Recovery Function Annex I. Introduction A. This portion of the Federal Response Plan (FRP) describes the structure and coordina- tion activities to implement the array of Federal disaster programs, support, and technical services that directly assist individuals, families, businesses (including farms), and State and local governments to recover from the effects of a major disaster or emergency declared by the President. The fundamental assumption is that recovery is a cooperative effort among Federal, State, local, and voluntary agencies and the private sector in partnership. B. Sometimes disaster events require only the implementation of Federal and State recovery and mitigation programs, such as disaster loans, the Hazard Mitigation Grant Program, or Disaster Housing. They may not require Federal emergency response actions, or only limited Federal response actions. For this reason, this new part of the FRP has been included. It has two purposes: 1. To describe separately the coordination and implementation of recovery programs that occur outside the FRP's Emergency Support Function (ESF) structure; and 2. To document the linkages that exist among response, recovery, and mitigation activities. II. Definition of Terms, Scope A. "Recovery activities" refer to actions by disaster victims that enable them to begin the process of rebuilding their homes; replacing property; resuming employment; restoring their businesses; permanently repairing, rebuilding, or relocating public infrastructure; and mitigating future disaster losses. It also refers to Federal Government programs of assistance, support, and technical services that facilitate disaster victims' recovery actions — such as grants and low-interest loans for repair or replacement of homes, businesses, property, and infrastructure; technical assistance; and education and information. B. Recovery activities can begin immediately after a Presidential declaration. When search and rescue, lifesaving, and emergency measures are well under way or nearly complete, individuals, families, and businesses seek funding and services to repair or replace their damaged property. State and local governments plan the rebuilding of infrastructure and services, and seek sources of funding for sustainable redevelopment of their communities. The Federal Government collaborates with the State in planning and coordinating the implementation of recovery programs to support families, businesses, and governments and initiates the delivery of recovery services. C. Recovery activities should be carried out in the context of long-term redevelopment of viable, disaster-resistant communities. In this context, recovery activities include implementation of postdisaster mitigation programs and opportunities for disaster victims at all levels to make wise rebuilding decisions. III. Policies A. Federal Authorities 1. The Robert T. Stafford Disaster Relief and Emergency Assistance Act is the authority for implementation of the FRP, including the recovery functions detailed in this document and the National Flood Insurance Program (NFIP). The Department of Homeland Security's (DHS's) authorities derive in part from the Stafford Act. 2. Other Federal agencies have separate legislation and independent authorities to declare a disaster and to provide assistance. Examples include the Small Business Administration (SBA), whose Administrator is empowered by the Small Business Act of 1953 to declare a disaster for the purpose of providing disaster loan assistance based on physical damage and economic injury; and the U.S. Department of Agriculture (USDA), whose Secretary (and other agency officials) may designate counties eligible for various types of emergency loans for physical damage and crop losses. Where these actions occur independently outside a Presidential declaration, the FRP does not apply. 3. Some agencies' programs are specifically designed for disaster relief, such as the SBA disaster loan program. Others, e.g., the Department of Housing and Urban Development (HUD) Community Development Block Grant program, are not designed as disaster assistance resources but may be used by grantees, in whole or in part, to address disaster recovery needs. Supplemental appropriations may be required to provide the necessary funding. B. Coordination and Planning as Key Elements in Recovery 1. The Stafford Act assigns to DHS the principal coordination function — the inter- active process by which multiple Federal assistance programs are reviewed, initiated, implemented, and delivered to address the unique needs of a particular disaster area. (DHS also is responsible for funding, managing, and delivering certain Stafford Act programs.) Systematic coordination among Federal agencies and States is necessary before and during a disaster to ensure effective, efficient delivery of the array of recovery programs that can aid disaster victims in alleviating damage, hardship, loss, and suffering. The Federal coordination process must operate effectively, beginning "bottom up" in the field at the Disaster Field Office (DFO), with the Federal Coordinating Officer (FCO) and staff interacting with State and local governments and being supported by headquarters (HQ) to resolve major policy and resource issues. The President assigns the FCO and the Governor names a State Coordinating Officer (SCO) to focus interagency coordination. 2. Before a disaster, interagency planning and coordination provide a foundation for strengthening relationships among Federal and State agencies, voluntary organizations, and private sector entities; identifying inconsistencies and overlaps in recovery programs; streamlining program delivery; furthering intergovernment partnerships; and improving customer service. Coordination is critical to promote efficient, timely, consistent Federal action. A structured approach to recovery planning also incorporates mitigation activities and lays the groundwork for the State to oversee longer term redevelopment and reconstruction that promote sustainable development. 3. Interagency meetings facilitate understanding and familiarity with recovery programs and priorities. Contacts can be fostered in predisaster meetings and in meetings during disaster operations with recovery counterparts. Meetings in both settings serve to: a. Share management information and assessments; b. Identify short-term and more protracted needs; c. Discuss resource allocation issues, including funding; d. Identify critical environmental issues; e. Resolve program duplication issues; f. Discuss and resolve timing issues (e.g., establishment of centers and workshops, issuance of public information); g. Establish priorities and report progress in meeting established priorities; h. Identify and resolve overlaps or shortfalls in Federal or State programs as they arise in the field; i. Discuss and suggest solutions for issues arising from Community Relations contacts; and j. Ensure coordinated Federal activities that promote community sustainability. 4. The involvement of voluntary organizations and private sectors at the national, State, and local levels is critical to the success of a disaster recovery mission. Voluntary organizations, including the American Red Cross, the Mennonite Disaster Service, The Salvation Army, and other organizations, are encouraged to provide leadership and to coordinate with Federal, State, and local governments in recovery planning and program implementation. Voluntary Agency Liaisons at DHS regional offices serve as the principal linkages between DHS and voluntary organizations, and as conveners and coordinators of voluntary organization local consortiums. These liaisons assist in supporting community-based long-term recovery organizations, aid in developing State-based voluntary coalitions called Voluntary Organizations Active in Disaster (VOADs), and coordinate between the FCO and voluntary organizations during disaster operations. A counterpart national organization known as the National Voluntary Organizations Active in Disaster (NVOAD) serves as a forum for nonprofit disaster relief organizations to meet in disaster preparedness periods to discuss emergency management issues, share disaster experiences, and develop organizational relationships. C. Determination of Recovery Program Priorities 1. The overall responsibility for recovery rests with State and local governments. The FRP recognizes the primacy of State and local governments in defining recovery requirements and identifying needs. The Federal Government's role is to complement and supplement State, local, and private resources to facilitate recovery. 2. State and local governments define recovery priorities in the public sector. However, the FCO is charged with making a management information assessment of the needs caused by the disaster or emergency. This assessment builds on the Preliminary Damage Assessment in that it provides to program managers at all levels of government the information needed to implement, manage, and staff disaster assistance programs and to prioritize the types of assistance most urgently needed. The management assessment should be conducted jointly (as appropriate) between Federal and State agencies, and continue as needed until the programs not only are in operation but are being appropriately implemented. D. Recovery Concepts and Requirements As response phases into recovery, and when the Federal partners begin to coordinate recovery program priorities, certain Federal laws and requirements must be used as guidance in initiating and implementing recovery programs. 1. Floodplain Management, Flood Insurance, Environmental Protection, Historic Preservation Under Executive Order (EO) 11988, Floodplain Management, all Federal agencies are required to take action to reduce the risk of flood loss; minimize or eliminate the impact of flooding on human safety, health, and welfare; and restore and preserve the natural and beneficial functions of floodplains while carrying out their programs and activities. Federal agency implementation of EO 11988 is critical during recovery because reconstruction or repair activities offer opportunities for economically feasible flood loss-reduction. Implementation of floodplain management measures through local community participation in the NFIP also is a key component of recovery operations. Local floodplain management ordinances may require repair and reconstruction activities to meet prudent construction code requirements that mitigate future losses. Flood insurance policies now provide additional coverage to assist in paying the costs of bringing existing construction into compliance with current codes. The Office of Management and Budget and the Council on Environmental Quality jointly issued a policy guidance memorandum on February 18, 1997, titled Floodplain Management and Procedures for Evaluation and Review of Levee and Associated Restoration Projects, which emphasized the need to consider nonstructural alternatives to flood protection during recovery and the need for coordination at all levels of government. The goal is "to achieve a rapid and effective response to damaged flood and floodplain management systems that will minimize risk to life and property, while ensuring a cost-effective approach to flood damage mitigation and floodplain management and the protection of important environmental and natural resource values that are inherent to the floodplain and adjacent lands." This policy reflects the fact that recovery should take place in a climate of attention to floodplain management considerations (the Flood Disaster Protection Act of 1973, as amended), EO 11988, environmental considerations (the National Environmental Policy Act (NEPA) of 1969, as amended, and other associated environmental laws), and flood insurance purchase and maintenance requirements (National Flood Insurance legislation, including the National Flood Insurance Reform Act of 1994). NEPA provides an umbrella under which agencies review compliance with a host of Federal environmental legislation and other related issues, such as floodplain and wetlands management, endangered species, historic preservation, and environmental justice issues. Some response activities are exempt from specific NEPA review requirements but must still comply with other environmental statutes. As recovery programs get under way, compliance with environmental legislation deepens, but for the vast majority of projects the environmental review process is expedited through the use of categorical exclusions. DHS and other Federal agencies follow their agency regulations, which specify the level of review required for specific recovery program activities. In siting temporary or permanent structures, the Federal and State agencies agree to comply, within the bounds of recovery program laws and regulations, with the spirit and letter of floodplain management and environmental legislation as a way of protecting people, property, and structures against future threats. Federal and State agencies also are encouraged to preserve properties with a historical significance as part of the assistance decision-making process. 2. Mitigation and Risk Management a. Federal agencies commit to assist in rebuilding structures and facilities and restoring land in a way that minimizes risk of future damage and achieves the goal of building disaster-resistant communities. The terms that describe these concepts — "mitigation" and "risk management" — are often used as a unit when they are defined as "sustained actions taken to reduce or eliminate long- term risk to people, property, and structures from hazards and their effects." The concepts of mitigation and risk management are based on the premise that money spent on mitigation will save significant future money by reducing the vulnerability of individuals, businesses, and communities to future disasters. Mitigation is critical to the responsibility of all Federal agencies to provide short-term and long-term solutions to minimize the effects of disasters. The Deputy FCO for Mitigation (DFCO-M) has a leadership role in promoting the concepts and programs of mitigation and risk management. Mitigation — as a concept translated into functional programs — should permeate all recovery activities undertaken at the State, local, and even individual levels, regardless of the source of funding for activities or projects. b. Nonstructural alternatives to building and repairing structures and restoring former capability should be considered as mitigation/risk management opportunities (e.g., property acquisition, relocation of flood-threatened structures, insurance, insurance revenue plans). Through early planning and consultation with Federal agencies that have statutory mitigation authorities, agencies should also recognize the balance between objectives in recovery planning, such as those involved with temporary measures versus permanent restorative work. State and local governments will be provided information and technical assistance required for the careful community recovery planning that will result in future disaster-resistant communities. It is critical to incorporate mitigation and risk management concepts and activities into recovery planning. 3. Other Crosscutting Requirements In addition to the objectives of floodplain management, environmental protection, historic preservation, mitigation, and risk management, agencies must remain cognizant of additional crosscutting statutory and other reasonable protections in facilitating or providing resources for disaster recovery. These considerations include civil rights, environmental justice, fair housing, affordable housing, sustainable development, seismic safety, affordable insurance, disaster-resistant communities, Federal and State coastal zone management requirements, drought-resistant crop planting, and crop insurance. IV. Planning Considerations A. Planning for recovery begins before a disaster. Recovery coordination necessary to implement disaster assistance programs takes place when lifesaving and emergency operations may still be ongoing. The requirements for staffing to be devoted to recovery operations are determined as early as possible. B. State and local governments are responsible for identifying needs, establishing recovery priorities, and requesting appropriate assistance; for contributing cost shares as established by law and regulation; for dealing with land use, floodplain management, development, and permitting and land-use waiver issues; and for identifying sites for temporary facilities. State and local resources to carry out these responsibilities may be overwhelmed, requiring Federal technical and financial assistance. C. In a major disaster of significant impact, the establishment of the formal recovery processes (teleregistration for Disaster Housing, SBA disaster loans, and grants; opening of Disaster Recovery Centers (DRCs)) and implementation of the other agencies' recovery programs should be well-planned and coordinated, and should start as early as practicable. D. Information-sharing protocols, including formal coordination meetings, are critical for interagency coordination, good customer relations, and program implementation. E. The Lead Federal Agency (LFA) (usually DHS) has responsibility for coordinating (rather than directing or managing) the implementation and funding processes of other Federal agency programs. DHS does not fund programs that are within the authorities of another Federal agency, or other agencies' participation in disaster operations. F. Mitigation programs and choices are most effective and economical if implemented in the early stages of recovery or before a disaster occurs (such as buying insurance or adopting appropriate codes through participation in the NFIP or planning efforts with NFIP Flood Mitigation Assistance funds). G. The concept of sustainability brings a relatively new approach to environmental, economic, and social thought and has the potential to enhance the achievement of mitigation goals in the postdisaster (as well as predisaster) environment. Sustainability is development that maintains or enhances economic opportunity and community well-being while respecting, protecting, and restoring the natural environment upon which people and economies depend. Sustainable redevelopment is simply the application of the concepts and practices of sustainable development to the disaster recovery process. V. Concept of Operations A. General 1. Federal agencies operate as a team in disaster recovery, bringing to the table the resources of their agencies to address identified needs. The President's disaster program is coordinated by DHS. Agencies share their program information and make their assistance available through the coordination mechanism of the FRP when a Presidential declaration is made. 2. The initiation of recovery programs is based on the fact that response actions are well under way (or have not been needed) and recovery actions would not interfere with ongoing response activities; that the communities and families affected are ready for the decision making that the programs require; that effective, coordinated, Federal-State recovery planning continues to take place; and that communications and support facilities for effective recovery have been restored. The FCO makes use of coordination meetings with State and local officials, along with Federal agency recovery officials, to identify priorities and programs requested, identify and resolve funding issues, and review the milestones for program delivery. Milestones should be established only after consultation with all major programs. 