Structures, Roles, and Authorities to Prepare for, Respond to, and 
Recover from Disasters. 

Section[Footnote 40]: § 611 (HSA § 504); 
Provision Title: Authority and Responsibilities; 
Location in Enclosures: Enclosure II: Implementing Organizational 
Structures, Roles, and Authorities to Prepare for, Respond to, and 
Recover from Disasters. 

Section[Footnote 40]: § 611 (HSA § 505); 
Provision Title: Functions Transferred; 
Location in Enclosures: Enclosure II: Implementing Organizational 
Structures, Roles, and Authorities to Prepare for, Respond to, and 
Recover from Disasters. 

Section[Footnote 40]: § 611 (HSA § 506); 
Provision Title: Preserving FEMA; 
Location in Enclosures: Enclosure II: Implementing Organizational 
Structures, Roles, and Authorities to Prepare for, Respond to, and 
Recover from Disasters. 

Section[Footnote 40]: § 611 (HSA § 507); 
Provision Title: Regional Offices; 
Location in Enclosures: Enclosure VI: Supporting Regional Preparedness 
and Cooperation. 

Section[Footnote 40]: § 611 (HSA § 508); 
Provision Title: National Advisory Council; 
Location in Enclosures: Enclosure II: Implementing Organizational 
Structures, Roles, and Authorities to Prepare for, Respond to, and 
Recover from Disasters. 

Section[Footnote 40]: § 611 (HSA § 509); 
Provision Title: National Integration Center; 
Location in Enclosures: Enclosure II: Implementing Organizational 
Structures, Roles, and Authorities to Prepare for, Respond to, and 
Recover from Disasters. 

Section[Footnote 40]: § 611 (HSA § 510); 
Provision Title: Credentialing and Typing; 
Location in Enclosures: Enclosure X: Ensuring a Well-Trained, 
Professional Workforce to Prepare for, Respond to, and Recover from 
Disasters. 

Section[Footnote 40]: § 611 (HSA § 511); 
Provision Title: National Infrastructure Simulation & Analysis Center; 
Location in Enclosures: Enclosure XI: Applying Specific Expertise to 
Disaster Planning, Response, and Recovery Activities. 

Section[Footnote 40]: § 611 (HSA § 512); 
Provision Title: Evacuation Plans & Exercises; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 611 (HSA § 513); 
Provision Title: Disability Coordinator; 
Location in Enclosures: Enclosure XI: Applying Specific Expertise to 
Disaster Planning, Response, and Recovery Activities. 

Section[Footnote 40]: § 611 (HSA § 514); 
Provision Title: Department and Agency Officials; 
Location in Enclosures: Enclosure II: Implementing Organizational 
Structures, Roles, and Authorities to Prepare for, Respond to, and 
Recover from Disasters. 

Section[Footnote 40]: § 611 (HSA § 515); 
Provision Title: National Operations Center; 
Location in Enclosures: Enclosure II: Implementing Organizational 
Structures, Roles, and Authorities to Prepare for, Respond to, and 
Recover from Disasters. 

Section[Footnote 40]: § 611 (HSA § 516); 
Provision Title: Chief Medical Officer; 
Location in Enclosures: Enclosure II: Implementing Organizational 
Structures, Roles, and Authorities to Prepare for, Respond to, and 
Recover from Disasters. 

Section[Footnote 40]: § 612; 
Provision Title: Technical and Conforming Amendments; 
Location in Enclosures: Not Specifically Addressed--Operative Terms. 

Section[Footnote 40]: § 613; 
Provision Title: National Weather Service; 
Location in Enclosures: Not Specifically Addressed--Operative Terms. 

Section[Footnote 40]: § 614; 
Provision Title: Effective Date; 
Location in Enclosures: Not Specifically Addressed--Operative Terms. 

Section[Footnote 40]: § 621 (5 USC § 10101); 
Provision Title: Definitions; 
Location in Enclosures: Not Specifically Addressed--Operative Terms. 

Section[Footnote 40]: § 621 (5 USC § 10102); 
Provision Title: Strategic human capital plan; 
Location in Enclosures: Enclosure X: Ensuring a Well-Trained, 
Professional Workforce to Prepare for, Respond to, and Recover from 
Disasters. 

Section[Footnote 40]: § 621 (5 USC § 10103); 
Provision Title: Career paths; 
Location in Enclosures: Enclosure X: Ensuring a Well-Trained, 
Professional Workforce to Prepare for, Respond to, and Recover from 
Disasters. 

Section[Footnote 40]: § 621 (5 USC § 10104); 
Provision Title: Recruitment bonuses; 
Location in Enclosures: Enclosure X: Ensuring a Well-Trained, 
Professional Workforce to Prepare for, Respond to, and Recover from 
Disasters. 

Section[Footnote 40]: § 621 (5 USC § 10105); 
Provision Title: Retention bonuses; 
Location in Enclosures: Enclosure X: Ensuring a Well-Trained, 
Professional Workforce to Prepare for, Respond to, and Recover from 
Disasters. 

Section[Footnote 40]: § 621 (5 USC § 10106); 
Provision Title: Quarterly report on vacancy rate in employee 
positions; 
Location in Enclosures: Enclosure X: Ensuring a Well-Trained, 
Professional Workforce to Prepare for, Respond to, and Recover from 
Disasters. 

Section[Footnote 40]: § 622 (HSA § 844); 
Provision Title: Homeland Security Rotation Program; 
Location in Enclosures: Enclosure X: Ensuring a Well-Trained, 
Professional Workforce to Prepare for, Respond to, and Recover from 
Disasters. 

Section[Footnote 40]: § 623 (HSA § 845); 
Provision Title: Homeland Security Education Program; 
Location in Enclosures: Enclosure X: Ensuring a Well-Trained, 
Professional Workforce to Prepare for, Respond to, and Recover from 
Disasters. 

Section[Footnote 40]: § 624; 
Provision Title: Surge Capacity Force; 
Enclosure X: 
Location in Enclosures: Ensuring a Well-Trained, Professional Workforce 
to Prepare for, Respond to, and Recover from Disasters. 

Section[Footnote 40]: § 631 (Stafford § 613); 
Provision Title: State Catastrophic Incident Annex; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 632; 
Provision Title: Evacuation Preparedness Technical Assistance; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 633 (Stafford § 303); 
Provision Title: Emergency Support and Response Teams; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 634; 
Provision Title: Urban Search and Rescue Response System; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 635; 
Provision Title: Metropolitan Medical Response Grant System; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 636; 
Provision Title: Logistics; 
Location in Enclosures: Enclosure VII: Improving Timely Delivery of 
Goods and Services in Disaster Events. 

Section[Footnote 40]: § 637; 
Provision Title: Prepositioned Equipment Program; 
Location in Enclosures: Enclosure VII: Improving Timely Delivery of 
Goods and Services in Disaster Events. 

Section[Footnote 40]: § 638; 
Provision Title: Hurricane Katrina and Hurricane Rita Recovery Offices; 
Location in Enclosures: Enclosure XIII: Managing Recovery from 
Hurricanes Katrina and Rita in the Gulf Coast Region. 

Section[Footnote 40]: § 639; 
Provision Title: Basic Life Supporting First Aid and Education; 
Location in Enclosures: Enclosure IV: Providing Assistance to Disaster-
Affected Areas and Populations. 

