This course provides the fundamental knowledge for FEMA and other Federal emergency management personnel who assist with incident management or incident support of disaster operations.

This course builds on the concepts and principles covered in ICS 100, 200, 700, and 800.

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To receive credit for this course, you must:

Complete all of the lessons. Each lesson will take between 10 and 30 minutes to complete. It is important to allow enough time to complete the course in its entirety.

This lesson provides an overview of the authorities and FEMA planning frameworks that guide FEMA’s incident management and incident support actions in preparing for, preventing, responding to, recovering from, and mitigating effects from all incident levels.

Upon completion of this lesson, you will be able to:

• Describe the purpose of the course.
• Identify significant legal authorities that guide FEMA in preparing for, preventing, responding to, recovering from, and mitigating effects from incidents.

The purpose of this course is to provide an overview of FEMA’s role in responding to and recovering from an incident.

This course prepares FEMA staff for assignments in a Joint Field Office (JFO) or Initial Operating Facility (IOF), Regional Response Coordination Center (RRCC), or the National Response Coordination Center (NRCC).

You will begin by learning about key legal authorities that guide FEMA’s actions.

FEMA has evolved into the organization it is today as a result of the Federal government's response to such historically significant events as the Three Mile Island accident, the eruption of Mount St. Helens, the terrorist attacks of September 11th, and Hurricanes Katrina and Sandy.

For example, the terrorist attacks of September 11th spurred passing of the Homeland Security Act (HSA), the various Homeland Security Presidential Directives, and the NIMS. Hurricane Katrina spurred the creation and passing of the Post Katrina Emergency Management Reform Act (PKEMRA). Hurricane Sandy triggered the Sandy Recovery Improvement Act of 2013 (SRIA).

Thus, various documents—national doctrines, policies, and procedures—have been developed to help FEMA use its resources more effectively and efficiently.

Select this link to learn more about FEMA’s Statutory Authorities (https://www.fema.gov/about-agency).

The Robert T. Stafford Disaster Relief and Emergency Assistance Act (Public Law 100-707), signed into law on November 23, 1988, amended the Disaster Relief Act of 1974 (Public Law 93-288). The Stafford Act constitutes the statutory authority for most Federal disaster response activities, especially as they pertain to FEMA.

The Stafford Act states that "All requests for a declaration by the President that a major disaster exists shall be made by the Governor of the affected State." These requests are made through the regional FEMA office where a Preliminary Damage Assessment is conducted.

Upon the determination of the President, emergency and major disasters can be declared, where Federal assistance is supplemental to State and local efforts to lessen the threat of a catastrophe in the United States.

However, even when the President does not issue a declaration, FEMA may perform certain activities to support the State planning and preparedness functions.

Select this link to learn more about the Stafford Act (www.fema.gov/robert-t-stafford-disaster-relief-and-emergency-assistance-act-public-law-93-288-amended)

44 CFR, which is updated annually, establishes "Emergency Management and Assistance" as an element of the CFR, which is a codification of the general and permanent rules and regulations published in the Federal Register. Title 44 is titled "Emergency Management and Assistance," and Chapter 1 of Title 44 contains the regulations issued by FEMA, including those related to the implementation of the Stafford Act.

44 CFR was developed in response to the Stafford Act, codifying the basic policies and procedures related to implementing the Stafford Act such as:

• 44 CFR 10.13 (https://www.govinfo.gov/content/pkg/CFR-2008-title10-vol1/pdf/CFR-2008-title10-vol1.pdf)
• 44 CFR 10.4 (b) (www.gpo.gov/fdsys/pkg/CFR-2000-title44-vol1/pdf/CFR-2000-title44-vol1-part9-appA.pdf)
• 44 CFR 1.4 (a) (https://www.govinfo.gov/app/details/CFR-2006-title44-vol1/CFR-2006-title44-vol1-sec1-4)
• 44 CFR 1.4 (b) (https://www.govinfo.gov/app/details/CFR-2006-title44-vol1/CFR-2006-title44-vol1-sec1-4)
• 44 CFR 10.1 (a) (https://www.govinfo.gov/app/details/CFR-2008-title44-vol1/CFR-2008-title44-vol1-sec10-1)

Select each section above to learn more.

The Homeland Security Act (HSA) of 2002 created the Department of Homeland Security (DHS) as an executive department of the United States. The HSA consolidated component agencies, including FEMA, into DHS. The Secretary of Homeland Security is the head of DHS and has direction, authority, and control over it. All of the functions of the officers, employees, and organizational units of DHS are vested in the Secretary. The mission of DHS includes preventing terrorist attacks within the United States, reducing America's vulnerability to terrorism, and minimizing the damage and recovering from attacks that do occur. PKEMRA amended the HSA with respect to the organizational structure, authorities, and responsibilities of FEMA and the FEMA Administrator.