3. Recovery program funding is provided directly to the affected State, locality, business, or individual/family. Where assistance is provided to a State for community/infrastructure recovery programs, the State administers the grant and passes the funding to affected communities. (This method contrasts with the funding mechanisms used for response activities that include procurement from commercial sources and issuance of mission assignments to agencies providing direct Federal assistance.) B. Recovery Organization in the Disaster Field Office The Emergency Response Team (ERT) Operations Section in the DFO includes a Human Services Branch and an Infrastructure Support Branch. These branches, along with the DFCO-M, form the program part of the recovery organization. The Operations Section Chief is the central coordination point for Federal and State agencies and voluntary organizations in the implementation of recovery programs. (These responsibilities may be delegated to the Human Services Branch or Infrastructure Support Branch, and also may be accomplished by the DFCO-M.) In addition, liaisons among the Human Services and Infrastructure Support Branches and the Mitigation organization may be appointed for intra-agency coordination. Agencies having recovery programs and support and technical services will be included in the ERT organization. The structure will expand or contract as appropriate, depending on the nature of the disaster recovery needs. Where no response component is established, the operation may be scaled back to include only the Human Services Branch and/or the Infrastructure Support Branch and/or the Mitigation organization. 1. Human Services Branch a. This branch is staffed by the Individual Assistance Officer (IAO), other program officers, DRC personnel, program liaisons, and others. It is led by the IAO, whose functions are to: (1) Assist the FCO to assess individual, family, and business needs in the disaster area and, working with State and local officials and other Federal agencies, initiate programs that address those needs; (2) Initiate advertisement of DHS's toll-free teleregistration service and establish one or more DRCs. Openings should be coordinated with the program delivery needs of all Federal and State agencies, including SBA; (3) Coordinate program implementation with agencies and organizations; (4) Initiate delivery of the individual assistance programs authorized by the Stafford Act; (5) Plan and coordinate with the National Processing Service Centers (NPSCs) the receipt and processing of applications for the Disaster Housing program; refer cases to the State for processing in the Individual and Family Grant (IFG) program; and coordinate with SBA the delivery of its disaster loan programs; (6) In coordination with the NPSCs, ensure policies and procedures are in place to prevent and rectify duplication of benefits or receipt of excessive assistance; and (7) Perform grant management functions with respect to grant programs for individuals/families that are implemented by DHS and the State. b. Where the size of the disaster warrants, the IAO may appoint Assistant or Deputy IAOs, or the Individual Assistance Officer, to manage the specific program groups within the In Human Services Branch. DHS staff, along with representatives from the State and Federal agencies with assistance programs in each of these groups, should staff the branch: (1) ESF #6 — Mass Care and ESF #11 — Food. In a recovery operation that also involves response, these ESFs will be included in the Human Services Branch. See the appropriate ESF annex for details and responsibilities; (2) Disaster Housing Group. A DHS representative leads this group, along with appropriate State representation, especially if a portion of the mission is to be performed by the State. Functions such as policy coordination, resource identification, and manufactured housing operations (including environmental review), and tasks such as project monitoring and preplacement interviewing are among the responsibilities of the group; (3) IFG Group. The IFG program is funded jointly by DHS and the State, but is administered by the State. DHS and the State should co-lead this function, which consists of technical assistance to the State, training, funding, grant management, and program monitoring; (4) Program Coordination Group. This group handles the issues not enumerated above. Particularly important is the function of coordination with SBA and the Farm Services Agency (and other USDA Federal and State agencies). Other agencies that can be coordinated through this group include the Internal Revenue Service, Social Security Administration, Department of Health and Human Services, Department of Labor, and Young Lawyers Division of the American Bar Association. Program emphases include SBA disaster loans, farm programs, tax counseling, Social Security check replacement, Crisis Counseling Assistance and Training, stress management counseling programs, Disaster Unemployment Assistance, and Disaster Legal Services. Establishment of application, intake, or counseling sites to accommodate these and other applicable programs should be coordinated within the group; (5) Donations Management Group. Where the State is prepared to handle donations management, this function should be led by the State. Other- wise, it should be led jointly by the State and DHS. Functions include setting up a toll-free telephone number, matching donated goods and services with validated needs, setting up a Donations Coordination Team, and overseeing the shipping, receiving, and distribution of goods and services; (6) Voluntary Organization Coordination Group. DHS's Voluntary Agency Liaisons lead this function, which is focused on starting case assistance to address unmet needs, working with voluntary organizations to develop community-based long-term recovery organizations to manage case assistance related to unmet needs, and coordinating volunteers. Representatives from national, State, and local voluntary organizations with programs applicable in the disaster area should staff this function, as far as practicable; and (7) Agencies offering support and technical services in the human services arena will also staff the Human Services Branch. 2. Infrastructure Support Branch The Infrastructure Support Branch is headed by the Infrastructure Support Branch Chief and is staffed with Public Assistance Officers, Public Assistance Coordinators, and Project Officers who are responsible for the administration and proper operation and delivery of assistance to State and local applicants. Personnel from ESF #3 — Public Works and Engineering and response representatives from ESF #12 — Energy also staff the branch. Staff from other agencies offering support and technical services also may be attached to the branch, as well as liaison with the DFCO-M. The Infrastructure Support Branch Chief's functions are to: a. Coordinate the implementation and management of recovery programs between and among Federal and State officials; b. Serve as technical infrastructure program advisor to the FCO; c. Supervise other Federal agencies providing direct Federal assistance under a DHS mission assignment; d. Coordinate the completion of mission assignments; e. Identify mitigation opportunities; and f. Work with the Public Assistance Officer to carry out recovery functions for programs authorized under the Stafford Act. 3. Mitigation Operations a. The Deputy FCO for Mitigation leads this organization, which is staffed with program specialists, field coordinators, and technicians. Activities include: (1) Coordinating between and among Federal and State officials the implementation and management of mitigation activities; (2) Providing technical assistance in execution of the Early Implementation Strategy; (3) Providing technical support to the IAO, Infrastructure Support Branch Chief, and Community Relations staff; (4) Planning comprehensively for hazard mitigation; (5) Addressing environmental consequences of the disaster, including those in coastal zones; (6) Mapping hazards and analyze risks, which may be done by interagency hazard mitigation teams; (7) Accomplishing cost-benefit analysis and training; (8) Assisting communities to develop building codes; (9) Developing and delivering training and education programs; (10) Disseminating public awareness and information materials at DRCs; (11) Establishing Reconstruction Information Centers (RICs) to offer mitigation and reconstruction information assistance; (12) Identifying disaster-specific mitigation issues, strategies, opportunities, and measures; (13) Working within DHS and other Federal agencies to coordinate opportunities for long-term recovery with State and local planning officials, when appropriate; and (14) Assisting communities to promote sustainable development. b. As the Human Services and Infrastructure Support Branches begin early assessments of needs during response, it is also critical that the Mitigation organization assemble and coordinate relevant Federal and State agencies to assess mitigation program needs and match Federal and State resources and programs to meet those needs. This early implementation strategy sets goals for all mitigation partnership players and provides a platform for ongoing coordination and revision of the strategy as necessary. c. Several Federal mitigation-related programs (e.g., the NFIP, the Hazard Mitigation Grant Program, and the Earthquake Program) are administered through existing grant mechanisms and standing relationships with State and local governments. These relationships, as well as those established by the FRP and potential relationships with agencies involved in recovery activities, increase the opportunity for communication and coordination of mitigation in the aftermath of a disaster. d. To achieve optimum effectiveness, mitigation resources and coordination within the recovery context in a DFO should flow through the centralized function of the DFCO-M, using staff of response operations. After DFO closure, the coordination function is transferred to the Mitigation Division of the DHS Regional Office or another LFA office. Mitigation operations have the flexibility to adapt to different sizes and types of disasters. Mitigation personnel will participate in intra-agency and interagency coordination to assist in identifying mitigation opportunities and areas of possible funding. VI. Assistance to Individuals, Families, and Businesses This section describes the initiation and coordination of programs providing recovery assistance directly to individuals, families, and businesses. It also describes the initiation of the process by which individuals gain access to Disaster Housing, IFG, and disaster loan programs (administered by DHS, DHS-State, and SBA respectively). Other Federal agencies, as well as State and voluntary organizations, also have programs that may be available to disaster victims. A matrix outlining these programs is included at the end of this annex. A. Program Initiation Some recovery programs for individuals, families, and businesses are automatically triggered by the specific language of the President's declaration. Others, such as the Nuclear Regulatory Commission's insurance benefit program in the event of a nuclear incident and certain farm benefit programs operated by USDA, do not require a Presidential declaration, but may require a State or local request. Still others, such as the Crisis Counseling Assistance and Training program, may be available following a Presidential declaration if needed and upon the Governor's request and specific agency approval. During the initial field-level coordination meetings of recovery agencies, program representatives should advise the FCO on whether any of the needed programs must be requested separately. Plans should be made for: 1. Providing technical assistance to the State for requesting these programs; 2. Arranging for damage or management information assessments; 3. Arranging for any State cost-sharing required by law or regulation; and 4. Noting and observing any timeframes associated with those requests. B. Combined Registration and Inspection for Housing, Disaster Loans, and Individual and Family Grant Assistance 1. DHS establishes a toll-free registration telephone number (often known as tele- registration) to give individuals, families, and businesses access to three widely used programs: the Disaster Housing program, the SBA disaster loan program, and the IFG program administered by the State. Teleregistration service is available in a variety of languages. The telephone bank also offers referrals to many other Federal, State, local, and voluntary organization programs and resources. Agencies having local offices should supply information to DHS about how to contact them as soon as possible after a disaster declaration, or, ideally, during predisaster planning meetings or conferences. 2. DHS provides inspection services both for the Disaster Housing program and to assist States in administering the IFG program. Inspectors verify the extent of damages and the value of losses to housing and other personal property. DHS refers applications and inspection information to SBA for its information in addressing housing and personal property needs. Finally, DHS assists SBA by making additional determinations about whether the applicant should be referred to SBA for a disaster loan based on criteria provided by SBA, and by making subsequent referrals of SBA loan denials to the State for meeting unmet needs. 3. DHS processes Disaster Housing and IFG applications at NPSCs, which operate another critical customer service, the helpline. Assistance is available through this toll-free telephone number in determining the status of applications and obtaining referrals to sources of assistance other than Disaster Housing, disaster loans, and IFG. Federal, State, local, and private organizations should provide timely and accurate referral information to helpline staff. 4. DRCs may be opened to provide on-site information services. These may vary in each disaster and include taking applications, serving as a forum for State and local agencies' disaster programs, assisting families and businesses to fill out SBA disaster loan applications, answering status questions, or providing reconstruction and mitigation information. Federal agencies often are represented in DRCs to offer and explain programs that are tailored to meet disaster victims' and service providers' needs (e.g., HUD's section 203(k) mortgage assistance programs for disaster victims). The FCO and IAO will coordinate with Federal, State, voluntary, and private-sector partners who offer services to establish, identify the purposes of, staff, and set the days and hours of operation of these centers. C. Program Procedures of Other Agencies Other Federal, State, local, and voluntary organizations have established procedures for accepting and processing disaster applications. They may have toll-free telephone lines or sites where individuals, families, and businesses may receive information and application assistance for their specific recovery programs. Components of other agency programs should be coordinated with the FCO and his or her staff (the ERT Operations Section Chief, IAO, and/or Infrastructure Support Branch Chief), State and local government staff, and DHS, so consistent decision making and public information may be provided. Public affairs offices of Federal and State agencies and voluntary organizations should be advised of all recovery activities. Coordination meetings among agencies offering assistance are ideal forums in which to ensure customers receive accurate, timely service for identified needs. D. Sequence of Assistance Delivery and Duplication of Benefits 1. Disaster assistance programs for individuals, families, and businesses often overlap in their coverage and purpose. Section 312 of the Stafford Act, Duplication of Benefits, requires that no person, business concern, or other entity receive Federal disaster assistance for any part of a loss that has been covered by any other program, insurance, or any other source. DHS has established a policy for preventing and rectifying duplication. The duplication of benefits policy excludes expendable items from being considered duplicative. Expendable items include clothing, linens, and basic kitchenware. No checks for duplication need to be made for such items. See 44 CFR 206.191 for a more complete explanation. 