Section[Footnote 40]: § 640; 
Provision Title: Improvements to Information Technology Systems; 
Location in Enclosures: Enclosure IX: Improving Information Technology 
Systems to Support Compatibility, Accessibility, and Tracking. 

Section[Footnote 40]: § 640a; 
Provision Title: Disclosure of Certain Information to Law Enforcement 
Agencies; 
Location in Enclosures: Enclosure IV: Providing Assistance to Disaster-
Affected Areas and Populations. 

Section[Footnote 40]: § 641; 
Provision Title: Definitions; 
Location in Enclosures: Not Specifically Addressed--Operative Terms. 

Section[Footnote 40]: § 642; 
Provision Title: National Preparedness; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 643; 
Provision Title: National Preparedness Goal; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 644; 
Provision Title: Establishment of National Preparedness System; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 645; 
Provision Title: National Planning Scenarios; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 646; 
Provision Title: Target Capabilities and Preparedness Priorities; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 647; 
Provision Title: Equipment and Training Standards; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 648; 
Provision Title: Training and Exercises; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 649; 
Provision Title: Comprehensive Assessment System; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 650; 
Provision Title: Remedial Action Management Program; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 651; 
Provision Title: Federal Response Capability Inventory; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 652; 
Provision Title: Reporting Requirements; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 653; 
Provision Title: Federal Preparedness; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 654; 
Provision Title: Use of Existing Resources; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 661; 
Provision Title: Emergency Management Assistance Compact Grants; 
Location in Enclosures: Enclosure VI: Supporting Regional Preparedness 
and Cooperation. 

Section[Footnote 40]: § 662; 
Provision Title: Emergency Management Performance Grants; 
Location in Enclosures: Not Specifically Addressed--Operative Terms. 

Section[Footnote 40]: § 663; 
Provision Title: Transfer of Noble Training Center; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 664; 
Provision Title: National Exercise Simulation Center; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 671; 
Provision Title: Short Title; 
Location in Enclosures: Not Specifically Addressed--Operative Terms. 

Section[Footnote 40]: § 671 (HSA § 1801); 
Provision Title: Office of Emergency Communications; 
Location in Enclosures: Enclosure III: Supporting and Enhancing 
Emergency Communications. 

Section[Footnote 40]: § 671 (HSA § 1802); 
Provision Title: National Emergency Communications Plan; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 671 (HSA § 1803); 
Provision Title: Assessments and Reports; 
Location in Enclosures: Enclosure III: Supporting and Enhancing 
Emergency Communications. 

Section[Footnote 40]: § 671 (HSA § 1804); 
Provision Title: Coordination of Department Emergency Communications 
Grant Programs; 
Location in Enclosures: Enclosure III: Supporting and Enhancing 
Emergency Communications. 

Section[Footnote 40]: § 671 (HSA § 1805); 
Provision Title: Regional Emergency Communications Coordination; 
Location in Enclosures: Enclosure VI: Supporting Regional Preparedness 
and Cooperation. 

Section[Footnote 40]: § 671 (HSA § 1806); 
Provision Title: Emergency Communications Preparedness Center; 
Location in Enclosures: Enclosure III: Supporting and Enhancing 
Emergency Communications. 

Section[Footnote 40]: § 671 (HSA § 1807); 
Provision Title: Urban and Other High Risk Area Communications 
Capabilities; 
Location in Enclosures: Enclosure VI: Supporting Regional Preparedness 
and Cooperation. 

Section[Footnote 40]: § 671 (HSA § 1808); 
Provision Title: Definition; 
Location in Enclosures: Not Specifically Addressed--Operative Terms. 

Section[Footnote 40]: § 672 (HSA § 314); 
Provision Title: Office for Interoperability and Compatibility; 
Location in Enclosures: Enclosure III: Supporting and Enhancing 
Emergency Communications. 

Section[Footnote 40]: § 673 (HSA § 315); 
Provision Title: Emergency Communications Interoperability Research and 
Development; 
Location in Enclosures: Enclosure III: Supporting and Enhancing 
Emergency Communications. 

Section[Footnote 40]: § 674; 
Provision Title: 911 and E911 Services Report; 
Location in Enclosures: Enclosure III: Supporting and Enhancing 
Emergency Communications. 

Section[Footnote 40]: § 675; 
Provision Title: Savings Clause; 
Location in Enclosures: Not Specifically Addressed--Operative Terms. 

Section[Footnote 40]: § 681 (Stafford §§ 402, 502); 
Provision Title: General Federal Assistance; 
Location in Enclosures: Enclosure VII: Improving Timely Delivery of 
Goods and Services in Disaster Events. 

Section[Footnote 40]: § 682; 
Provision Title: National Disaster Recovery Strategy; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 683; 
Provision Title: National Disaster Housing Strategy; 
Location in Enclosures: Enclosure V: Implementing the Components of the 
National Preparedness System and Other Preparedness Activities. 

Section[Footnote 40]: § 684 (Stafford § 404(a)); 
Provision Title: Hazard Mitigation Grant Formula; 
Location in Enclosures: Not Specifically Addressed--Operative Terms. 

Section[Footnote 40]: § 685 (Stafford § 408(c)(4)); 
Provision Title: Housing Assistance; 
Location in Enclosures: Not Specifically Addressed--Operative Terms. 

Section[Footnote 40]: § 686 (Stafford § 408(c)); 
Provision Title: Maximum Amount Under Individual Assistance Programs; 
Location in Enclosures: Not Specifically Addressed--Operative Terms. 

Section[Footnote 40]: § 687 (Stafford § 302); 
Provision Title: Coordinating Officers; 
Location in Enclosures: Enclosure II: Implementing Organizational 
Structures, Roles, and Authorities to Prepare for, Respond to, and 
Recover from Disasters. 

Section[Footnote 40]: § 688 (Stafford § 102); 
Provision Title: Definitions; 
Location in Enclosures: Not Specifically Addressed--Operative Terms. 

Section[Footnote 40]: § 689; 
Provision Title: Individuals With Disabilities; 
Location in Enclosures: Enclosure XI: Applying Specific Expertise to 
Disaster Planning, Response, and Recovery Activities. 

Section[Footnote 40]: § 689a (Stafford § 308(a)); 
Provision Title: Nondiscrimination in Disaster Assistance; 
Location in Enclosures: Not Specifically Addressed--Operative Terms. 

Section[Footnote 40]: § 689b; 
Provision Title: Reunification; 
Location in Enclosures: Enclosure IV: Providing Assistance to Disaster-
Affected Areas and Populations. 

Section[Footnote 40]: § 689c; 
Provision Title: National Emergency Family Registry and Locator System; 
Location in Enclosures: Enclosure IV: Providing Assistance to Disaster-
Affected Areas and Populations. 

Section[Footnote 40]: § 689d (Stafford; § 408(c)(1)(A)); 
Provision Title: Federal Assistance to Individuals and Households; 
Location in Enclosures: Not Specifically Addressed--Operative Terms. 

Section[Footnote 40]: § 689e (Stafford § 616); 
Provision Title: Disaster Related Information Services; 
Location in Enclosures: Enclosure IV: Providing Assistance to Disaster-
Affected Areas and Populations. 

Section[Footnote 40]: § 689f (Stafford § 425); 
Provision Title: Transportation Assistance to Individuals and 
Households; 
Location in Enclosures: Enclosure IV: Providing Assistance to Disaster-
Affected Areas and Populations. 