The Homeland Security Presidential Directive 5 (HSPD 5), issued on February 28, 2003, directs the establishment of a single, comprehensive NIMS led by the Secretary of Homeland Security that covers the prevention, preparation, support, response, and recovery from terrorist attacks, major disasters, and other emergencies. The implementation of such a system includes plans, doctrine, resource typing credentialing, team and cadre formation, and other activities to enable all levels of government throughout the Nation to work together efficiently and effectively.

HSPD 5 requires all Federal departments and agencies to adopt NIMS and to use it in their individual incident management programs and activities as well as in support of all actions taken to assist State, tribal, and local governments. The directive requires Federal departments and agencies to make adoption of NIMS by State, tribal, and local organizations a condition for Federal preparedness assistance (through grants, contracts, and other activities). NIMS recognizes the role that non-governmental organizations (NGOs) and the private sector have in preparedness and in activities to prevent, protect against, respond to, recover from, and mitigate the effects of incidents.

Select this link to learn more about NIMS (www.fema.gov/pdf/emergency/nims/NIMS_core.pdf).

The National Incident Management System (NIMS) is a structured template used nationwide for both governmental and NGOs to respond to disasters and/or terrorist attacks at the Federal, State, tribal, and local levels of government. NIMS provides a consistent, flexible, and adjustable national template within which government and private entities can work together to manage domestic incidents regardless of their cause, size, location, or complexity.

NIMS components include:

• Preparedness
• Communications
• Information Management
• Command and Management
• Resource Management
• Ongoing Management and Maintenance

Select this link to review the NIMS document (www.fema.gov/pdf/emergency/nims/NIMS_core.pdf).

The Post Katrina Emergency Management Reform Act (PKEMRA) of 2006 clarified and modified the Homeland Security Act with respect to the organizational structure, authorities, and responsibilities of FEMA and the FEMA Administrator. It enhanced FEMA's responsibilities and its authority within DHS and transferred many functions of DHS's former Preparedness Directorate to FEMA. Per PKEMRA, FEMA leads and supports 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, and FEMA is a distinct entity within DHS.

Some of the major provisions that PKEMRA has provided are:

• Requirements for the development of pre-scripted mission assignments as part of the planning efforts for Emergency Support Functions (ESFs) response efforts
• NIMS and the National Response Framework as the framework for emergency response and domestic incident management
• Direction for the development of a National Disaster Recovery Strategy and National Disaster Housing Strategy
• Amendment to the Stafford Act to direct FEMA to appoint a Disability Coordinator to ensure that the needs of individuals with disabilities are being addressed in emergency preparedness and disaster relief
• FEMA Qualification System

Preparedness requires the commitment of our entire Nation. Presidential Policy Directive-8 (PPD-8), issued on March 30, 2011, describes the Nation's approach to preparedness-one that involves the whole community, including individuals, businesses, community- and faith-based organizations, schools, and all levels of government, such as, State, local, tribal, Territorial, and insular governments.

PPD-8 links together national preparedness efforts using the following key elements:

• National Preparedness System: How We Get There
• National Planning System: What We Deliver
• Annual National Preparedness Report: How Well We Are Doing
• Whole Community Initiative: Who We Engage

Select this link for additional information on PPD-8 (www.fema.gov/learn-about-presidential-policy-directive-8).

PPD-8 calls for development and maintenance of a National Preparedness Goal defining the core capabilities necessary to prepare for the specific types of incidents posing the greatest risk to the security of the Nation. The Goal will establish concrete, measurable, and prioritized objectives to mitigate specific threats and vulnerabilities-including regional variations of risk-and emphasize actions intended to achieve an integrated, layered, accessible and all-of-Nation/whole community preparedness approach, while optimizing the use of available resources.

DHS, in coordination with other executive departments and agencies, and in consultation with State, local, tribal, and Territorial governments; the private and non-profit sectors; and the general public, was charged with developing and submitting the first edition of the National Preparedness Goal. The Goal is reviewed regularly to evaluate consistency with applicable policies, evolving conditions, and the NIMS.

An important part of the National Preparedness System is the five National Planning Frameworks. They include:

• National Prevention Framework
• National Protection Framework
• National Mitigation Framework
• National Response Framework
• National Disaster Recovery Framework

The Frameworks describe guiding principles, core capabilities, and critical tasks for the mission area, as well as coordinating structures and key roles and responsibilities for the whole community. Each framework is supported by an interagency operational plan. These Frameworks are integrated to ensure interoperability across all mission areas.

Select this link to review the Overview of the National Planning Frameworks document (https://www.fema.gov/sites/default/files/2020-04/NRF_FINALApproved_2011028.pdf).

National Prevention Framework

The National Prevention Framework helps achieve the National Preparedness Goal of a secure and resilient Nation that is optimally prepared to prevent an imminent terrorist attack within the United States.

Select this link to review the National Prevention Framework document (https://www.fema.gov/sites/default/files/2020-04/National_Prevention_Framework2nd-june2016.pdf).

The National Protection Framework is currently under development. This Framework will provide guidance and unifying principles required to safeguard the Nation against acts of terrorism and man-made or natural disasters.