2. The policy includes the concept of a sequence of delivery, which establishes the order in which the major forms of overlapping assistance should be provided. The agency that has primary responsibility for delivering a certain type of assistance should provide that assistance first, and may do so without regard to other agencies with similar assistance that are lower in the sequence. Agencies are not prohibited from disrupting the sequence to expedite the recovery of an applicant. However, the agency that disrupts the sequence must take the corrective action. The sequence of delivery is: a. Voluntary organizations' emergency assistance; insurance proceeds (including additional living expense benefits); b. Disaster Housing assistance, including rental assistance, funds for minimal repairs, and provision of housing units; c. SBA disaster loans for individuals and nonfarm businesses, and USDA disaster loans for agricultural enterprises; d. IFG awards; e. Voluntary organizations' additional assistance (i.e., nonemergency) benefits; and f. Other programs that are not primarily intended for disaster recovery (e.g., DHS's Cora C. Brown Fund and DHS's mitigation and property acquisition programs). An example of duplication of benefits is that DHS, the primary agency in the delivery of Disaster Housing assistance, provides funds for minimal repairs (e.g., a new window or door to make a home habitable). SBA might also include funds for these two items in a loan. This would be a duplication. To rectify it, SBA would be required to recoup the loan or reduce the loan amount by the dollar value of the window or door. 3. DHS's disaster assistance automated information and processing system is a decision-making tool that aids DHS, SBA, the State, and voluntary organizations in preventing and rectifying duplication of benefits. Because assistance requests, approvals of assistance, and insurance benefit information are shared, agency decision makers can avoid awarding assistance already provided. Agencies other than DHS, SBA, the State, and certain voluntary organizations do not normally have access to DHS's information-sharing system. However, such agencies may request information from DHS if an applicant has requested their assistance and authorized DHS to release the information, and if the voluntary organization intends to deliver a benefit that duplicates housing or personal property repair or replacement or delivers medical or death benefits. VII. Assistance to State and Local Governments The overall responsibility for accomplishing recovery of public facilities, infrastructure, and essential government services rests with State and local governments. Insurance and Federal agency disaster assistance are supplemental and are not meant to supplant State and local prerogatives, programs, or responsibilities. There is a broad array of Federal assistance programs for disaster recovery in the public sector. This section describes the delivery system and coordination of recovery assistance programs, many of which are delivered in the form of grants, loans, and direct payments to State and local governments, certain private nonprofit (PNP) organizations, and Indian Tribes. Some forms of State and local assistance are provided as a "pass through" for aiding individuals and families. Others are intended to address recovery needs for planning and support/technical services to augment the capacity of State and local governments. Much of the Federal recovery assistance directed to State and local governments is directed toward rehabilitation, reconstruction, replacement, or relocation of housing; repairing, replacing, or rebuilding damaged public facilities (e.g., public buildings, utilities, roads, bridges, water control facilities) and infrastructure; and mitigation planning and reconstruction management, incorporating mitigation concepts. This section describes the early coordination mechanisms for activating the appropriate recovery programs and delivering program assistance efficiently and effectively. A. Coordination Issues in Assistance for State and Local Governments 1. Federal agencies with direct recovery and mitigation programs for State and local governments normally initiate and implement their programs concurrently with DHS's Public Assistance program. Some Federal programs overlap in coverage and purpose, and may be initiated and operated in various ways. 2. The ERT Operations Section Chief will be the primary focal point for the coordination of Federal recovery assistance to State and local governments, with advice and assistance from the DFCO-M. He or she may delegate the coordination responsibility to the Infrastructure Support Branch Chief (or DHS Public Assistance Officer) when program or operational issues are limited to State and local assistance programs (such as duplication of benefits, duplication of effort, or program timing). The Public Assistance Officer and Federal and State recovery agencies work together to identify and resolve these issues. Field coordination activities include: a. Sharing management information and assessments; b. Identifying needs; c. Identifying program gaps or funding shortfalls; and d. Resolving program duplication issues. For example, if restoration of public highways is at issue regarding which Federal program should fund its repair, the involved agencies (the Federal Highway Administration, Bureau of Indian Affairs, or DHS) coordinate the determination of which agency should provide funding, based on current legislation, regulations, and purpose of the requested funds. B. Duplication of Benefits 1. Section 312 of the Stafford Act, Duplication of Benefits, also applies to DHS's Public Assistance program when it states that the head of each Federal agency will ensure no person, business concern, or other entity will receive Federal assistance if it has received financial assistance under any other program or from insurance. 2. DHS's Public Assistance program benefits are supplemental to insurance, which is primary. Actual and anticipated insurance recoveries will be deducted from otherwise eligible costs, thus preventing any duplication of benefits. 3. Additionally, DHS generally does not fund permanent repair projects when another Federal agency has specific authority to restore facilities damaged or destroyed by an event that is declared a major disaster. 4. Other Federal agencies also are governed by legislation outlining measures to prevent duplication of benefits. The principle involved is that the agencies are charged not to make their Federal funds available for uses the cost of which may be reimbursable by a primary disaster funding source in the sequence of delivery. For example, some costs for repair or replacement of infrastructure are generally first borne by insurance or DHS's Section 406 program, rather than HUD's Community Development Block Grant program or the Economic Development Administration's grant programs. VIII. Accessing Federal Assistance A. Major Federal disaster recovery programs and support/technical services are summarized in the following matrix. Included is assistance to individuals, families, businesses, and State and local governments. B. For more detailed information, State and local officials should consult the interagency publication, Disaster Assistance: A Guide to Recovery Programs (November 1995). They also may contact the appropriate Federal agency's representative in the DFO or the Federal agency's local field office. Recovery Function to the Federal Response Plan, January 2003 Omitted Community Relations Support Annex I. Introduction A. Purpose This annex provides guidance on the Community Relations (CR) function to expedite Federal, State, and local governments' ability to help citizens and communities recover from the effects of a major disaster. The CR function deploys field officers into affected communities after a major disaster to gather and disseminate information about the disaster response and recovery process. CR serves as a direct link to these communities and works in close coordination with other program elements to develop and deliver messages related to the availability of Federal disaster assistance. B. Scope This annex discusses the policies, responsibilities, and concept of operations for the CR element in a potential, imminent, or federally declared disaster. II. Policies A. The CR function is responsible for assessing and documenting the social, political, and cultural aspects of a disaster area that might affect the disaster response and recovery effort. B. The CR function is designed to ensure the citizens of disaster-affected communities are aware of available Federal disaster assistance programs and how to access them. III. Planning Assumptions A. CR management and field officers will deploy simultaneously with other initial disaster response elements as warranted by the situation. B. Up-to-date resource databases will be available to provide established contacts, relationships, and rosters of local government officials and appropriate community groups and organizations. C. Current, accurate, and accessible geographic and demographic databases are readily available. D. CR will coordinate with all elements of the Emergency Response Team (ERT) to ensure information disseminated in the field is timely and consistent. IV. Concept of Operations A. General 1. Preparation by Department of Homeland Security (DHS) regional staff for an anticipated or actual event will include coordinating with the affected State(s), collecting relevant information on the situation, alerting required staff, and deploying CR personnel to, or near, the affected area. 2. In coordination with other staff elements, an initial CR Plan, with disaster-specific guidance and objectives, will be prepared jointly by the CR Coordinator and the appropriate State official at the beginning of each disaster operation. 3. The CR function will be performed jointly by Federal and State personnel, when available, working to achieve the objectives specified in the CR Plan. Field teams will be organized and dispersed throughout the affected area. They will include trained Federal, State, and, if necessary, locally hired persons who know the community. The cultural, racial, and ethnic makeup of the affected population (including languages spoken) will be taken into consideration to the extent possible when making field team assignments. 4. The CR element coordinates closely with the affected State(s) to identify community leaders (e.g., grassroots, political, religious, educational, business, labor, ethnic) and neighborhood advocacy groups to assist in the rapid dissemination of information, identify unmet needs, establish an ongoing dialogue and information exchange, and facilitate collaborative Federal, State, and local planning and mutual support for disaster recovery. B. Organization CR is a staff element of the ERT. The CR Coordinator reports directly to the Federal Coordinating Officer (FCO). A functional organization chart is shown in Figure CR-1. Major CR functions can be expanded or streamlined to meet the needs of the disaster. 1. Community Relations Operations The CR Operations element is responsible for organizing and managing the CR field component, which interfaces with local governments, community organizations, and disaster victims. The field component may be divided into geographic areas and sectors, depending on the size and nature of the disaster. Area Managers are assigned to disasters that affect a large geographic area and/or have a large number of sector teams. Area Managers assist in the supervision of sector teams to maintain an appropriate management span of control and enhance day-to-day communications. Each CR sector will have an assigned Sector Manager who reports to the Field Operations Chief or Area Manager as appropriate. An appropriate number of field officers are assigned to each sector. Figure CR-1 — ERT CR Structure 1) CR Coordinator 2) Deputy CR Coordinator 3) Operations Chief a) Area Manager b) Sector Manager c) Field Officers d) Area Manager e) Sector Manager f) Field Officers 4) Information Chief a) Reports Technician 5) Administration/Logistics 6) Training Liaison (Positions in boxes with heavier lines are activated only during large-scale disasters.) 2. Community Relations Support Depending on the size and nature of a disaster, the CR function may include an Information element, an Administrative/Logistics Liaison, and/or a Training Liaison. The Information element manages the timely flow of CR information to and from the FCO, the CR field component, and other Disaster Field Office sources. The Administrative/Logistics Liaison provides short-term logistics support to field officers and coordinates the long-term administrative and personnel activities of the CR function. The Training Liaison identifies training needs and provides disaster- specific orientation and training, supported by the Disaster Field Training Office. C. Notification In response to an anticipated or actual regional event, CR staff will be notified, activated, and deployed through the regional CR cadre manager. Regions may request additional staff through DHS Headquarters (HQ) at any time. Staff from other DHS regions and HQ may be used to augment regional CR operations in large disasters as needed. D. Response Actions The number of CR field officers and extent of involvement throughout disaster response and recovery operations will be governed by the CR Plan and any subsequent amendments. Specific activities and responsibilities of CR field officers will be in accordance with procedures and guidance contained in the CR Operations Manual and CR Field Operations Guide. IV. Responsibilities A. Primary Agency: Department of Homeland Security 1. In conjunction with the disaster-affected State, ensure an efficient and reliable flow of disaster-related information between victims and public and private organizations that provide assistance. 2. Supply the CR function with a staff of trained personnel. 3. Ensure the CR function promotes equal access to disaster assistance consistent with the Stafford Act and Title VI of the Civil Rights Act. 4. Establish and adhere to standardized procedures that provide for a consistent level of CR services to disaster victims. B. Support Agencies 1. Department of Justice, Community Relations Service The CR Service of the Department of Justice (DOJ), through a DHS mission assign- ment, can provide conciliation and mediation training and technical assistance in matters of race, color, or national origin; conflict resolution; problem solving; cultural awareness; and community tension assessments. 2. Corporation for National Service The Corporation for National Service (CNS) is responsible for providing assistance to States and collaborating agencies to perform specific functions for disadvantaged or special-needs disaster victims. CNS, through a memorandum of understanding with DHS, can be provided a DHS mission assignment to support the CR function. CNS can provide teams of trained personnel to be strategically placed in areas of heaviest need to assist senior citizens, the physically or mentally disabled, and low-income populations. CNS includes AmeriCorps USA, Volunteers in Service to America, National Civilian Community Group, and Retired Senior Volunteer Program. V. References A. Community Relations Operations Manual. B. Community Relations Field Operations Guide. Congressional Affairs Support Annex I. Introduction A. Purpose This annex provides guidance on congressional liaison activities in support of the Federal Government's response to a major disaster or emergency requiring Federal assistance. Under the Federal Response Plan (FRP), the purpose of the congressional liaison function is to coordinate the dissemination of information to Members and committees of Congress and advise agency officials of congressional concerns, anticipated congressional action, and legislative developments. B. Scope This annex applies to all agencies with responsibilities under the FRP. II. Policies A. The Department of Homeland Security (DHS) will coordinate its congressional liaison activities with other FRP agencies to ensure consistency of the "Federal message" throughout the response. B. Staffing in support of congressional liaison activities in the field will be determined in part by the number of States and congressional districts affected. C. Each Federal agency will designate a congressional relations specialist in Washington, DC, as required. D. In a large-scale or catastrophic disaster, each Emergency Support Function (ESF) primary agency may deploy at the request of DHS a Congressional Affairs Representative (CAR) to the field. III. Planning Assumptions A. There will be immediate and continuous demand from Members of Congress for information on the impact, magnitude, and damage resulting from the disaster. B. Initial reports of damage may be fragmented and provide an incomplete picture of the extent of the damage. This will adversely affect the ability to provide timely information to Members of Congress in the initial stages of the disaster response. C. The State will generally be the most authoritative source of vital information regarding damage and initial response needs. IV. Concept of Operations A. General 1. Effective congressional liaison requires integrated and mutually supportive action by the following DHS congressional affairs staff: a. Congressional Relations Officer (CRO), designated by DHS. The CRO is located at DHS Headquarters (HQ) and is a member of the Emergency Support Team (EST); b. Congressional Liaison Officer (CLO), located with the Federal Coordinating Officer (FCO) at the Disaster Field Office (DFO); and c. Deputy Congressional Liaison Officer (DCLO), located in the Joint Information Center (JIC) or the Congressional Affairs Office at the DFO if necessary. 