Section[Footnote 40]: § 689f (Stafford § 426); 
Provision Title: Case Management Services; 
Location in Enclosures: Enclosure IV: Providing Assistance to Disaster-
Affected Areas and Populations. 

Section[Footnote 40]: § 689g (Stafford § 326); 
Provision Title: Designation of Small State and Rural Advocate; 
Location in Enclosures: Enclosure XI: Applying Specific Expertise to 
Disaster Planning, Response, and Recovery Activities. 

Section[Footnote 40]: § 689h (Stafford § 406(a)(3)(B)); 
Provision Title: Repair, Restoration, and Replacement of Damaged 
Private Nonprofit Educational Facilities; 
Location in Enclosures: Not Specifically Addressed--Operative Terms. 

Section[Footnote 40]: § 689i; 
Provision Title: Individuals and Households Pilot Program; 
Location in Enclosures: Enclosure IV: Providing Assistance to Disaster-
Affected Areas and Populations. 

Section[Footnote 40]: § 689j; 
Provision Title: Public Assistance Pilot Program; 
Location in Enclosures: Enclosure IV: Providing Assistance to Disaster-
Affected Areas and Populations. 

Section[Footnote 40]: § 689k; 
Provision Title: Disposal of Unused Temporary Housing Units; 
Location in Enclosures: Enclosure IV: Providing Assistance to Disaster-
Affected Areas and Populations. 

Section[Footnote 40]: § 691; 
Provision Title: Advance Contracting; 
Location in Enclosures: Enclosure VIII: Changing Contracting Practices 
to Enhance Preparedness and Strengthen Accountability. 

Section[Footnote 40]: § 692; 
Provision Title: Limitations on Tiering of Subcontractors; 
Location in Enclosures: Enclosure VIII: Changing Contracting Practices 
to Enhance Preparedness and Strengthen Accountability. 

Section[Footnote 40]: § 693; 
Provision Title: Oversight and Accountability of Federal Disaster 
Expenditures; 
Location in Enclosures: Enclosure XII: Implementing Controls to Prevent 
Waste, Fraud, and Abuse. 

Section[Footnote 40]: § 694 (Stafford § 307); 
Provision Title: Use of Local Firms and Individuals; 
Location in Enclosures: Enclosure VIII: Changing Contracting Practices 
to Enhance Preparedness and Strengthen Accountability. 

Section[Footnote 40]: § 695; 
Provision Title: Limitation on Length of Certain Noncompetitive 
Contracts; 
Location in Enclosures: Enclosure VIII: Changing Contracting Practices 
to Enhance Preparedness and Strengthen Accountability. 

Section[Footnote 40]: § 696; 
Provision Title: Fraud, Waste and Abuse Controls; 
Location in Enclosures: Enclosure XII: Implementing Controls to Prevent 
Waste, Fraud, and Abuse. 

Section[Footnote 40]: § 697; 
Provision Title: Registry of Disaster Response Contractors; 
Location in Enclosures: Enclosure VIII: Changing Contracting Practices 
to Enhance Preparedness and Strengthen Accountability. 

Section[Footnote 40]: § 698; 
Provision Title: Fraud Prevention Training Program; 
Location in Enclosures: Enclosure XII: Implementing Controls to Prevent 
Waste, Fraud, and Abuse. 

Section[Footnote 40]: § 699; 
Provision Title: Authorization of Appropriations; 
Location in Enclosures: Not Specifically Addressed--Operative Terms. 

Source: GAO Analysis. 

[End of table] 

[End of section] 

Enclosure XV: Comments from FEMA: 

FEMA: 
U.S. Department of Homeland Security: 
Washington, DC 20472: 

November 14, 2008: 

Mr. William O. Jenkins: 
Director Homeland Security and Justice: 
Government Accountability Office: 
Washington, D.C. 20548: 

Dear Mr. Jenkins: 

Thank you for providing the Department of Homeland Security (DHS) and 
specifically the Federal Emergency Management Agency (FEMA) the 
opportunity to review and comment on the draft Government 
Accountability Office (GAO) report, GAO-09-59R, Actions to Implement 
the Post-Katrina Act (PKEMRA). 

PKEMRA contained over two hundred and fifty distinct requirements. As 
the GAO has noted in its draft report, DHS, and FEMA in particular, has 
been working to implement these requirements, and has completed or made 
substantial progress on virtually all provisions. 

In this engagement, GAO sought to catalog what DHS had accomplished by 
August 1, 2008 in targeted sections of PKEMRA. While DHS and GAO 
collaborated in assembling a substantial amount of information, this 
report only briefly describes the substantive improvements in the wake 
of Hurricane Katrina. Time was not available for a more thorough review 
and substantive report. 

Recent experiences, particularly in Hurricanes Gustav and Ike, show the 
positive result of FEMA and DHS improvements. Gustav and Ike have also 
highlighted areas where work remains to be done at all levels of 
government, particularly with disaster housing. All of these activities 
related to Gustav and Ike took place after August 1, 2008, and are 
therefore not covered in this report. 

Below is an overview of improvements and a discussion of how these 
improvements have affected recent disaster response operations.
Overview of Improvements 

Earlier this year, FEMA released the National Response Framework (NRF). 
The NRF provides a clear picture of the resources and assets available 
through the Federal government and clarifies the agencies and programs 
engaged in disaster response and their role in support of state and 
local officials. 

FEMA has worked with states to identify gaps and areas where they will 
most need support, recognizing that one size does not fit all and that 
any response will be tailored to an individual state's needs. 
Additionally, FEMA has developed teams that actively exercise and 
interface with states and local governments in advance of disaster 
events and can be pre-staged in a notice event, or stand ready to be 
deployed to the disaster area, arriving on the ground within hours of a 
storm or other disaster striking. These teams provide real-time 
situational awareness and visibility on issues and serve as an initial 
point of contact for state officials to communicate their need for 
Federal resources to FEMA. 

FEMA has improved its ability to deliver assistance. This is reflected 
in alliances with logistics partners within the Federal family and with 
the private sector, clarified guidance to states on emergency life 
sustaining needs, and a strengthened ability to manage the logistics 
pipeline and get needed supplies and resources to a disaster site more 
quickly and efficiently. 

Additionally, FEMA is focused on providing assistance in an easily 
accessible and coordinated manner through simple and effective delivery 
mechanisms. FEMA expanded its capability to register those in need of 
aid and to have mobile registration centers that can be on hand to help 
those without access to phones or computers. At the same time, FEMA 
strengthened its ability to detect and limit waste, fraud, and abuse of 
its assistance programs. FEMA continues to work with Federal, state, 
local, and voluntary partners to build a robust system for evacuation, 
sheltering, and housing, including our collaboration with the American 
Red Cross to implement the National Shelter System. FEMA established a 
National Emergency Family Registry and Locator System and a National 
Emergency Child Locator Center to help those displaced find their loved 
ones. FEMA also instituted a new policy to help those with pets safely 
evacuate a disaster area. 