Select this link to review the National Protection Framework document (https://www.fema.gov/media-library-data/1466017309052-85051ed62fe595d4ad026edf4d85541e/National_Protection_Framework2nd.pdf).

The National Mitigation Framework addresses how the Nation will develop, employ, and coordinate mitigation core capabilities to reduce loss of life and property by lessening the impact of disasters.

Select this link to review the National Mitigation Framework document (https://www.fema.gov/media-library-data/1466014166147-11a14dee807e1ebc67cd9b74c6c64bb3/National_Mitigation_Framework2nd.pdf).

The National Response Framework (NRF) is a guide to how the Nation responds to all types of disasters and emergencies. It describes specific authorities and best practices for managing incidents that range from the serious but purely local to large-scale terrorist attacks or catastrophic natural disasters.

Select this link to review the National Response Framework (NRF) document (https://www.fema.gov/sites/default/files/2020-04/NRF_FINALApproved_2011028.pdf).

The National Disaster Recovery Framework (NDRF) is a guide to promote effective recovery, particularly for those incidents that are large-scale or catastrophic.

Select this link to review the National Disaster Recovery Framework (NDRF) document (https://www.fema.gov/sites/default/files/2020-06/national_disaster_recovery_framework_2nd.pdf).

The Sandy Recovery Improvement Act (SRIA) of 2013 authorizes several significant changes to the way FEMA may deliver disaster assistance under a variety of programs. Specifically, SRIA changes the following programs and processes:

• Public Assistance
• Hazard Mitigation
• Dispute Resolution
• Federal Assistance to Individuals and Households
• Individual Assistance
• Tribal Requests for a Major Disaster or Emergency Declaration

Select this link to review the Stafford Act (www.fema.gov/media-library/assets/documents/15271?fromSearch=fromsearch&id=3564).

Select this link to review the Sandy Recovery Improvement Act of 2013 Fact Sheet (https://www.fema.gov/disasters/sandy-recovery-improvement-act-2013).

• FEMA is authorized to develop alternative procedures that an applicant may elect to use for Public Assistance permanent work and debris removal projects.
• FEMA may expeditiously implement this authority as a pilot program until such time that the Agency promulgates implementing regulations.
• Once implemented, FEMA may apply these alternative procedures to future emergencies and major disasters, but may also do so in current declared events for projects where construction has not yet begun.
• These alternative procedures will, at minimum, include the following specified procedures:
• Permanent Work Alternative Procedures
• Debris Removal Work Alternative Procedures

• Streamlined Procedures: Directs FEMA to expedite the National Environmental Policy Act and the National Historic Preservation Act compliance processes. Additionally, FEMA may implement streamlined procedures that consider multiple structures as a group for an analysis of cost-effectiveness and satisfaction of cost-share requirements.
• Advance Assistance: Allows FEMA to provide up to 25 percent of the estimated costs for eligible hazard mitigation measures to a State grantee before eligible costs are incurred
• Allows FEMA to waive notice and comment rulemaking to expeditiously implement State administration of the Hazard Mitigation Grant Program (HMGP), if FEMA determines that doing so is necessary to expeditiously implement the administration of HMGP by States as a pilot program.
• Once implemented, FEMA may apply this provision to previously declared disasters for which the application period has not ended as of January 29, 2013, and all future disasters.

• Directs FEMA to establish a nationwide dispute resolution pilot program, including arbitration by an independent review panel, for Public Assistance projects.
• This nationwide dispute resolution pilot program will only be available for:
• Disputes in an amount of at least $1 million,
• Projects with a non-federal cost share requirement, and
• Applicants that have completed a first appeal pursuant to 44 C.F.R. § 206.206.
• FEMA will establish an independent arbitration review panel and decisions made by the independent review panel will be binding.
• Requests for review under this nationwide dispute resolution pilot program, once implemented, must be submitted by December 31, 2015.
• Arbitration available under this nationwide dispute resolution pilot program is separate and distinct from the arbitration process established for Public Assistance projects for major disasters declared in response to Hurricanes Katrina and Rita.

• Amends the Stafford Act to provide for an option for the Chief Executive of a federally recognized Indian tribe to make a direct request to the President for a major disaster or emergency declaration. The amendment provides that Tribes may elect to receive assistance under a State’s declaration, provided that the President does not make a declaration for the Tribe for the same incident.
• Authorizes the President to establish criteria to adjust the non-federal cost share for an Indian tribal government consistent to the extent allowed by current authorities.
• Requires FEMA to consider the unique circumstances of tribes when it develops regulations to implement the provision.
• Amends the Stafford Act to include federally recognized Indian tribal governments in numerous references to state and local governments within the Stafford Act.

Let’s summarize what you have learned in this lesson:

• This course provides the fundamentals of management and support coordination of Federal disaster operations.
• Various legal authorities have guided FEMA in using its resources more effectively and efficiently, including:
• 44 CFR
• HSA
• HSPD 5
• PKEMRA
• PPD-8
• SRIA
• The Stafford Act

Now that you've been introduced to the main topics of this course, in the next lesson, you will learn about FEMA’s doctrine.