2. Integrated Federal interaction with the Congress requires a coordinated interagency congressional liaison effort: a. At the HQ level, the DHS CRO will conduct daily coordination sessions, if necessary, with congressional liaison staff from each Federal agency involved; and b. In a large-scale or catastrophic disaster, FRP primary agencies may deploy a CAR to the field at the request of DHS. Each CAR will work at the DFO under the direction of the DHS DCLO. The CAR is responsible for monitoring all Federal activities for that ESF, providing appropriate information to the affected congressional offices, and responding to incoming congressional inquiries. B. Organization 1. National-Level Response Structure a. The CRO will provide congressional relations support to the Catastrophic Disaster Response Group (CDRG) and the EST. The CRO will have primary responsibility for coordinating all congressional events in the Washington, DC, area pertaining to the disaster response and recovery operations. The CRO will: (1) Serve as primary congressional liaison advisor to DHS HQ response officials; (2) Support the efforts of the congressional liaison activities in the field; (3) Coordinate the timing and content of information to Washington, DC, congressional offices; (4) Serve as a conduit for information requests received by DHS in Washington, DC, from congressional offices; (5) Coordinate the flow of information between DHS and the Federal response and recovery effort; (6) Coordinate with the Washington, DC, congressional liaisons of other Federal agencies to ensure consistency of the Federal message and logistical coordination; (7) Provide input through DHS to the White House Legislative Affairs Office on overall Federal congressional relations; and (8) Coordinate, within DHS and among the Federal agencies, information pertaining to legislative developments (such as hearings) or background material for special legislation. b. The DHS Office of Congressional and Legislative Affairs will serve as primary congressional liaison advisor to DHS HQ response and recovery officials. This office will: (1) Provide logistical support to the CRO; (2) Answer incoming inquiries from congressional offices; (3) Assist the CRO in developing written materials for presentations and making congressional notifications; and (4) Receive information from the CRO and electronically provide data to congressional affairs officers of the involved agencies. 2. Field-Level Response Structure a. The CLO will deploy from DHS and will report to the FCO. Collocated with the FCO, the CLO will manage Federal congressional liaison activities in the field. The CLO will: (1) Serve as primary congressional liaison advisor to the FCO and DHS on-site response officials; (2) Manage congressional liaison staff and operations in the field; (3) Serve as congressional liaison on the Emergency Response Team (ERT); (4) Support congressional liaison activities in Washington, DC, and serve as primary contact for the HQ CRO in the field; (5) Coordinate congressional and other dignitary trip requirements generated from both Washington, DC, and the field; (6) Coordinate with other Federal agency personnel to ensure consistency of the Federal message; (7) Provide information to the HQ CRO for reports to the White House Legislative Affairs Office on Federal congressional relations for the disaster response; (8) Coordinate with the FCO in the development of policy and its impact on the congressional delegation; (9) Serve as a base for background information on Members of Congress and their previous experiences with the Federal agencies during disasters; and (10) Develop strategies for the FCO on issues and impediments regarding the delivery of Federal programs during disasters. b. The DCLO will report to the CLO. The DCLO will establish operations at the discretion of the FCO or CLO in either the JIC or the Congressional Affairs Office in or near the disaster area and will: (1) Manage Federal congressional liaison operations for the CLO; (2) Monitor events in the JIC and DFO to keep the CLO current; (3) Ensure prompt notification to congressional offices of significant events, including coordinating the timing and content of information; (4) Serve as a conduit for information requests received by DHS in the field from congressional offices; and (5) Manage inquiry and notification tracking systems. c. In a large-scale or catastrophic disaster, a CAR may be deployed if necessary by each ESF primary agency to the disaster site. (The DCLO will interface with ESF #5 — Information and Planning.) Each CAR will report to the DCLO. The CAR will: (1) Monitor the activities of the primary and support agencies of the CAR's ESF; (2) Make congressional notification calls, in conjunction with the DCLO; (3) Respond to congressional inquiries pertaining to ESF areas of responsibility; and (4) Provide support and congressional feedback to the DCLO. C. Response Actions 1. Headquarters Level a. Congressional Relations Officer (1) Initial Actions (a) Establish immediate priorities based on information about the extent and impact of damage, State request(s) for assistance, the scope of Federal efforts, congressional offices representing the affected area, and staffing of response operations at DHS HQ, the DFO, and other field locations in conjunction with the DHS Office of Congressional and Legislative Affairs. (b) Establish a system for keeping the DHS Office of Congressional and Legislative Affairs informed on issues and the progress of response and recovery operations. (c) Establish contact with congressional offices representing affected areas to provide information on the DHS mission and activities, the Federal-State relationship in recovery operations, and where to obtain information on Federal activities and the daily congressional briefing. (d) Provide profiles of Members and feedback from contacts with congressional offices to the EST Director. (e) Establish and monitor tracking systems for open requests from congressional offices and blanket notifications. (f) Serve as contact with HQ CROs from other Federal agencies and maintain channels of communication through daily meetings and conference calls. (g) Organize an initial interagency congressional briefing within 18 hours of the event and conduct daily briefings thereafter. (Briefings need not be open to the press.) The target audience is Members and staff from any congressional office representing the affected area, and staffs from committees for appropriations, disaster relief, and authorization. (h) Work with agency Public Affairs Officers (PAOs), including actions such as obtaining all press releases and schedules of JIC press conferences, exchanging pertinent response and recovery information, etc. (2) Continuing Actions (a) Coordinate Federal information to support legislative initiatives. (b) Present information to committee staff through the Director, DHS Office of Congressional and Legislative Affairs, in support of agency legislative requests. (c) Arrange field trips for Members of Congress and staff. Coordinate with the CDRG, EST Director, congressional liaisons from other Federal agencies, DHS Office of Emergency Information and Media Affairs, and DHS CLO. (d) Conduct daily conference calls and/or briefings with congressional liaisons of other Federal agencies to review notifications and developments (field and HQ) of the past 24 hours, coordinate congressional interagency briefings, and identify information needs, including congressional requests for testimony or legislative technical assistance. (e) Conduct briefings for Members of Congress and their staffs as required. (f) Coordinate summary reports of Federal congressional relations activities for the White House Legislative Affairs Office. (g) Manage the flow and timing of release of congressional affairs information between HQ and the DFO. b. Office of Congressional and Legislative Affairs (1) Initial Actions (a) Compile lists (e.g., telephone, fax, Internet, address) of congressional offices representing the area affected by the disaster. (b) Make logistical arrangements for daily congressional briefings on Capitol Hill. (c) Verify list of Federal agency personnel assigned to perform disaster recovery congressional relations. (d) Collect information to communicate to the field (e.g., biographies of Members, maps of congressional districts, historical data on districts). (2) Continuing Actions (a) Distribute information to CLOs in the field (DHS and other Federal agencies). (b) Track, respond to, and/or assist in congressional inquiries and notifications. (c) Attend JIC press conferences. (d) Maintain constant communications with the CLO, DCLO, CRO, and DHS Office of Emergency Information and Media Affairs to ensure timely exchange of information. 2. Field Level a. Congressional Liaison Officer Initial and continuing response actions of the CLO include: (1) Obtain information on impact of disaster, damage assessments, State requests for assistance and areas requested, anticipated Federal response and agencies involved, immediate problems and priority issues, logistical information on the JIC and DFO operations, etc.; (2) Discuss with the FCO congressional priorities and congressional involvement to date, CRO operations, expected level of involvement by the FCO in congressional matters, etc.; (3) Contact and work with the DHS CRO, PAO on site, regional congres- sional point of contact, and congressional offices representing the affected area; (4) Develop an operations plan to cover priorities, staffing (including the DCLO's role in the JIC/DFO), and a daily strategy for proactive congressional liaison; (5) Establish and monitor systems to obtain information for Members of Congress, track incoming congressional inquiries and notifications, and determine reporting requirements; (6) Meet with the DCLO and ESF CARs to review congressional relations strategy, operations, etc.; (7) Within 18 hours of setup and with the participation of the FCO, conduct an initial briefing of Members of Congress and their staffs on the Federal role, Federal-State relationship, what can be expected from the Federal Government, and the role of the congressional offices in recovery. Include priorities, accomplishments to date, anticipated actions, Federal-State-local operations, process for accepting donations, contact for 24-hour notification, etc.; (8) Provide to the FCO summaries on Members affected (including expected level of their involvement), impact on their districts and other significant issues, biographical sketches of Members (including their affiliation, term in office, major committee assignments and leadership positions, and location of district offices); (9) Maintain logs of CLO/DCLO actions and provide summary information to the FCO and DHS HQ; (10) Schedule daily coordination meetings with the PAO and attend FCO meetings with other Federal agencies (including ERT meetings); (11) Develop itineraries and coordinate logistics with FCO staff, other Federal agency representatives, State staff, and the PAO in preparation for visits by Members and staffs; and (12) Monitor rumor control activities and outreach feedback and take appropriate action. b. Deputy Congressional Liaison Officer Initial and continuing response actions of the DCLO include: (1) On arriving at the disaster scene, contact the CLO to be briefed on all aspects of the operation to date, strategies, procedures, etc.; (2) Set up operations in the JIC or Congressional Affairs Office as directed by the CLO, ensuring space and equipment are ready for operations; (3) Develop a plan of operations (including priorities, staffing, the DCLO's role in the JIC or Congressional Affairs Office, congressional follow up resulting from JIC conferences, etc.); (4) Develop procedures to obtain public information as soon as it is cleared by the JIC, as well as "canned" and new information developed by Federal agencies; (5) Establish and maintain a tracking system for congressional inquiries and notification, log of CLO actions taken, filing system (by Member) to collect information for use in profiles and background, etc.; (6) In coordination with the CAR(s) and Deputy PAO, prepare timely factsheets for use by Members' offices; and (7) Prepare summary reports and submit daily to the CLO. c. Congressional Affairs Representative Initial and continuing actions of agency CARs include: (1) Supporting the DCLO in establishing priorities, preparing notification statements for DCLO approval, making congressional notification calls, providing feedback on congressional reaction, etc.; (2) Establishing contact with operational staff or ESF agencies and monitoring ESF activities; (3) Maintaining input to congressional inquiry and notification tracking systems; and (4) Responding in a timely fashion to congressional inquiries pertaining to the ESF of responsibility. Donations Management Support Annex I. Introduction A. Purpose This annex provides guidance on the Federal role in Donations Management in a major disaster or emergency. Any reference to donated goods and services in this annex means unsolicited goods and unaffiliated volunteer services. 1. State and local governments have primary responsibility for the management of unsolicited goods and unaffiliated volunteers. 2. The Federal Government supports State and local governments and voluntary organizations in establishing a system to manage and control donated goods and services. The system will provide a method for any potential donor to consult and negotiate with donations specialists prior to the collection and sending of goods and volunteers. B. Scope This guidance applies to all agencies with direct and indirect donations responsibilities under the Federal Response Plan (FRP). II. Policies A. Full use of existing voluntary organization Donations Management resources is encouraged before the assistance of the Federal or State governments is sought. B. The role of the Federal Government is always in support of the disaster-affected State and local governments. State and local governments, in coordination with Voluntary Organizations Active in Disaster (VOAD), are ultimately in charge of Donations Management. C. Federal and State governments look principally to those voluntary organizations with established donations structures already in place to receive and deliver appropriate donated goods to disaster victims. D. Necessary response activities for Donations Management that may be undertaken by the Department of Homeland Security (DHS) before a Presidential declaration will be closely coordinated with State officials. E. The Federal Government encourages cash donations to recognized nonprofit voluntary organizations with disaster experience. F. The Federal Government encourages individuals interested in volunteering their personal services to affiliate with a recognized nonprofit voluntary organization to facilitate their involvement in disaster relief activities. III. Planning Assumptions A. Donations Management response activities are necessary before a Presidential disaster declaration and hence require rapid coordination to mitigate potential donations problems in the response phase of disaster operations. B. In the event of a disaster causing large-scale loss of life and destruction of property, donors (domestic and foreign) will offer assistance of virtually any kind, including cash, goods, equipment and loan of equipment, and the services of individuals. C. Offers of assistance will be made directly to all levels of government — Federal, State, and local — as well as to voluntary organizations. D. In less-than-large-scale or "high-visibility" disasters, Donations Management will be handled by voluntary organizations with or without Federal or State involvement. IV. Concept of Operations A. General 1. Management of donations requires a cooperative effort by Federal, State, and local governments; voluntary and community-based organizations; the business sector; and the media. 2. DHS supports the State Donations Coordinator and voluntary organizations. The affected State and local governments, in conjunction with their voluntary organi- zation partners, are in charge of developing Donations Management plans and managing the flow of goods and services during disaster response and recovery operations. 3. Federal support provided by DHS (as the Federal coordinating agency for Donations Management) and other Federal agencies may include: a. Enhanced voluntary organization coordination; b. Assistance in establishing a Donations Coordination Team and a Donation Coordination Center; c. Technical and managerial support; d. A national network of information and contacts to assist donations specialists in the field; and e. Donations Management software and communications support as necessary. B. National-Level Responsibilities 1. Department of Homeland Security a. Make early contact with the key Donations Coordinators of the national voluntary organizations and the affected region for donations situation assessment. b. Based on the affected region's request for assistance, provide donations program guidance, a Donations Coordinator, and other assistance as appropriate. c. Continue to provide support and assistance to the field, especially regarding international offers of assistance, large corporate offers, or politically sensitive collection drives. d. With the appropriate Federal agencies, coordinate international offers of assistance that meet acceptance criteria established by the affected State and DHS. e. DHS/U.S. Customs Service, in coordination with the EST donations specialist and the Department of State, Office of Diplomatic Contingency Programs (DOS-A/DCP), expedite the entry of approved donated items into the United States. f. DHS/Immigration and Naturalization Service, in coordination with the Emergency Support Team (EST) donations specialist and DOS-A/DCP as necessary, expedite the entry of approved individuals into the United States. 