FEMA recognizes the need to have a comprehensive disaster housing 
framework, which can serve as a cornerstone for disaster recovery. 
PKEMRA called for a National Disaster Housing Strategy (NDHS) and 
provided FEMA with the opportunity to describe how the Nation provides 
housing to those affected by disasters. More importantly, it charts a 
new direction to better understand and meet the housing needs of 
disaster victims and communities. The Strategy captures lessons learned 
from Hurricane Katrina and subsequent disasters, embraces the larger 
issues of disaster victims beyond simply providing a structure, and 
seeks innovative and creative housing options. It elevates issues of 
safety, security and access to those with disabilities, emphasizes 
again and again the value of planning, and differentiates the 
catastrophe above all other disasters. For the first time in any single 
document, it addresses all forms of disaster housing and suggests that 
these issues merit full time, national attention. On July 23, 2008, 
FEMA published the draft NDHS for public comment and has been working 
closely with key stakeholders to finalize seven annexes to the NDHS 
that address specific issues in PKEMRA. FEMA is revising the Strategy 
now based on those comments and expects to release the final Strategy 
and annexes this December. 

Discussion of How these Improvements Affected Disaster Response 
Operations: 

Beginning with the Midwest floods of May 2008, through the 2008 
Hurricane Season, DHS and FEMA have responded to thirty-one major 
disaster declarations affecting 23 states and territories. The most 
notable disasters were Hurricanes Gustav and Ike. These storms, both 
projected at one time in their lifespan to be Category III or stronger 
storms at landfall, both had the capacity to impose catastrophic damage 
simultaneously to multiple states along the Gulf Coast. These storms 
were the most strenuous test of national, state, local and individual 
preparedness since Hurricanes Katrina and Rita. The response, and thus 
far the recovery to these storms provides evidence of increased 
preparedness, decisiveness by elected and appointed officials at every 
level of government, as well as by citizens who elected to evacuate in 
record numbers. Below are specific examples of improved or expanded 
response capabilities: 

* In the response to Hurricane Gustav, nine Urban Search and Rescue 
(US&R) Task Forces were deployed to support Texas and Louisiana and 
eight Task Forces were deployed to support Georgia, Florida, Alabama, 
and Mississippi. 

* For Hurricane Ike, nine Task Forces were deployed to Texas and six to 
Louisiana. The US&R Task Forces supported the states in critical search 
and rescue operations. 

* During these disasters, the new FEMA Operational Planners: 

- Provided improved planning capability in the areas of current and 
future planning; 

- Facilitated extensive evacuation coordination/planning between the 
Regions and the states; 

- Synchronized interagency operational planning with the DHS Incident 
Management Planning Team, U.S. Northern Command, and other Departments 
and Agencies; Supported responses to the Midwest Floods by projecting 
population impacts and needs before the flood wave struck; 

- Provided current and future operational planning analyses to inform 
decision makers by focusing more closely on performance metrics; and
Developed and implemented innovative planning strategies to address 
issues such as the Regional Planning Strategy used to respond to 
Hurricanes Gustav and Hanna concurrently. 

* For Hurricane Gustav, FEMA and Federal, state, and local partners 
executed the Gulf Coast evacuation plan, developed over the past two 
years in coordination with the State of Louisiana, and evacuated more 
than 2 million people in 48 hours to multiple receiving states using 
multi-modal evacuation sources including air, train, and bus. 

* Greater emphasis has been placed on the Mission Assignment (MA) 
process to include development of Pre-Scripted Mission Assignments 
(PSMAs), a mechanism used to facilitate rapid response. FEMA has 
increased the number of PSMAs in place to 236 with 33 agencies. This 
support ranges from heavy-lift helicopters from DoD, to generators from 
the USACE, to Disaster Medical Assistance Teams from HHS, to Emergency 
Road Clearing Teams from the U.S. Forest Service. The expanded catalog 
of PSMAs was put to good use during Gustav and Ike. 

* FEMA Mobile Emergency Response Support System (MERS) assets continued 
to provide communications support to states/locals, as well as our 
response teams and other interagency response teams. For example, 
during Hurricanes Gustav and Ike, MERS: 

- Provided mobile emergency communications infrastructure to the Mayor 
of Galveston to support continuity of local government. 

- Supported maintenance and repair of communications equipment for 
local first responders on Galveston Island. 

- Repaired a main repeater at the Houston Reliance Center to sustain 
communications capabilities for the Texas Highway Patrol. 

- Supported Texas Task Force Ike with land mobile radio communications 
to link the Task Force with the Interagency Working Group. 

- Provided command and control support to government of Houma, 
Louisiana. 

- Supported communications capabilities for the Louisiana State Police 
by providing a 700 MHz radio system. 

- Supported Terrebonne Parish in Louisiana with a 800 MHz radio system 
tower providing communications connection for the Parish. 

* In October 2008, there were 3,837 FEMA reservists deployed in support 
of disaster response and recovery throughout the United States. In the 
Gulf Coast and other hurricane affected areas, there are 1,831 
reservists serving in response to the tremendous need. 

* In FY 08, FEMA competed an estimated 80% of its procurement dollars 
thereby exceeding its annual competitive obligations goal by 4 
percentage points. In addition, FEMA has awarded an estimated $393 
million to small businesses so far this fiscal year. 

* Our efforts and improvements in service delivery of FEMA's recovery 
programs on behalf of disaster victims include: 

- Housing Inspections - Prior to declaration, housing inspectors are 
mobilized; they arrive in the affected areas immediately after the 
declaration and inspections began immediately following the disasters.
Registration Intake - Special Needs scenarios were added to FEMA's 
registration intake script beginning in 2008. The Special Needs 
questions are designed to obtain information from applicants about any 
loss of support required for mobility, sight, hearing or taking care of 
themselves or members of their household as a result of the disaster. 
The information about applicants' special needs is transmitted to the 
JFOs for appropriate follow-up. 

- National Processing Servicing Center (NPSC) Operations - The NPSC 
have the capability to expand operations to support 24/7 staffing 
immediately upon a declaration. 

- Joint Housing Solutions Group and the Development of Comprehensive 
Housing Plan - FEMA's Joint Housing Solutions Group partnered with 
Federal, state and local governments, and voluntary agencies, to 
develop a comprehensive housing plan that includes identifying the most 
heavily impacted areas, on-the-spot registration of shelter 
populations, analyzing shelter and mass care operations, transitioning 
applicants to temporary housing, individual case management for 
applicants with major damage to their primary residences, identifying 
available rental resources, assessing and assisting special need 
populations, and working with local voluntary agencies to identify 
additional assistance resources available to residents. 

* National Emergency Family Registry and Locator System (NEFRLS) and 
the National Emergency Child Locator Center (NECLC) These systems are 
activated immediately following disaster declarations, facilitating the 
reunification of displaced family members. These services help local 
and tribal governments and law enforcement agencies track and locate 
children who have become separated from their parents or guardians. 

* Mass Care Deployment to State Operations Center- In advance of 
disaster declarations, FEMA has deployed a mass care staff member to 
the State Operations Center to promote situational awareness and 
enhance coordination with the American Red Cross and reporting of 
shelter statistics. Additionally, FEMA deployed mass care and donations 
management specialists in support of state and local sheltering 
operations, implementation of the National Shelter System, donations 
management, and delivery of mass care services. 

* To provide technical assistance to the JFO, FEMA deployed the FEMA 
Disabilities Coordinator to different disasters this year. The 
Disabilities Coordinator has been invaluable advising mass care as well 
as the Disaster Mobile Home Program (DHOP) regarding unique issues and 
concerns facing those disaster victims with special needs. 