2. Department of State The DOS-A/DCP serves as the conduit to all American embassies and consulates worldwide, providing them with information on DHS, State, and voluntary organization policies and procedures on donated goods and services. a. As required, coordinate all actions and special issues with related agencies (e.g., Agency for International Development, U.S. Information Agency) concerning foreign offers of assistance and special requirements. b. Serve as the coordinating agency on DOS actions for domestic disasters under the FRP. c. Inform the EST donations specialist of offers being made by foreign governments and provide assistance as necessary. d. Coordinate with the EST donations specialist to ensure all foreign donors receive acknowledgment of the assistance they provide. C. Regional-Level Responsibilities 1. Department of Homeland Security a. On establishment of a Regional Operations Center, the region designates a point of contact (POC) for donations at that facility. b. At the State Emergency Operations Center (EOC), other State facility, or Disaster Field Office, the DHS Donations Coordinator assists the State Donations Coordinator as needed in: (1) Establishing a Donations Coordination Team; (2) Setting up a Donation Coordination Center, including a donations hotline; (3) Ensuring the appropriate donations receiving and distribution facilities are established and operating effectively; (4) Coordinating with DHS-State Emergency Information and Media Affairs staff on public service announcements, press releases, and other media-related support; (5) Coordinating with DHS Voluntary Agency Liaison (VAL), congressional affairs, community relations, logistics, Defense Coordinating Officer, and other Federal agencies as necessary; and (6) Preparing input for situation reports, briefings, and VIP visits as necessary. 2. Department of Transportation a. Arrange for transportation as necessary. b. Provide information on transportation routes. c. Provide guidance and support on transportation rules, regulations, and requirements as needed. 3. Department of Defense Provide logistical support and other resources as needed and available. 4. General Services Administration Provide equipment, supplies, services, and facilities as needed. V. Reference The Donations Management Guidance Manual (DHS 278) includes information on preparedness and planning, checklists, standard operating procedures, Donations Management flow diagrams, public information materials, and voluntary organization POCs. VI. Terms and Definitions A. Donation Coordination Center Facility from which the Donations Coordination Team operates. It is best situated in or close by the State EOC for coordination purposes. It must have enough rooms for a tele- phone bank, processing by team members of calls from prospective donors, and negotiating the shipping and receiving of needed items. B. Donations Coordination Team A Donations Coordination Team comprises representatives of voluntary organizations and State and local governments who have a vested interest in the effective management of unsolicited donated goods and voluntary services. The team is managed by the State emergency management agency. Its mission is to implement the State Donations Management Plan, with the goal of keeping unneeded goods and services out of the disaster area. C. DHS Voluntary Agency Liaison Each DHS region and DHS offices in Hawaii and Puerto Rico have a DHS VAL. There is also a VAL at the National Emergency Training Center in Emmitsburg, MD. The VAL is responsible for providing advice on voluntary organization coordination and assisting States in developing State VOAD. In disaster operations, the VAL assists the local leadership in convening broad-based meetings at which voluntary organizations, DHS, and the State share information about the status of response and recovery activities. D. In-Kind Donations Donations other than cash (usually materials or professional services) for disaster survivors. E. National Voluntary Organizations Active in Disaster National Voluntary Organizations Active in Disaster (NVOAD) is the umbrella organization of established and experienced voluntary organizations that provide disaster services in all phases of emergency management. NVOAD fosters cooperation, communication, coordination, and collaboration among voluntary organizations. It also encourages close working partnerships among voluntary organizations and government at all levels. It is not operational as an organization. F. Unaffiliated Volunteer Also known as a "spontaneous" or "emergent" volunteer; an individual who is not formally associated with a recognized voluntary disaster relief organization. G. Undesignated Goods Largely unsolicited, donated items that are not addressed to a specific recipient. H. Unsolicited Goods Donated items that have not been requested by government officials, voluntary disaster relief organizations, or other donations-related personnel. I. Voluntary Organizations Active in Disaster VOAD is a coalition of voluntary organizations organized at State and local levels. In nondisaster periods, it meets to discuss emergency management issues and encourage cooperation, communication, coordination, and collaboration among voluntary organizations. In the response period, each individual organization functions independently, yet cooperatively. Financial Management Support Annex I. Introduction A. Purpose This annex provides basic financial management guidance to Federal departments and agencies that respond to a major disaster or emergency under the provisions of the Federal Response Plan (FRP). Its intent is to ensure funds are provided expeditiously and financial operations are conducted in accordance with established law, Federal policies, regulations, and standards. B. Scope This annex is applicable to all Federal agencies with responsibilities under the FRP. II. Operating Assumptions The financial management organization and operations described in this annex are based on the following assumptions: A. Expenditures from the Federal Disaster Relief Fund (DRF) may be required. To ensure proper accountability of these funds, Federal financial principles, policies, regulations, and management and internal controls will be applied; B. Under the provisions of the Robert T. Stafford Disaster Relief and Emergency Assistance Act, the President may direct any Federal agency, with or without reimbursement, to use the authorities and resources granted to it under Federal law (including personnel, equipment, supplies, facilities, and managerial, technical, and advisory services) in support of State and local assistance efforts; C. Upon the occurrence of an event that results in a Presidential major disaster or emergency declaration, funding may be made available from the DRF; and D. Federal agencies will be reimbursed for eligible work or services performed under a mission assignment (MA) issued by the Department of Homeland Security (DHS). III. Responsibilities A. Department of Homeland Security Chief Financial Officer 1. The DHS Chief Financial Officer (CFO) serves as the senior Federal financial official under the FRP. The CFO's responsibilities are to: a. Oversee all financial management activities relating to the operations of the DRF to ensure sound financial management practices and standards are applied; b. Coordinate DHS's requests for disaster funding with the Office of Management and Budget (OMB) and Congress, ensure adequate funding levels are maintained to meet projected expenditures for specific disaster declarations, and ensure all funds expended from the DRF are in accordance with generally accepted accounting principles for Federal agencies, the General Accounting Office (GAO) Policy and Procedures Manual, Title 2 and Title 7, the Government Accounting Standards Board, and Federal Accounting and Standards Advisory Board, as well as Treasury Department procedures and guidelines; and c. Serve as the primary advisor to the Chairman of the Catastrophic Disaster Response Group (CDRG) on financial matters involving the DRF and keep the CDRG informed on the status of funds made available for the disaster operation. 2. The CFO will appoint a Comptroller from a cadre of qualified individuals to oversee Disaster Field Office (DFO) financial operations. 3. The CFO will ensure expeditious processing of all documented requests for reimbursement from Emergency Support Function (ESF) primary agencies; ESF support agencies whose bills are submitted through, and approved by, the primary agency; and other agencies tasked directly by DHS. 4. The CFO will apply proper financial principles, policies, regulations, and management and internal controls for the expenditure of funds appropriated to the DRF. B. Comptroller 1. To further strengthen financial controls over DHS disaster activities, the Comptroller function was established. The Comptroller will serve as the senior financial advisor to the Federal Coordinating Officer (FCO) and will be accountable to the CFO for financial management and reporting. The Comptroller also may be deployed to the Regional Operations Center (ROC) before the DFO opens. 2. The Comptroller's responsibilities include but are not limited to: a. Timely processing of funding requests (Requests for Allocations); b. Preparing Requests for Allocation Advice; c. Working with DHS program staff to ensure adequate funding levels are maintained to meet expenditures; d. Monitoring expenditures, including tracking funds at object and subobject code levels; tracking and reporting commitments, obligations, and disbursements against the disaster-specific fund from not only the DFO but also any other site; reviewing each commitment to ensure proper expenditure of funds; e. Reporting funding activity to the FCO/Disaster Recovery Manager (DRM) and CFO on a regular basis; f. Providing policy guidance to the FCO/DRM and his or her staff; g. Managing the financial oversight of DHS disaster response and recovery activities; and h. Providing the FCO/DRM with the necessary expertise and authority essential for effective fiscal management of expenditures from initial disaster response activities to closure of the DFO. 3. Functions under the Comptroller's purview include fund control activities; financial document control; mission assignment reviewing, processing, and tracking; travel; and acquisition. C. Department of Homeland Security Regional Director 1. The DHS Regional Director (RD) of an affected region serves as the financial official responsible for stewardship of DHS funds for a specific State's disaster or emergency situation. 2. The RD's responsibilities are to: a. Ensure administrative control of the DRF. The existing regional financial processing unit supports disaster financial operations prior to the establishment of a DFO; b. Prepare budget estimates for disaster funding requirements and request allocation of funds; and c. Authorize the commitment, obligation, and payment of funds provided under the provisions of the Stafford Act. 3. The RD may delegate authority to the FCO/DRM to carry out the responsibilities of the RD. 4. After the DFO closes, the RD may revoke his or her delegation of authority to the FCO/DRM and resume performance of the financial management responsibilities vested in the FCO/DRM. D. Federal Coordinating Officer/Disaster Recovery Manager The FCO/DRM is delegated authority by the RD to exercise the authority vested in the RD for a major disaster or emergency. Therefore, all of the financial authorities vested in the RD are vested in the FCO/DRM. The FCO/DRM can delegate authority for approval of specific financial management transactions to other DHS officials. 1. The FCO/DRM is responsible for project management, which may be delegated to designated Project Officers. For procurement of equipment and supplies, the Logistics Section will provide Project Officers, unless otherwise agreed on between the Logistics Section Chief, the Comptroller, and the mission-assigned agency. 2. DHS officials who are delegated MA signature authority are referred to as Federal Approving Officials (FAOs). In addition, every MA has a designated Project Officer who is responsible for performing project management responsibilities on behalf of the FCO/DRM. E. Department of Homeland Security Office of Inspector General The DHS Office of Inspector General's (OIG's) responsibilities are to: 1. Assist the FCO in preventing and detecting fraud, waste, and abuse; 2. Serve as the point of contact (POC) with other Federal, State, and local law enforcement agencies on law enforcement matters; 3. Ensure the integrity of delivery of disaster assistance; 4. Respond to, and investigate allegations of, fraud and other criminal activity affecting DHS; and 5. Recommend to the OIGs of other agencies audits of agency performance and financial management of MAs. F. Other Federal Agencies 1. Other Federal agencies providing disaster assistance under their own authorities independent of the Stafford Act are to use their own funding. 2. Other Federal agencies providing assistance under the Stafford Act via MAs may seek reimbursement from DHS for eligible costs incurred during performance of the mission. 3. The General Services Administration (GSA) may function as a procurement agent to obtain goods and services for Federal agencies other than DHS. In these cases, GSA arrangements are independent of DHS and all obligations incurred for goods and services for other Federal agencies will be billed directly to the ordering agency. Other Federal agencies should request reimbursement from DHS only after receipt of a bill. 4. Other Federal agencies receiving reimbursement from DHS for goods and services furnished under the provisions of the Stafford Act are to record such funds to the appropriation used to cover the expenditure. 5. Each ESF primary agency, in conjunction with its support agencies, should advise the FCO/DRM of the amount and distribution of funding required in support of the ESF. 6. Each ESF primary agency is responsible for tasking support agencies by completing a subtasking document that describes the work to be performed, estimates date of completion, and establishes a funding limitation. The ESF primary agency is responsible for monitoring the work progress of a subtasked support agency and approving the request for reimbursement submitted by the support agency, through the primary agency, to DHS. 7. Each ESF primary agency should review all requests for reimbursement for goods and services from subtasked agencies. The ESF primary agency Project/Program Administrator will certify to DHS that the expenditures claimed have been reviewed and are relevant to the mission assigned, and that costs are reasonable and supported by documentation. 8. Each Federal agency involved is responsible for: a. Maintaining documentation to support requests for reimbursement; b. Notifying DHS when a task is completed; c. Submitting partial or final reimbursement requests within 90 days of completing a task. Final bills should be marked "Final"; d. Providing monthly status reports to DHS; e. Identifying a staff-level POC for financial coordination with the Office of Financial Management/Disaster Finance Center (OFM/DFC), and identifying a headquarters (HQ)-level POC for billing and reimbursement issues that cannot be resolved at the staff level; and f. Applying proper financial principles, policies, regulations, and management and internal controls to ensure full accountability for the expenditure of DRF funds. G. Certifying Officer A certifying officer is an individual designated in writing with responsibility and authority to verify that payments are legal, proper, and credible. A certifying officer is accountable for and may be required to personally reimburse the Federal Government for any illegal or otherwise improper payment made because of his or her inaccurate certification to a disbursing officer. In accordance with 31 U.S. Code (U.S.C.) 3528, the ESF primary agency, in consultation with its support agencies' Project/Program Administrators, will be held accountable for the computations and supporting records for reimbursement requests for goods and services performed under an MA issued by DHS. Any illegal, improper, or incorrect reimbursement resulting from a false, inaccurate, or misleading certification will be resolved in accordance with guidance from GAO. IV. Concept of Operations A. Disaster Field Office Upon issuance of a disaster declaration, a Comptroller will be deployed to the site to immediately begin overseeing policies and procedures for financial management and internal controls. The operations and functions in the Comptroller's Office will include: 1. The Comptroller, who is accountable to the CFO for financial management and reporting of DRF activities; 2. The Finance Branch Chief/Deputy Comptroller, who will report to the Comptroller and oversee the Finance Office. Duties include supervising the Comptroller's staff, providing the Comptroller with financial reports, ensuring the timely processing of funding requests, establishing and maintaining a system to accurately track and monitor financial documents, and ensuring adherence to DHS and other Federal financial policies, procedures, and regulations; 3. The Funds Control Group, which will process funding requests (Requests for Allocation) on a timely basis; monitor commitments, obligations, and expenditures; track funds; monitor program funding levels; identify trends in commitments and obligations; report funding activity; and inform program points of contact on the status of funding levels. The group will notify program managers when funding increases are necessary and coordinate the increase with OFM; 4. The MA Group, which will coordinate MAs, process Requests for Federal Assistance (RFAs), identify costs associated with direct Federal assistance, obtain approvals, and track and process financial documentation required for monitoring expenditures, including the tracking of funds at object and subobject code levels. The MA Group also will be responsible for providing pertinent financial documentation and information to the OFM/DFC to allow timely reimbursement of invoices and the coordination of State cost-share billings; 5. The Travel Group which will prepare travel vouchers using the Travel Manager System, perform quality assurance reviews, and transmit travel information to the OFM/DFC; and 6. The Acquisition Group, which will be responsible for Disaster Contracting and Disaster Grants Management. Contracting responsibilities include the full range of preaward and award functions in support of Regional Contracting Officers. Grants management responsibilities include establishing consistent practices and providing guidance regarding grants management. B. Emergency Support Team The designated Finance Branch Chief is the CFO's representative to the Emergency Support Team (EST) and serves as the liaison between the EST and DHS. The Finance Branch Chief provides the EST Director with the necessary expertise and authority essential for effective fiscal management of expenditures from the DRF during initial disaster response activities. C. Disaster Finance Center The OFM/DFC, located in Berryville, VA, will: 1. Process all DRF payments; 2. Serve as the POC for inquiries relating to bill processing and payments; 3. Receive and review bills prior to processing payments to ensure proper documentation supports the expenditures claimed; 4. Initiate chargebacks to DHS's account for On-Line Payments and Collections (OPAC) system payments that are not supported with documentation; 5. Perform periodic reviews of open obligations to ensure accuracy and timeliness; 6. Provide financial management reports on DRF activities; 7. Track emergency aid (identified on the RFA) and bill the State cost-share portions; and 8. Track and initiate closeout procedures for each MA. V. Funding A. Reimbursable Budget Authority 1. FRP agencies may submit to OMB an annual estimate of the amount of reim- bursable budget authority required to carry out their responsibilities under the Stafford Act. The Stafford Act authorizes reimbursement for the delivery of interagency work or services to provide disaster assistance. Eligible expenses incurred in the execution of MA issued under the authority of the Stafford Act should be charged to the other Federal agency's reimbursable account. Agencies will request reimbursement from DHS. 2. When DHS issues an MA to provide goods and services in support of Federal, State, and local assistance efforts, it has incurred an obligation. As work is completed, agencies should request reimbursement for goods and services rendered. 3. An interagency agreement is the funding mechanism used between agencies to provide goods and services on a reimbursable basis. Under the Stafford Act, the interagency agreement is referred to as an MA and is executed using an obligating document called an RFA. MAs are similar to interagency agreements, except they are exempt from the Economy Act and are governed by the Stafford Act. B. Department of Homeland Security State Agreement Federal funding to a State will be authorized under the individual DHS-State Agreement and passed to the State by electronic funds transfer through the Payments Management System (PMS) operated by the Department of Health and Human Services (HHS). After DHS enters the authorized amount in the HHS PMS, the recipient State requests the funds transfer via computer communications to HHS. This DHS payment process is commonly referred to as "SmartLink" and is administered by OFM. C. Cost Projections for Funding Requirements Cost projections strengthen financial management of the DRF and determine funding requirements. The projections do not represent a request for budget authority for the respective agencies. 1. After initial response operations begin, DHS organizations and ESF primary agencies, in consultation with support agencies, will estimate their total funding requirements for the duration of disaster operations. 2. The process of developing these projections should begin with the lowest operational level (i.e., DHS program/administrative staff and ESF agencies in the field) and build upward. Agency officials operating closely with State officials and the FCO/DRM will have the best insight into the demands for Federal assistance. Cost projections for the field will be forwarded to the DHS CFO, where HQ-level resource requirements may be added. Any unresolved issues regarding resource estimates will be presented to the CDRG for discussion and recommendations. 3. Cost projections for funding of disaster operations in the field must be developed by State (for a multi-State disaster), by ESF, by agency, and by major object class, if known (as described in OMB Circular A-11, Preparation and Submission of Budget Estimates (Part 1)). VI. Financial Controls, Guidance, and Organization A. General Timely financial support for response activities is crucial in saving lives and protecting property. Expeditious means will be employed to provide financial management support to achieve operational objectives. Agencies are responsible for developing and maintaining a cost-effective system of management controls to ensure Federal Government activities are managed effectively, efficiently, economically, and with integrity to prevent fraud, waste, and abuse. B. Management Controls and Automated Systems 1. When entrusted with or statutorily made responsible for public funds, Federal Government employees are, in effect, trustees for the taxpayers. These "accountable officers" include authorized certifying officers, civilian and military disbursing officers, collection officers, and other employees who by virtue of their employment are responsible for or have custody of Federal Government funds. These officials are personally liable for the loss or improper payment of the funds for which they are accountable. They will ensure all bills are properly documented when recommending approval/disapproval of expenditures from the DRF. 2. Each ESF primary agency is responsible for establishing effective administrative control of funds and segregation of duties for proper management controls. A responsible official of each agency should be designated as the Project/Program Administrator to ensure actions taken and costs incurred are consistent with the MAs issued by DHS. These same officials validate requests to DHS for reimbursement of eligible expenditures. 3. Special care must be taken throughout the disaster operations to maintain logs, formal records, and file copies of all expenditures from the DRF to provide accountability and justification for reimbursement. 4. Accountable officials must rely on the adequacy of automated systems, controls, and personnel who process transactions as detailed in the Federal Managers' Financial Integrity Act of 1982 (31 U.S.C. 3512(c)) for recurring assessment by agency management of the adequacy of accounting systems and management controls. Standards for internal controls and accounting systems are contained in Title 2 of the GAO Policy and Procedures Manual and OMB Circulars A-123 (Management Accountability and Control) and A-127 (Financial Management Systems). C. Financial Organization at Department of Homeland Security Headquarters 1. The CFO will provide financial management support to the field. When the EST is activated to support a disaster, the CFO will appoint a representative to serve on the EST. 2. The CFO will serve as the financial POC for the Chairman of the CDRG, providing advice on financial management relating to the disaster. D. Financial Organization in the Field 1. The CFO's office provides financial management support to the field. 2. As the CFO's on-site representative at the DFO, the Comptroller will provide the FCO the necessary expertise and authority essential for effective fiscal management and will provide financial policy guidance to primary and support agencies at the DFO. 3. DHS personnel rostered for financial positions on the Emergency Response Team are activated and deployed to the DFO to support financial management operations. 4. Federal agencies performing work under the Stafford Act must be prepared to process financial transactions in support of their own operations. Whether other Federal agency financial transactions are processed at the DFO or another location, the agency should designate a financial liaison to the DFO. The liaison should be a financial management professional or someone knowledgeable of the agency's financial operations. A financial liaison will ensure expeditious dissemination of financial guidance and information. VII. Reimbursement of Federal Agencies A. General Under the statutory authority of the Stafford Act, MAs to other Federal agencies provide the authority to perform work, provide services, and acquire materials, within a funding limitation, on a reimbursable basis. Agencies can request reimbursement for eligible expenditures from DHS. All requests for reimbursement must contain adequate documentation to support expenditures being reimbursed. All requests for reimbursement will be processed by the OFM/DFC. B. Mission Assignments After the occurrence of any event that may result in a declared major disaster or emergency requiring Federal assistance, DHS may selectively task some or all of the ESFs of the FRP. When an ESF is tasked to do work, an MA is issued to the primary agency with a funding limitation and the requirements for the task(s) to be performed. DHS also may task agencies directly for work outside the scope of the ESFs. 1. MAs are work orders to other Federal agencies directing performance of specified tasks. Predeclaration authority for MAs at HQ resides with the Secretary of DHS and in the regions with the Regional Director. Upon activation, MA authority may be delegated to the EST and RST Director. Upon declaration, the RD appoints a DRM, usually the FCO. The vehicle used to obligate funds for disaster relief to other Federal agencies for authorized expenditures is the RFA. 2. Separate MAs should be issued for the three basic forms of emergency aid, i.e., direct Federal assistance, Federal operations support, and technical assistance. To allow for the proper accounting requirements associated with the cost-share program, the RFA should be marked with the appropriate form of emergency aid, the date and time of receipt of request, and should designate the percentage of State cost-share. Federal agencies should break down the charges indicating the specific county(ies) where the work was actually performed. No county breakout is needed if a cost-share waiver has been extended stipulating 100 percent Federal funding for all the affected counties. The DHS Project Officer will notify agencies if the county breakout is required. 3. ESF primary agencies may subtask support agencies as necessary to accomplish these tasks. The primary agency will alert its support agencies that their assistance may be required. If a primary agency decides that the services of a support agency are needed in accordance with the requirements of the Stafford Act, the primary agency issues a subtasking document with a funding limitation to the support agency. 4. Federal agencies may provide disaster assistance under the provisions of an MA. However, as a State becomes capable of resuming its own disaster operation responsibilities, MAs may be terminated and the work continued by the State. The State may file a claim with DHS. 5. Agencies tasked by DHS will submit monthly progress reports to DHS, including cost data when an MA takes more than 60 days to complete. The status report will include the status of the work being performed, status of the MA obligation amount, total obligations against that amount, projected expenditures, and the anticipated/ actual completion date. Agencies should submit the last bill, marked "Final," no later than 90 days after completion of the MA. 6. The Project Officer will monitor the work in coordination with the tasked agency. DHS may determine to discontinue the MA at any time by written notification to the tasked agency, specifying a termination date and requesting a final billing, accompanied by an MA transmittal form marked "Final." 7. DHS will reimburse Federal agencies for eligible costs associated with providing assistance under an MA, and will collect the State cost-share portion of the costs when applicable. Payments to vendors by other Federal agencies should be made to comply with the Prompt Payment Act. Interest penalty payments are the responsibility of the other Federal agency and only will be reimbursed when caused by DHS. C. Expenditures Eligible for Reimbursement 1. Policies and procedures for reimbursement of other Federal agencies are described in DHS regulations 44 Code of Federal Regulations (CFR) 206, Subpart A, Section 206.8. Paragraph C of this section specifically states which costs are eligible for reimbursement. The Secretary, DHS, or RD may approve the reimbursement of costs that are contained in this paragraph. 2. In accordance with 44 CFR 206, Subpart A, Section 206.8, Paragraph C, regular labor for permanent Federal agency personnel and overhead costs are not eligible for reimbursement, except when the costs incurred would normally be paid from a trust, revolving, or other fund. a. Agencies that qualify and may be seeking reimbursement for overhead must submit certified annual overhead rate proposals to the OFM/DFC for approval prior to requesting reimbursement. OMB Circular No. A-87, Cost Principles for State, Local, and Indian Tribal Governments, will be used as a guideline for these proposals. b. The Financial Manager of the agency requesting reimbursement of either regular labor of permanent Federal agency personnel or overhead costs must provide written certification with the bill, stating that costs would normally be paid from a trust, revolving, or other fund. c. Cost of Federal assistance provided by agencies performing work pursuant to disaster assistance authorities independent of the Stafford Act are not eligible for reimbursement. D. Methods of Reimbursement The preferred methods for reimbursing Federal agencies are Treasury's OPAC system and electronic funds transfer. E. Reimbursement for Property Agencies providing support under the authority of the Stafford Act will account for personal property in accordance with the requirements contained in the Logistics Management Support Annex to the FRP. Management controls for the procurement of personal property should provide reasonable assurance that: 1. Obligations and costs are in compliance with applicable laws; 2. Funds, property, and other assets are safeguarded against fraud, waste, loss, or unauthorized use; and 3. Expenditures in support of agency operations are properly authorized and recorded to maintain accountability over the assets. F. Reimbursement Requests and Closeout 1. To ensure fiscal accountability and improve the accuracy of the DRF, agencies may submit bills on a monthly basis regardless of the billing amount. Agencies may submit a series of partial bills or one final bill; however, agencies should submit a final bill no later than 90 days after completion of the MA, or upon written notification from DHS that the MA is terminated. If no further requests for reimbursement are forthcoming, the agency must submit a letter stating such. 2. Separate reimbursement requests are required for each individual MA. Requests for reimbursement for amendments to the original MA may be consolidated because they relate directly to the initial tasking. Agencies may use computer- generated spreadsheets if all required data elements are incorporated in the spreadsheet. Agencies should submit proposed spreadsheets to the OFM/DFC and receive prior approval for use as a reimbursement document. 3. Requests for reimbursement must identify the disaster and MA number and break down charges by major object class. Agencies may be asked to provide invoices, receiving reports, timesheets, travel vouchers, and contracts to support labor costs, overtime, equipment, and similar charges. If regular time and overtime labor are billed, they should be identified separately on the invoice by either object class or description. 4. Requests for reimbursement for the three forms of emergency aid (direct Federal assistance, Federal operations support, and technical assistance) must be separated and reported by costs. Federal agencies should indicate date, time, and address (county) where work was performed for DHS to accurately bill the States for their cost-share portion. 5. Requests for reimbursement will be submitted by the ESF primary agency. The ESF primary agencies will receive and review requests for reimbursement from all subtasked agencies. ESF primary agency program officials will ensure bills are properly documented and recommend approval/disapproval according to whether the activity was properly authorized, goods were received, and services were provided. Approval is assurance that the expenditures claimed have been reviewed and are relevant to the MA, that the costs are reasonable and supported by records maintained by the respective agencies, and that the primary agency agrees that DHS should make payment to the support agency from the original obligation to the primary agency. 