* All affected states utilized the web-based volunteer and donations 
management application that was developed by Aidmatrix Foundation. This 
new resource tool was built to support state emergency management and 
FEMA's voluntary agency partners. The Aidmatrix system was very 
instrumental in helping the donations group acquire and disburse items. 

* In April 2007, as part of the FEMA's reorganization, the Logistics 
Branch was elevated to Directorate level within the Agency. The 
Logistics Management Directorate (LMD) is FEMA's major program office 
responsible for policy, guidance, standards, execution and governance 
of logistics support, services and operations. Since that time, LMD has 
strengthened its business practices by enhancing its relationships with 
logistics partners for a more coordinated logistics response operation. 
Examples include: 

- In September 2007, LMD established a Distribution Management Strategy 
Working Group, comprised of its Federal, private and non-governmental 
organizations logistics partners, to conduct a comprehensive analysis 
and develop a comprehensive distribution and supply chain management 
strategy. Partners in this group include GSA, DOD (USNORTHCOM)/DLA, 
HHS, USACE, USDA USFS, and Mass Care (ESF6). The Resource Management 
Group, a sub-working group, has been established to assist in 
resourcing disaster requests for Logistics supplies and services. 

- LMD has established hundreds of mission-essential standby contracts 
and Inter-agency Agreements (IAAs) to enable more timely response. 

Summary: 

DHS and FEMA continue to implement the remaining PKEMRA provisions, and 
apply lessons learned from this summer's hurricane season to all of 
disaster related activities. We look forward to continuing our 
cooperation with the GAO as we continue to improve the service DHS and 
FEMA offer to our country. 

Sincerely, 

Signed by: 
Marko Bourne: 
Director, Office of Policy and Program Analysis: 

[End of section] 

Enclosure XVI: Contact and Acknowledgements: 

Contact: 

William Jenkins, (202) 512-8957 or jenkinswo@gao.gov: 

Acknowledgements: 

In addition to the contact named above, Leyla Kazaz, Assistant 
Director; and Kathryn Godfrey, Analyst-in-Charge, managed this 
assignment. Patrick Bernard, Gilbert Kim, David Lysy, and Rebecca Makar 
made significant contributions to the work. Christine Davis and Janet 
Temko also made significant contributions to the report by providing 
extensive legal support and a number of related contributions. David 
Alexander assisted with design and methodology. Lara Kaskie contributed 
communications expertise. Other contributors to the work include: Joel 
Aldape, Jack Bagnulo, Carrisa Bryant, Tony DeFrank, Christopher 
Keisling, Brian Lipman, P.J. Lusk, Deborah Sebastian, and Candice 
Wright. 

[End of section] 

Related GAO Products: 

Emergency Management: Observations on DHS’s Preparedness for 
Catastrophic Disasters. [hyperlink, 
http://www.gao.gov/products/GAO-08-868T]. Washington, D.C.: June 11, 
2008. 

National Response Framework: FEMA Needs Policies and Procedures to 
Better Integrate Non-Federal Stakeholders in the Revision Process. 
[hyperlink, http://www.gao.gov/products/GAO-08-768]. Washington, D.C.: 
June 11, 2008. 

Homeland Security: DHS Improved its Risk-Based Grant Programs’ 
Allocation and Management Methods, but Measuring Programs’ Impact on 
National Capabilities Remains a Challenge. [hyperlink, 
http://www.gao.gov/products/GAO-08-488T]. Washington, D.C.: March 11, 
2008. 

National Disaster Response: FEMA Should Take Action to Improve Capacity 
and Coordination between Government and Voluntary Sectors. [hyperlink, 
http://www.gao.gov/products/GAO-08-369]. Washington, D.C.: February 27, 
2008. 

Hurricane Katrina: Ineffective FEMA Oversight of Housing Maintenance 
Contracts in Mississippi Resulted in Millions of Dollars of Waste and 
Potential Fraud. [hyperlink, http://www.gao.gov/products/GAO-08-106]. 
Washington, D.C.: November 16, 2007. 

Information Technology: DHS’s Human Capital Plan Is Largely Consistent 
with Relevant Guidance, but Improvements and Implementation Steps Are 
Still Needed. [hyperlink, http://www.gao.gov/products/GAO-07-425]. 
Washington, D.C.: September 10, 2007. 

Disaster Housing: Implementation of FEMA’s Alternative Housing Pilot 
Program Provides Lessons for Improving Future Competitions. [hyperlink, 
http://www.gao.gov/products/GAO-07-1143R]. Washington, D.C.: August 31, 
2007. 

Homeland Security: Observations on DHS and FEMA Efforts to Prepare for 
and Respond to Major and Catastrophic Disasters and Address Related 
Recommendations and Legislation. [hyperlink, 
http://www.gao.gov/products/GAO-07-1142T]. Washington, D.C.: July 31, 
2007. 

Emergency Management Assistance Compact: Enhancing EMAC’s Collaborative 
and Administrative Capacity Should Improve National Disaster Response. 
[hyperlink, http://www.gao.gov/products/GAO-07-854]. Washington, D.C.: 
June 29, 2007. 

Preliminary Information on Rebuilding Efforts in the Gulf Coast. 
[hyperlink, http://www.gao.gov/products/GAO-07-809R]. Washington, D.C.: 
June 29, 2007. 

Homeland Security: Guidance from Operations Directorate Will Enhance 
Collaboration among Departmental Operations Centers. [hyperlink, 
http://www.gao.gov/products/GAO-07-683T]. Washington, D.C.: June 20, 
2007. 

Emergency Management: Most School Districts Have Developed Emergency 
Management Plans, but Would Benefit from Additional Federal Guidance. 
[hyperlink, http://www.gao.gov/products/GAO-07-609]. Washington, D.C.: 
June 12, 2007. 

Homeland Security: Observations on DHS and FEMA Efforts to Prepare for 
and Respond to Major and Catastrophic Disasters and Address Related 
Recommendations and Legislation. [hyperlink, 
http://www.gao.gov/products/GAO-07-835T]. Washington, D.C.: May 15, 
2007. 

Child Welfare: Additional Federal Action Could Help States Address 
Challenges in Providing Services to Children and Families. [hyperlink, 
http://www.gao.gov/products/GAO-07-850T]. Washington, D.C.: May 15, 
2007. 

Homeland Security: Management and Programmatic Challenges Facing the 
Department of Homeland Security. [hyperlink, 
http://www.gao.gov/products/GAO-07-833T]. Washington, D.C.: May 10, 
2007. 

Gulf Coast Rebuilding: Preliminary Observations on Progress to Date and 
Challenges for the Future. [hyperlink, 
http://www.gao.gov/products/GAO-07-574T]. Washington, D.C.: April 12, 
2007. 

Department of Homeland Security: Progress Made in Implementation of 
Management Functions, but More Work Remains. [hyperlink, 
http://www.gao.gov/products/GAO-08-646T]. Washington, D.C.: April 9, 
2008. 

First Responders: Much Work Remains to Improve Communications 
Interoperability. [hyperlink, http://www.gao.gov/products/GAO-07-301]. 
Washington, D.C.: April 2, 2007. 

Emergency Preparedness: Current Emergency Alert System Has Limitations, 
and Development of a New Integrated System Will Be Challenging. 
[hyperlink, http://www.gao.gov/products/GAO-07-411]. Washington, D.C.: 
March 30, 2007. 