6. ESF primary agencies will return all disapproved requests for reimbursement with supporting documentation to the subtasked agency. Reasons for return will be noted on or attached to the reimbursement request. Primary agencies will forward all approved requests for reimbursement with supporting documentation to the OFM/DFC for payment and notify the subtasked agency of the disposition. The mailing address for the OFM/DFC is: DHS Office of Financial Management Disaster Finance Center P.O. Box 800 Berryville, VA 22611 Attention: Mission Assignments For Federal Express delivery the address is: DHS Building 708 19844 Blue Ridge Mountain Road Bluemont, VA 22012 Attention: Mission Assignments 7. Organizations that do not fall under an ESF or that have been tasked directly by DHS will bill DHS directly. 8. All goods and services ordered by GSA for other Federal agencies, regardless of whether agencies are executing DHS-issued MAs, will be billed to the ordering agencies. GSA will use the ordering Federal agency's fund citation and billing address to process procurements. The other Federal agency will pay its vendors and subsequently request reimbursement from DHS for costs incurred under the MA. All goods and services ordered by GSA on DHS's behalf will be billed to DHS directly via OPAC, with reference to the associated disaster and obligation reference numbers. 9. The OFM/DFC will perform a financial review of the request for reimbursement and supporting documentation and forward to the Mission Assignment Coordinator (MAC) appointed for the particular disaster. The MAC will review the request for reimbursement with the designated Project Officer. Their comments will then be forwarded to the Federal Approving Official for final review and comment. All requests for reimbursement will be returned to the OFM/DFC with program signatures and comments. A chargeback will be initiated for disapproved OPAC costs and charges. 10. All MAs still open 1 year from the date of the disaster declaration will be reviewed by DHS's financial and program staff. The FCO/DRM will determine if the MA is still valid and the best source for accomplishing the work. Agencies will be required to: a. Identify MAs that should be closed and submit a final bill if necessary; or b. Identify MAs that should remain open, with revised completion dates, a description of remaining work to be completed, and the required funding to complete the work. 11. The OFM/DFC will deobligate the remaining obligated fund balance within 1 year from the date of the disaster declaration when status is not provided by the ESFs or when the FCO/DRM determines that the MA is no longer required. If it is later determined that the need for an MA exists, a new MA will have to be requested and approved by the FCO/DRM. 12. All documents supporting reimbursements received from MAs will be retained for 6 years and 3 months after final payment, in accordance with National Archives and Records Administration financial records management guidelines. G. Resolution of Reimbursement Disputes 1. A disputed request for reimbursement, whether a dispute between DHS and an ESF primary agency or between an ESF and a support agency, will be forwarded to DHS's CFO for resolution. 2. Agencies will send disputed bills for goods and services with all applicable documents and reports to the OFM/DFC. 3. The OFM/DFC will prepare an administrative report and forward the disputed bill to the CFO. The CFO may request input from the program office before forward- ing the request to the DHS Office of General Counsel, or other independent office, for resolution. VIII. Audits The DHS program office or OFM may request DHS's OIG to conduct an audit of MAs. DHS's OIG will recommend audits of MAs to the OIGs of other Federal agencies and will be available to perform audits at their request. Audits will focus on MAs that present the greatest risk of fraud, waste, or abuse. Agencies should be able to provide supporting documentation verifying that billed expenses were actually incurred in performing the MA. Agencies also will maintain source documentation that adequately supports all charges billed to DHS. IX. Applicable Financial Management Reference Materials Standard financial management policies and regulations are available in each Federal agency and should be used in responding to major disasters. General authorities and guidance on select financial operations include: A. Department of Homeland Security The Stafford Act is the basic authority for presidentially declared major disasters and emergencies. Regulations guiding implementation of the Stafford Act are contained in 44 CFR 206. B. General Accounting Office The GAO Policies and Procedures Manual for Guidance of Federal Agencies is a codification of material previously issued as General Regulations, Accounting Systems Memorandums, Accounting Principles Memorandums, Circular Letters, Bulletins, and other regulations. The provisions of this manual are applicable to all Federal agencies. C. Department of the Treasury The Treasury Financial Manual for Guidance to Departments and Agencies (Treasury Financial Manual) is the official publication in which the Department of the Treasury (Treas) issues codified instructions for the areas of Accounting Forms (Part 1); Central Accounting and Reporting (Part 2); Payroll Deductions, Withholdings (Part 3); Disbursing (Part 4); Deposits (Part 5); and Other Fiscal Matters (Part 6). D. General Services Administration 1. The Federal Travel Regulations, published by GSA, are applicable to all Federal agencies for determining per diem rates and eligible travel expenses. 2. The Federal Property Management Regulations include the policies and guidelines relating to property management and the use and disposal of property in all executive agencies (41 CFR 101). 3. The Federal Acquisition Regulation (FAR) sets forth the requirements for procuring supplies and services from government, private, and nonprofit sources. The policies in the FAR are followed by all Federal agencies. Although each agency has its own internal supplement to the FAR, it cannot change the basic policies of the FAR (48 CFR) unless exempted by law. E. Office of Management and Budget OMB Circulars and Bulletins. Particular attention should be directed to requirements specified in Circular A-11, Preparation and Submission of Budget Estimates (Part 1); Circular A-34, Budget Execution; and Circular A-73, Audit of Federal Operations and Programs. F. Other Federal Agencies Federal agencies should use their respective financial manuals, directives, and instructions. Logistics Management Support Annex Federal Logistics Partners: Department of Agriculture, Forest Service Department of Defense, U.S. Army Corps of Engineers Department of Homeland Security Department of the Interior Department of Transportation General Services Administration I. Introduction A. Purpose This annex is an overview of disaster logistics management activities and how the Department of Homeland Security (DHS) performs its logistics mission under the Federal Response Plan (FRP). B. Scope 1. This annex: a. Identifies the components of the Federal disaster logistics delivery structure; b. Provides a concept of operations for logistics management in support of the FRP; and c. Outlines DHS logistics management responsibilities and how they change as various Federal logistics providers become active during a major disaster. 2. For procedures used to execute various logistics functions, see related DHS or other Federal agency publications. (See also Section VII, References.) 3. DHS will use ESF #7 — Resource Support when activated or under the interagency agreements with the General Services Administration (GSA) to acquire medical, biohazard, or other specialized equipment, supplies, and services as required and appropriate. C. Definition 1. Logistics management is the process of planning, preparing, implementing, and evaluating all logistics functions that support an operation or activity. 2. Effective logistics management ensures all functions are executed in a unified manner to reduce costs, ensure appropriate support actions, and decrease delivery time. Individual logistics functions and associated subfunctions include: a. Materiel Management. Requisitioning, ordering, and sourcing (requirements processing); acquisition; asset visibility (resource tracking); receipt; storage and handling; security; accountability; inventory; deployment; issue and distribution; recovery; reuse; and disposition; b. Property Management (Personal Property). Accountability, inventory, disposal, and record processing; c. Facility Management. Facility selection and acquisition, building services, information systems, communications, fleet management, safety and health, and physical security; and d. Transportation Management. Transportation prioritizing, ordering, sourcing, and acquisition; time-phasing plans; and movement coordination and tracking. II. Policies A. Logistics personnel will find appropriate, time-sensitive, and cost-effective ways to fill the requirements developed by operations personnel. B. All Federal departments and agencies acting within the scope of the Robert T. Stafford Disaster Relief and Emergency Assistance Act will account for personal property in accordance with the Federal Property Management Regulations (41 Code of Federal Regulations (CFR) 4) and existing agency property management policies. This will occur whether property is acquired from an agency's own stock, from available Federal excess, or purchased with money from the Disaster Relief Fund (DRF). C. Prior to initiating orders for personal property (through mission assignment (MA) or acquisition channels), stock previously acquired from the DRF must be the first source if it can be used in a timely and cost-effective manner. D. Requests by Federal agencies to procure personal (versus real) property in support of State tasking using the DRF will be passed to the Logistics Section of the Regional Support Team (RST), Emergency Response Team (ERT), or Emergency Support Team (EST) (during their respective activations); or DHS Headquarters (HQ) (when the RST, ERT, or EST are not activated) for processing and sourcing. This will ensure requests are not duplicated and procurements are made only when cost effective or time efficient. E. If other Federal agency property is being used for response and recovery operations and this property is lost, damaged, stolen, or consumed, the agency will be reimbursed for the cost of such property if the required documentation is provided to DHS. Required documentation is outlined in the Federal Emergency Management Agency (FEMA) Manual 6150.1, Personal Property Management Program. The process for requesting reimbursement is detailed in the Financial Management Support Annex. F. When agencies' property costs are reimbursed from the DRF, ownership of the property acquired during the execution of an MA passes to DHS. G. DHS will direct the disposition of all property owned by DHS, including items held by organizations that intend to request reimbursement for the item from the DRF. This could include transfer to DHS, retention by the agency, donation to State-local government, or excess through GSA. 1. Information systems and communications devices purchased through the DRF will be retrieved and returned following each disaster operation to the DHS Disaster Information Systems Clearinghouse (DISC). The DISC will rehabilitate and repackage items for reuse in other disaster operations. 2. Other equipment and supplies purchased with DRF money and issued to support responders and field facilities will be retrieved and returned following each disaster operation to one of the three DHS Territory Logistics Centers (TLCs) serving the East, Central, and West DHS territories. Returned items will be coordinated with DHS HQ. The TLC will rehabilitate and repackage equipment and supplies for reuse in other disasters as directed by DHS HQ. The exceptions are: a. Equipment and supplies used by the Advance Element of the ERT that will be stored in the DHS Regional Offices; and b. Nonstandard TLC-stocked or nonmission capable items that will be excessed or disposed of at the disaster site. H. Property procured with funds from the DRF may be used only in support of disaster response and recovery activities, not for day-to-day operations. III. Situation To accomplish a smooth transition to disaster operations, DHS ensures a coordinated framework for Federal logistics management activities that includes logistics planning, preparedness, implementation, and evaluation in support of disaster operations. A. Disaster Condition 1. The unpredictable nature of some disasters requires that Federal agencies be prepared at a moment's notice to provide needed equipment, supplies, and services. DHS HQ maintains a base logistics capability that enables a rapid response to any disaster and is able to provide full logistics services to limited events without activating other Federal logistics partners; it can also provide immediate supplemental Federal support, as appropriate, in any disaster situation. 2. DHS will: a. Ensure agency readiness to deliver critical Initial Response Resources (IRR) and responder support goods; b. Participate in early planning and execution of disaster operations before the activation of other Federal agencies; and c. Assume open actions and closeout responsibilities from demobilizing Federal logistics partners. B. Planning Assumptions 1. Federal logistics support will be provided principally in support of Federal operations initiated through proper requests by the affected State. However, Federal logistics support and assets may be requested by the State in the form of Federal technical assistance if the logistics assets and capabilities of the affected local communities and State are overwhelmed. 2. During disaster operations, the execution of most logistics actions will be conducted through Emergency Support Function (ESF) and other Federal operations, such as ESF #1 — Transportation, ESF #2 — Communications, and ESF #7 — Resource Support and the Defense Coordinating Element. 3. DHS's logistics management capability will be established prior to ESF activation to ensure logistics activities are rapidly initiated and initial logistics services are provided until ESFs set up and begin operations. Once the ESFs and other Federal agencies are established, DHS logistics actions will complement ESF operations by preparing and deploying DHS-stored assets and handling the disposition of commodities at the end of the operation. 4. Policies and procedures for the Logistics Section of the ERT and EST will be standardized. 5. The operations element of the RST, ERT, and EST will rapidly make initial decisions on mobilization center support requirements and the IRR required. They also will activate personnel and resources in a timely manner. IV. Concept of Operations A. Federal Disaster Logistics Delivery Structure 1. The delivery structure for Federal disaster logistics depends on logistics partners that combine resources to support disaster operations. Figure LM-1 depicts Federal disaster logistics organizations and the respective disaster organizations that they support. Once a disaster event triggers the formation of disaster organizations, the day-to-day organizations listed in the first column of Figure LM-1 will staff and support the appropriate RST, ERT, and EST subelements listed in the second column. 2. In addition to these organizations, there are numerous fixed facilities and corre- sponding staffs that support the deployment of personnel and goods. The DHS HQ maintains the DISC, three TLCs, and Disaster Response Support Facilities (DRSFs), collocated with each Mobile Emergency Response Support (MERS) detachment. Each region also supports limited storage sites. Figure LM-1 — Federal Disaster Logistics Delivery Components A. Day-To-Day Organizations 1) Other Federal Logistics Partners: Regional a) NGS b) DOT c) DOD d) DOD/USACE e) NCS f) USDA/FS g) DOI 2) Other Federal Logistics Partners: Headquarters a) GSA b) DOT c) DOD d) DOD/USACE e) NCS f) USDA/FS g) DOI 3) DHS Regions a) Operations Support Division Staff 4) DHS Headquarters a) Logistics Division Staff i) Logistics DAE Cadre ii) ALC iii) TLC Staff iv) DISC v) Property Management Team (Accountable Property Officer and Property Management Officer) vi) Automated Information System Team b) Mobile Operations Division Staff i) MERS Detachments/Staff ii) MATTS c) Information Technology Systems Directorate d) Military Liaison Office B. Disaster Organizations Supported 1) RST Operations Section (corresponding ESF or staff function) 2) ERT-A/ERT Operations Section (corresponding ESF or staff function) (DFO) 3) Damage Assessment Capability 4) EST Operations Section (corresponding ESF or staff function) 5) RST Logistics Section 6) ERT-A/ERT Logistics Section (DFO) 7) Damage Assessment Capability ( ) = Field Facility Location B. Concept of Logistical Response Operations The Federal disaster logistics community is brought together when an event, or the threat of an event, triggers the activation of response personnel. Logistics management is executed continuously. During the disaster operation, logistics managers should be the first involved and the last to leave the field. Figure LM-2 illustrates the movement from a state of preparedness through a Disaster Operations Cycle to a return to a state of preparedness. It also shows how DHS logistics activities change as other Federal logistics providers become involved as the response requires more assets and support than can be provided by internal DHS assets and personnel alone. Figure LM-2 — Disaster Operations Cycle and Transition of Logistics Roles 1) Disaster Operations Cycle (continuous) a) Readiness b) Activation c) Operations d) Stand Down 2) Transition from DHS Logistics to other Federal agencies. DHS Logistics becomes ERT or EST Logistics Sections. 3) Demobilization of other Federal agencies and transition to RST, ERT, or EST Logistics Section. 4) RST, ERT, or EST Logistics Sections mostly involved in logistics management. 