Disaster Preparedness: Better Planning Would Improve OSHA’s Efforts to 
Protect Workers’ Safety and Health in Disasters. [hyperlink, 
http://www.gao.gov/products/GAO-07-193]. Washington, D.C.: March 28, 
2007. 

Public Health and Hospital Emergency Preparedness Programs: Evolution 
of Performance Measurement Systems to Measure Progress. [hyperlink, 
http://www.gao.gov/products/GAO-07-485R]. Washington, D.C.: March 23, 
2007. 

Coastal Barrier Resources System: Status of Development That Has 
Occurred and Financial Assistance Provided by Federal Agencies. 
[hyperlink, http://www.gao.gov/products/GAO-07-356]. Washington, D.C.: 
March 19, 2007. 

Hurricanes Katrina and Rita Disaster Relief: Continued Findings of 
Fraud, Waste, and Abuse. [hyperlink, 
http://www.gao.gov/products/GAO-07-300]. Washington, D.C.: March 15, 
2007. 

Homeland Security: Preparing for and Responding to Disasters. 
[hyperlink, http://www.gao.gov/products/GAO-07-395T]. Washington, D.C.: 
March 9, 2007. 

Hurricane Katrina: Agency Contracting Data Should Be More Complete 
Regarding Subcontracting Opportunities for Small Businesses. 
[hyperlink, http://www.gao.gov/products/GAO-07-205]. Washington, D.C.: 
March 1, 2007. 

Hurricane Katrina: Allocation and Use of $2 Billion for Medicaid and 
Other Health Care Needs. [hyperlink, 
http://www.gao.gov/products/GAO-07-67]. Washington, D.C.: February 28, 
2007. 

Disaster Assistance: Better Planning Needed for Housing Victims of 
Catastrophic Disasters. [hyperlink, 
http://www.gao.gov/products/GAO-07-88]. Washington, D.C.: February 28, 
2007. 

Highway Emergency Relief: Reexamination Needed to Address Fiscal 
Imbalance and Long-term Sustainability. [hyperlink, 
http://www.gao.gov/products/GAO-07-245]. Washington, D.C.: February 23, 
2007. 

Small Business Administration: Additional Steps Needed to Enhance 
Agency Preparedness for Future Disasters. [hyperlink, 
http://www.gao.gov/products/GAO-07-114]. Washington, D.C.: February 14, 
2007. 

Small Business Administration: Response to the Gulf Coast Hurricanes 
Highlights Need for Enhanced Disaster Preparedness. [hyperlink, 
http://www.gao.gov/products/GAO-07-484T]. Washington, D.C.: February 
14, 2007. 

Hurricanes Katrina and Rita: Federal Actions Could Enhance Preparedness 
of Certain State-Administered Federal Support Programs. [hyperlink, 
http://www.gao.gov/products/GAO-07-219]. Washington, D.C.: February 7, 
2007. 

Homeland Security Grants: Observations on Process DHS Used to Allocate 
Funds to Selected Urban Areas. [hyperlink, 
http://www.gao.gov/products/GAO-07-381R]. Washington, D.C.: February 7, 
2007. 

Homeland Security: Management and Programmatic Challenges Facing the 
Department of Homeland Security. [hyperlink, 
http://www.gao.gov/products/GAO-07-452T]. Washington, D.C.: February 7, 
2007. 

Homeland Security: Applying Risk Management Principles to Guide Federal 
Investments. [hyperlink, http://www.gao.gov/products/GAO-07-386T]. 
Washington, D.C.: February 7, 2007. 

Hurricanes Katrina and Rita Disaster Relief: Prevention Is the Key to 
Minimizing Fraud, Waste, and Abuse in Recovery Efforts. [hyperlink, 
http://www.gao.gov/products/GAO-07-418T]. Washington, D.C.: January 29, 
2007. 

Reserve Forces: Actions Needed to Identify National Guard Domestic 
Equipment Requirements and Readiness. [hyperlink, 
http://www.gao.gov/products/GAO-07-60]. Washington, D.C.: January 26, 
2007. 

Budget Issues: FEMA Needs Adequate Data, Plans, and Systems to 
Effectively Manage Resources for Day-to-Day Operations. [hyperlink, 
http://www.gao.gov/products/GAO-07-139]. Washington, D.C.: January 19, 
2007. 

Transportation-Disadvantaged Populations: Actions Needed to Clarify 
Responsibilities and Increase Preparedness for Evacuations. [hyperlink, 
http://www.gao.gov/products/GAO-07-44]. Washington, D.C.: December 22, 
2006. 

Hurricanes Katrina and Rita: Continued Findings of Fraud, Waste, and 
Abuse. [hyperlink, http://www.gao.gov/products/GAO-07-252T]. 
Washington, D.C.: December 6, 2006. 

Suggested Areas for Oversight for the 110th Congress. [hyperlink, 
http://www.gao.gov/products/GAO-07-235R]. Washington, D.C.: November 
17, 2006. 

Hurricanes Katrina and Rita: Unprecedented Challenges Exposed the 
Individuals and Households Program to Fraud and Abuse; Actions Needed 
to Reduce Such Problems in Future. [hyperlink, 
http://www.gao.gov/products/GAO-06-1013]. Washington, D.C.: September 
27, 2006. 

Catastrophic Disasters: Enhanced Leadership, Capabilities, and 
Accountability Controls Will Improve the Effectiveness of the Nation’s 
Preparedness, Response, and Recovery System. [hyperlink, 
http://www.gao.gov/products/GAO-06-618]. Washington, D.C.: September 6, 
2006. 

Disaster Relief: Governmentwide Framework Needed to Collect and 
Consolidate Information to Report on Billions in Federal Funding for 
the 2005 Gulf Coast Hurricanes. [hyperlink, 
http://www.gao.gov/products/GAO-06-834]. Washington, D.C.: September 6, 
2006. 

Child Welfare: Federal Action Needed to Ensure States Have Plans to 
Safeguard Children in the Child Welfare System Displaced by Disasters. 
[hyperlink, http://www.gao.gov/products/GAO-06-944]. Washington, D.C.: 
July 28, 2006. 

Small Business Administration: Actions Needed to Provide More Timely 
Disaster Assistance. [hyperlink, 
http://www.gao.gov/products/GAO-06-860]. Washington, D.C.: July 28, 
2006. 

Disaster Preparedness: Limitations in Federal Evacuation Assistance for 
Health Facilities Should Be Addressed. [hyperlink, 
http://www.gao.gov/products/GAO-06-826]. Washington, D.C.: July 20, 
2006. 

Individual Disaster Assistance Programs: Framework for Fraud 
Prevention, Detection, and Prosecution. [hyperlink, 
http://www.gao.gov/products/GAO-06-954T]. Washington, D.C.: July 12, 
2006. 

Expedited Assistance for Victims of Hurricanes Katrina and Rita: FEMA’s 
Control Weaknesses Exposed the Government to Significant Fraud and 
Abuse. [hyperlink, http://www.gao.gov/products/GAO-06-655]. Washington, 
D.C.: June 16, 2006. 

Hurricanes Katrina and Rita: Improper and Potentially Fraudulent 
Individual Assistance Payments Estimated to Be between $600 Million and 
$1.4 Billion. [hyperlink, http://www.gao.gov/products/GAO-06-844T]. 
Washington, D.C.: June 14, 2006. 

Hurricanes Katrina and Rita: Coordination between FEMA and the Red 
Cross Should Be Improved for the 2006 Hurricane Season. [hyperlink, 
http://www.gao.gov/products/GAO-06-712]. Washington, D.C.: June 8, 
2006. 

Disaster Preparedness: Preliminary Observations on the Evacuation of 
Vulnerable Populations due to Hurricanes and Other Disasters. 
[hyperlink, http://www.gao.gov/products/GAO-06-790T]. Washington, D.C.: 
May 18, 2006. 

Lessons Learned for Protecting and Educating Children after the Gulf 
Coast Hurricanes. [hyperlink, http://www.gao.gov/products/GAO-06-680R]. 
Washington, D.C.: May 11, 2006. 

Federal Emergency Management Agency: Factors for Future Success and 
Issues to Consider for Organizational Placement. [hyperlink, 
http://www.gao.gov/products/GAO-06-746T]. Washington, D.C.: May 9, 
2006. 

Hurricane Katrina: Planning for and Management of Federal Disaster 
Recovery Contracts. [hyperlink, 
http://www.gao.gov/products/GAO-06-622T]. Washington, D.C.: April 10, 
2006. 

Agency Management of Contractors Responding to Hurricanes Katrina and 
Rita. [hyperlink, http://www.gao.gov/products/GAO-06-461R]. Washington, 
D.C.: March 15, 2006. 

Hurricane Katrina: GAO’s Preliminary Observations Regarding 
Preparedness, Response, and Recovery. [hyperlink, 
http://www.gao.gov/products/GAO-06-442T]. Washington, D.C.: March 8, 
2006. 

Emergency Preparedness and Response: Some Issues and Challenges 
Associated with Major Emergency Incidents. [hyperlink, 
http://www.gao.gov/products/GAO-06-467T]. Washington, D.C.: February 
23, 2006. 

Disaster Preparedness: Preliminary Observations on the Evacuation of 
Hospitals and Nursing Homes Due to Hurricanes. [hyperlink, 
http://www.gao.gov/products/GAO-06-443R]. Washington, D.C.: February 
16, 2006. 

Expedited Assistance for Victims of Hurricanes Katrina and Rita: FEMA’s 
Control Weaknesses Exposed the Government to Significant Fraud and 
Abuse. [hyperlink, http://www.gao.gov/products/GAO-06-403T]. 
Washington, D.C.: February 13, 2006. 

Statement by Comptroller General David M. Walker on GAO’s Preliminary 
Observations Regarding Preparedness and Response to Hurricanes Katrina 
and Rita. [hyperlink, http://www.gao.gov/products/GAO-06-365R]. 
Washington, D.C.: February 1, 2006. 

Homeland Security: DHS’ Efforts to Enhance First Responders’ All-
Hazards Capabilities Continue to Evolve. [hyperlink, 
http://www.gao.gov/products/GAO-05-652]. Washington, D.C.: July 11, 
2005. 

Continuity of Operations: Agency Plans Have Improved, but Better 
Oversight Could Assist Agencies in Preparing for Emergencies. 
[hyperlink, http://www.gao.gov/products/GAO-05-577]. Washington, D.C.: 
April 28, 2005. 

Project SAFECOM: Key Cross-Agency Emergency Communications Effort 
Requires Stronger Collaboration. [hyperlink, 
http://www.gao.gov/products/GAO-04-494]. Washington, D.C.: April 16, 
2004. 

[End of section] 

Footnotes: 

[1] Pub. L. No. 107-296, 116 Stat. 2135 (2002). 

[2] The Post-Katrina Act was enacted as Title VI of the Department of 
Homeland Security Appropriations Act, 2007, Pub. L. No. 109-295, 120 
Stat. 1355 (2006). The provisions of the Post-Katrina Act became 
effective upon enactment, October 4, 2006, with the exception of 
certain organizational changes related to FEMA, most of which took 
effect on March 31, 2007. 

[3] Pub. L. No. 107-296, 116 Stat. 2135 (2002). 

[4] Pub. L. No. 93-288, 88 Stat. 143 (1974). 

[5] In limited instances, we have reported actions taken after August 
1, 2008. We collaborated with FEMA to ensure the accuracy of 
information until days before the report was finalized in November 
2008. When FEMA provided us with updates on activities that occurred 
after August 1, 2008 but would cause us to change or remove an area to 
be addressed, we included that information. 

[6] The Post-Katrina Act predated the NRF and referred to the NRF's 
predecessor, the NRP, which was then the name of the document that 
served as the nation's comprehensive framework for the management of 
domestic incidents where federal involvement was necessary. Because the 
Post-Katrina Act encompasses any successor plan to the NRP, it applies 
to the NRF just as it did the NRP. See Post-Katrina Act, § 602(13). 
Therefore, this enclosure will use the term NRF, rather than NRP, in 
discussing any relevant Post-Katrina Act provisions and the status of 
their implementation, unless otherwise appropriate. 

[7] The NAC was not established in time for the council to have its 
intended advisory role in the development of the NRF that was issued in 
January 2008. See GAO, National Response Framework: FEMA Needs Policies 
and Procedures to Better Integrate Non-Federal Stakeholders in the 
Revision Process, [hyperlink, http://www.gao.gov/products/GAO-08-768] 
(Washington, D.C.: June 11, 2008). 

[8] See GAO, Homeland Security: DHS Risk-Based Grant Methodology Is 
Reasonable, But Current Version's Measure of Vulnerability is Limited, 
[hyperlink, http://www.gao.gov/products/GAO-08-852] (Washington, D.C.: 
June 27, 2008). 

[9] We have recommended that FEMA develop policies and procedures for 
future revisions of the NRF, including how it will involve government 
and nongovernmental stakeholders, in particular the NAC, in future 
revisions. See [hyperlink, http://www.gao.gov/products/GAO-08-768]. 

[10] DHS's appropriations acts for fiscal years 2008 and 2009 have 
included the same prohibition on funding the PFO position for any 
Stafford Act event. The prohibition states that, "none of the funds 
provided by this or previous appropriations Acts shall be used to fund 
any position designated as a Principal Federal Official" for any 
Stafford Act declared disasters or emergencies. See Consolidated 
Appropriations Act, 2008, Pub. L. No. 110-161, Div. E, Title V, § 541, 
121 Stat. 1844, 2079 (2007); Consolidated Security, Disaster 
Assistance, and Continuing Appropriations Act, 2009, Pub. L. No. 110-
329, Div. D, § 526, 122 Stat. 3574 (2008). GAO will address the 
implications of this funding prohibition in future work. 

[116] Section 671 of the Post-Katrina Emergency Management Reform Act 
amends the Homeland Security Act of 2002 by adding a new Title XVIII, 
Emergency Communications, §§ 1801-08. 

[12] Pub. L. No. 108-458, § 7303, 118 Stat. 3638, 3843-44 (2004). 

[13] OIC is located within DHS's Science and Technology Directorate. 

[14] Established by Presidential Memorandum on August 21, 1963, the 
National Communications System was created to be a single unified 
communications system to serve the President, Department of Defense, 
diplomatic and intelligence activities, and civilian leaders. The 
National Communications System mandate included linking, improving, and 
extending the communications facilities and components of various 
federal agencies, focusing on interconnectivity and survivability. NCS 
membership currently stands at 24 federal department and agency members 
and is managed by the DHS Under Secretary for National Protection and 
Programs. 

[15] Emergency Support Function 2 provides a structure for coordinating 
federal actions to assist in the restoration of public communications 
infrastructure, public safety communications systems and first 
responder networks. 

[16] Under section 1801(c)(12) of the amended Homeland Security Act, 
OEC is responsible for reviewing interoperable emergency communication 
plans with the DHS Assistant Secretary for Grants and Training. As a 
result of the Post-Katrina Act, the Office of Grants and Training 
transferred to FEMA, and FEMA's Grant Programs Directorate now 
administers preparedness grants. 

[17] Officials from DHS's National Protection and Programs Directorate 
noted, for example, that sections 503(b)(2)(G) and 504(a)(7) of the 
Homeland Security Act, as amended by the Post-Katrina Act, assign 
responsibilities to the FEMA Administrator that are very similar to 
section 1801(c)(6), which delineates the responsibilities of the 
Director for Emergency Communications and section 1807(a), which 
contains requirements for the Secretary of Homeland Security. 

[18] The Intelligence Reform and Terrorism Prevention Act (IRPTA) of 
2004, Pub. L. No. 108-458, § 7303, 118 Stat. 3638, 3843-44 (2004). 

[19] 5 U.S.C. § 552a. 

[20] "The Establishment of the National Emergency Family Registry and 
Locator System," FY 2007 Report to Congress. Published December 2007. 

[21] Section 671 of the Post-Katrina Act is titled the "21st Century 
Emergency Communications Act of 2006." It amends the Homeland Security 
Act of 2002 by adding at the end a new title XVIII, Emergency 
Communications. 

[22] The 9/11 Commission Act requires the NECP to set a date, including 
interim benchmarks as necessary, by which federal and nonfederal 
government entities and emergency-response providers expect to achieve 
a baseline level of interoperability. See Pub. L. No. 110-53, § 301, 
121 Stat. 266, 300 (2007). The NECP sets phased interoperability goals 
with expected completion dates from 2010 to 2013 for different 
jurisdictions. 

[23] The Post-Katrina Act pre-dated the NRF and refers to the NRF's 
predecessor, the National Response Plan (NRP). When the Post-Katrina 
Act was enacted in October 2006, the NRP was the name of the document 
that served as the nation's comprehensive framework for the management 
of domestic incidents where federal involvement was necessary. The NRP 
was subsequently revised and reissued in January 2008 under a new name, 
the National Response Framework. Because the Post-Katrina Act 
encompasses any successor plan to the NRP, it applies to the NRF just 
as it did the NRP. See Post-Katrina Act, § 602(13). Therefore, this 
enclosure will use the term NRF, rather than NRP, in discussing any 
relevant Post-Katrina Act provisions and the status of their 
implementation, unless otherwise appropriate. 

[24] EMAC is an interstate mutual aid agreement that allows states to 
assist one another in responding to disasters. In June 2007, we 
recommended, with FEMA concurring, that FEMA look for ways to build 
EMAC's administrative capacity, such as cooperative agreements, grants, 
and training initiatives, to better develop the nation's disaster 
response capabilities. See GAO, Emergency Management Assistance 
Compact: Enhancing EMAC's Collaborative and Administrative Capacity 
Should Improve National Disaster Response, [hyperlink, 
http://www.gao.gov/products/GAO-07-854] (Washington, D.C.: June 29, 
2007). 

[25] Duncan Hunter National Defense Authorization Act for Fiscal Year 
2009, Pub. L. No. 110-417, § 866, 122 Stat. 4356 (2008). 

[26] 72 Fed. Reg. 63,084 (Nov. 7, 2007). 

[27] 73 Fed. Reg. 53,995 (Sept. 17, 2008). 

[28] Pub. L. No. 110-417, 122 Stat. 4356 (2008). 

[29] Before this provision was enacted, the FAR Councils had published 
a similar proposed rule to amend FAR § 6.302-2 by restricting the 
performance period to no more than 1 year for noncompetitive contracts 
awarded on the basis of unusual and compelling urgency. See 73 Fed. 
Reg. 5,784 (Jan. 31, 2008). 

[30] Section 8(a) small businesses are so called because their business 
development program derives from section 8(a) of the Small Business 
Act, 15 U.S.C. § 637(a). 

[31] The Small Business Administration is currently reassessing its 
role in certifying SDBs. 73 Fed. Reg. 54,881 (Sept. 23, 2008). 

[32] EMAC is an interstate mutual aid agreement that allows states to 
assist one another in responding to disasters. In June 2007, we 
recommended, with FEMA concurring, that FEMA look for ways to build 
EMAC's administrative capacity, such as cooperative agreements, grants, 
and training initiatives, to better develop the nation's disaster 
response capabilities. 

[33] Resource typing is the categorization and description of response 
resources that are commonly exchanged in disasters through mutual aid 
agreements. Standard resource-typing definitions help responders 
request and deploy the resources they need through the use of common 
terminology, and give emergency responders the information they need to 
make sure they request and receive the appropriate resources during an 
emergency or disaster. 

[34] GAO, Presidential Signing Statements--Agency Implementation of Ten 
Provisions of Law, B-309928, Dec. 20, 2007. 

[35] As noted earlier in this enclosure, DHS published the NIMS Draft 
Guideline for the Credentialing of Personnel in August 2008 in response 
to section 510 of the Homeland Security Act, as amended by the Post-
Katrina Act. 

[36] H.R. 6658, 110th Cong. § 103 (2008). 

[37] In general, under section 508 of the Rehabilitation Act of 1973, 
as amended, federal agencies must ensure that their electronic and 
information technology allows for information and data to be accessible 
to individuals with disabilities. 29 U.S.C. § 794d. 

[38] See GAO, Expedited Assistance for Victims of Hurricanes Katrina 
and Rita: FEMA's Control Weaknesses Exposed the Government to 
Significant Fraud and Abuse, [hyperlink, 
http://www.gao.gov/products/GAO-06-403T] (Washington, D.C.: Feb. 13, 
2008). 

[39] FEMA's National Processing Service Centers provide centralized 
disaster application service to FEMA customers and help coordinate with 
other assistance programs. The centers are to provide an automated 
"teleregistration" service--a toll-free phone bank through which 
disaster victims apply for IHP assistance and through which their 
applications are processed and their questions answered. 

[40] This crosswalk includes citations to each section of the Post-
Katrina Act and identifies the enclosure to this letter in which we 
discuss a given section. In some instances, a section of the Post-
Katrina Act amends another statute, principally the Homeland Security 
Act of 2002 (HSA) or the Robert T. Stafford Disaster Relief and 
Emergency Assistance Act (Stafford Act). In such instances, we include 
both the Post-Katrina Act section and, parenthetically, the section of 
the amended statute, for example the HSA or the Stafford Act. 

[41] “Operative Terms” include such things as effective dates, 
definitional provisions, savings clauses, coverage changes, 
authorizations for appropriations, and technical and conforming 
amendments of the Post-Katrina Act. Because the provisions in this 
category are of a technical legal nature, we will not be able to 
address their implementation as free-standing provisions. Although we 
do not present stand-alone materials with respect to “operative terms,” 
we may refer to them as we address related provisions in other 
categories. 

[End of section] 

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