1. Operational Readiness Phase: Transition into Active Disaster Logistics Management a. Logistics personnel focus primarily on preparing goods for deployment. b. Logistics personnel begin to transition from day-to-day operations into active disaster logistics management activities, such as tracking deployments and processing requests for assets. Federal agency logistics staff begin to: (1) Anticipate initial requirements; (2) Participate in decision-making meetings; (3) Develop strategic logistics plans for consideration by the Operations Section Chief and other leadership; and (4) Establish communications and coordination among Federal logistics partners to begin initial planning to transport goods and to locate mobilization centers. c. The DHS HQ generally performs readiness activities and prepares to transition into ERT and EST roles. DHS logistics elements also may be executing activities typically covered by ESFs #1 or #7, because they do not have the authority to act until they receive an activation notice and startup funding (which usually occurs during the next phase). 2. FRP Activation Phase: Federal Logistics Partners Transition to ESF Operations a. Logistics providers are formally activated. Operations personnel form requirements, and logistics staff deploys teams as well as IRR and responder support goods. The field infrastructure for receiving personnel and goods is being developed, with mobilization centers being established and property management personnel arriving. b. An interagency logistics team forms to ensure the rapid location, acquisition, and setup of key field facilities (including the Disaster Field Office (DFO) and mobilization centers); operation of the field Movement Coordination Center (MCC); and initiation of resource acquisition operations. At a minimum, this team would include representatives from the Department of Transportation (DOT), U.S. Army Corps of Engineers (USACE), GSA, Department of Agriculture/Forest Service (USDA/FS), and DHS Logistics. c. As the core for the RST, ERT, and EST operations support, logistics personnel perform the following functions: (1) Track the movement of assets; (2) Set up the DFO and other field facilities; (3) Support the deployment and receipt of response assets, including IRR items; (4) Coordinate deployments through the MCC to the mobilization centers; (5) Translate operations-generated requirements into specifications; and (6) Analyze requisitions to determine cost-effective and timely means to meet requirements. d. Except for managing and deploying DHS-held assets, DHS logistics elements transition all other hands-on execution activities, as required, to the other Federal logistics providers. DHS national and regional logistics personnel then assume a broader logistics management role through the RST, ERT, and EST Logistics Sections. 3. Operations Phase: Delivery of Assistance a. Activated Federal logistics providers have the ability, authority, and funding to execute tasks including: (1) DOT manages the acquisition of transportation as the primary agency for ESF #1, administers the MCC to track shipments and deploying teams, and furnishes Federal Aviation Administration and U.S. Coast Guard aircraft upon request. (2) After coordinating with internal Federal sources, GSA procures resources needed by the responders and victims, locates and rents field facilities (e.g., DFO and mobilization centers), and arranges contracts for transportation in support of ESF #1. (3) USDA/FS establishes receiving and distribution operations at the mobilization centers and supports a DHS property management team by executing property accountability on items stored at these locations. (4) The Department of Defense (DOD) supports DOT and GSA as requested. b. The ERT, RST, and EST logistics activities focus on providing and coordinating delivery of required resources to sustain operations. (Materiel management, property management, facility management, and transportation management constitute the majority of all logistics operations.) DHS's role in hands-on execution diminishes during this phase. 4. Stand-Down Phase: Transfer of Responsibilities to DHS a. As response operations begin to diminish, the Federal Coordinating Officer (FCO), RST Director, and EST Director demobilize the other Federal agencies from their respective operations. b. The ERT, RST, and EST Logistics Sections assume the responsibility for and closeout of any logistics activities left unaccomplished by the other Federal agencies. (For example, as the USDA/FS demobilizes staff from the mobilization centers, the ERT and EST Logistics Sections work jointly to ensure all assets are disposed of in the disaster area, or are retrieved, refurbished, and returned to one of DHS's TLCs or other designated storage sites.) c. The EST Logistics Section, the key link to the TLCs, remains active for several days following demobilization of the other Federal partners from the EST. It eventually transitions personnel and work to DHS HQ. Once this is accomplished, DHS HQ closes out disaster activities by: (1) Coordinating with the ERT Logistics Section, Regional Operations Support Division Director, and TLC managers on the disposal or retrieval, refurbishment, and retrograde of DHS assets; (2) Maintaining proper property accountability processes; and (3) Conducting internal after-action meetings while participating in ERT, RST, and EST after-action meetings. d. Logistics personnel revise documents, collect and file paperwork, and develop and assign tasks to improve activities for the next event. DHS HQ may meet with other Federal logistics providers to develop a corrective action plan to improve overall cost-effectiveness and efficiency. V. Organization of the Logistics Section The ERT Logistics Section and EST Logistics Section have been standardized in accordance with DHS policy and guidance. Both structures emphasize support to disaster operations, including the setup and operation of disaster-specific facilities. A. ERT Logistics Section The ERT Logistics Section has overall responsibility for planning, organizing, and directing logistics operations. The organization, shown in Figure LM-3, comprises various section-specific management and staff functions, as well as five branches — Coordination and Planning, Resource Management, Supply, Support Services, and Information Services. Figure LM-3 — Logistics Section of the Emergency Response Team Organization Logistics Section Chief Staff of Logistics Section Chief a) Deputy Logistics Section Chief b) Administrative Assistant c) FFO Help Desk Subordinates of Logistics Section Chief 1) Coordination and Planning Branch a) Resource Tracking Group b) Movement Coordination Group c) Mobilization Center Group 2) Resource Management Branch a) Resource Coordination Group b) Property Management Group c) Ordering Group 3) Supply Branch a) Warehouse Group b) Supply Room Group c) Mail Room Group d) Receiving Group 4) Support Services Branch a) Space Management Group b) Building Services Group c) Transportation Services Group d) Field Services Group e) Reproduction/Printing Group 5) Information Service Branch a) Telecom Services Group b) Network/ADP Services Group c) Information Center Group B. EST Logistics Section The EST Logistics Section plans, organizes, and supports logistics operations. The organization, shown in Figure LM-4, performs six principal activities: 1. Supports the mobilization, deployment, initial operations, retrieval, and storage of DHS-owned national assets, including those dispatched as part of an initial response resources plan, until the ERT Logistics Section becomes fully operational; 2. Supports the mobilization, deployment, and retrograde of teams; 3. Supports the ERT Logistics Section; 4. Tracks deploying resources; 5. Aids in requisition processing, sourcing, ordering, and allocation as necessary; and 6. Coordinates information systems support to the EST. Figure LM-4 — Logistics Section of the Emergency Support Team Organization Logistics Section Chief Staff of the Logistics Chief a) Administrative Assistant b) Special Assistant c) Resource Tracking Unit Leader d) Resource Tracking System Inputter Subordinates of the Logistics Chief 1) Information Branch Chief a) Field Support Specialist b) ETS Support Specialist 2) Supply Branch Chief a) Ordering Specialist b) Resource Management Specialist 3) Transportation Coordination Branch Chief a) MCC Liaison VI. Responsibilities Refer to DHS publication 9380.1-PR, Logistics Management Operations Manual, for a detailed list of responsibilities. VII. References Additional information on DHS's logistics management system may be found in a number of publications. The following include the most relevant: A. Logistics Management Overview, FEMA Manual 9380.1-VW, December 1997 (draft). B. Logistics Management Operations Manual, FEMA Manual 9380.1-PR, December 1997 (draft). C. Personal Property Management Program, FEMA Manual 6150.1, July 1996. D. DISC Operating Procedures, February 1996. E. EST Logistics Section Operations and SOP Manual (unnumbered), July 1995 (under revision). F. ERT Logistics Section Operations and SOP Manual (unnumbered), May 1994. G. Motor Vehicle Management and Operations Manual, FEMA Manual 6250.2. VIII. Terms and Definitions A. Accountable Property Property that (a) has an acquisition cost of $15,000 or more; (b) has a unique, identifiable serial number (e.g., computer or telecommunications equipment); or (c) is considered "sensitive" (i.e., easily pilfered), such as cellular telephones, pagers, and laptop computers. B. Agency Logistics Center An organization that provides centralized control, transportation, deployment, and accountability of all disaster support goods within the TLC network. The Agency Logistics Center (ALC) was developed to enhance readiness and response, improve accountability of disaster assets, and reduce overall disaster costs. C. Asset Visibility Monitoring of the inventory levels of all goods that can be used for disaster operations that are in storage sites and of their movements to designated locations. Resource tracking is a subcomponent of asset visibility because it views only a subset of the overall inventory and tracks assets as they are applied to a specific disaster. D. Assets See Resources. E. Disaster Information Systems Clearinghouse An organization that provides centralized control, deployment, and accountability of disaster information systems. The DISC is located at DHS's Mount Weather Emergency Operations Center in Bluemont, VA. F. Disaster Response Support Facility A storage facility located near each DHS MERS detachment, which houses MERS vehicles and associated disaster support materiel. G. Goods Equipment and supplies. H. Initial Response Resources Critical goods provided to victims and all levels of government responders immediately after a disaster occurs. IRR goods are used to augment State and local capabilities. DHS is responsible for storing and maintaining a limited quantity of critical IRR goods, initiating the acquisition of nonstocked items through Federal logistics partners, and pre- positioning equipment and supplies when required. IRR goods include equipment (e.g., emergency generators and refrigerated vans) and supplies (e.g., food, water, personal hygiene items). I. Logistics Information Management System DHS's official automated personal property management system. J. Mobilization Center The designated location at which response personnel and resources are received from the point of arrival and pre-positioned for deployment to a local staging area or directly to an incident site as required. A mobilization center also provides temporary support services, such as food and billeting, for response personnel prior to their deployment. K. Personal Property Any property other than real property, which includes land, buildings, and other structures owned or leased by the Federal Government. In this annex, personal property is used interchangeably with equipment, supplies, and goods. L. Requirements Processing Analysis of requests for goods or technical services, translating these requests into meaningful specifications, completing requisite paperwork (e.g., Request for Federal Assistance Form or DHS Form 40-1), and entering the request into the resource tracking system. Alternately known as the resource ordering process. M. Resource Tracking Monitoring the processing of requirements, source selection, movement, receipt, distribu- tion, use, and recovery of goods, tactical teams, and technical service personnel for a specific operation. The resource tracking function is a subcomponent of DHS's overall asset visibility system because it focuses only on the movement of a small group of items, teams, and personnel from the Federal Government's resources. N. Resources All personnel and major goods available, or potentially available, for assignment to operations. Resources are described by kind and type. O. Territory Logistics Centers TLCs are DHS's strategically located logistics centers that support disaster operations through a variety of preparedness and response measures. These centers serve as storage sites for strategic disaster supplies and equipment, including initial supplies of certain IRR goods and prepackaged kits to support disaster field facilities. Skilled logistics personnel may be supplied from these centers to support disaster operations. Three geographically dispersed TLCs are located at Fort Gillem, GA; Fort Worth, TX; and Moffett Field, CA. This page intentionally left blank. Occupational Safety and Health Support Annex I. Introduction A. Purpose This annex provides guidelines to minimize the risk of injury or illness to federally deployed personnel who are involved in disaster response, recovery, or mitigation operations. B. Scope 1. This annex applies to all personnel, regardless of agency affiliation, who are deployed to the field or any other location in response to or in anticipation of either a Federal disaster declaration or a Federal disaster exercise, whether on or off duty, and whether on or off federally controlled premises. For the purposes of this annex, "federally deployed personnel" means full-time and part-time Federal employees, Disaster Assistance Employees, reservists, local hires, and any other federally controlled personnel, whether staff, managers, or executives, who are working in response, recovery, or mitigation in support of a federally declared disaster or Federal disaster exercise. These personnel may be deployed at disaster sites, at interim staging points, or in support functions at headquarters (HQ) (Emergency Support Team), regional offices (Regional Support Team), or other locations. In some cases, deployed personnel will include employees and volunteers with recognized voluntary organizations who have been deployed under the Federal Response Plan (FRP). 2. The goal of this annex is to ensure deployed personnel work and reside in as safe and healthful an environment as possible. This annex: a. Provides a point of reference for identifying and addressing the safety and health hazards that may threaten personnel involved in disaster response, recovery, or mitigation, whether in an actual disaster or a disaster exercise; b. Delineates responsibilities for protecting personnel from these hazards and for providing prompt and effective remedial actions if and when a disaster-related illness or injury takes place; c. Develops and implements a standard reporting system to centrally document the occurrence of disaster-related illnesses and injuries; and d. Ensures the signatory agencies of the FRP take all reasonable steps to protect deployed personnel from disaster-related hazards, including, but not limited to, compliance with safety and health standards established by the Occupational Safety and Health Administration (OSHA) and other regulatory bodies. II. Policies A. In accordance with applicable OSHA and other agency regulations, all signatory agencies to the FRP are responsible for protecting the safety and health of their personnel deployed to a disaster or disaster exercise. This includes, for example, allocating sufficient resources for safety and health protection, training staff, purchasing protective clothing and equipment as needed, and correcting unsafe or unsanitary conditions. B. The Department of Homeland Security (DHS) will carry out safety and health activities applicable to a disaster or exercise to include the following: 1. Consistent with the Incident Command System (ICS) organizational structure, inclusion of a qualified Disaster Safety Officer (DSO) as a member of the Federal Coordinating Officer's (FCO's) Command Staff; 2. Identification and coordination of abatement of hazards that may be encountered at a disaster or exercise site; and 3. Provision of basic safety and health training and information for all deployed personnel. C. Tasked agencies will provide personal protective equipment (PPE) for all their staff needing such equipment. Agencies will ensure these individuals are fitted and trained in the use of their PPE prior to using the equipment. D. The DSO will implement a system to report, investigate, and recommend remediation for accidents, injuries, and illnesses related to the disaster or the exercise. This system should include centralized collection and maintenance of safety- and health- related documentation and records. Workers' compensation reports may contribute to the reporting system but should not be construed as sole fulfillment of this requirement. E. The DSO will provide written evaluations, after-action reports, and exit reports on the disaster safety and health activities. The DSO will include input from other agency safety personnel as appropriate. III. Situation A. Disaster Conditions The requirement for rapid response to a disaster increases the risk that personnel may be deployed with inadequate information about the safety and health hazards that they may face. Initial hazard assessments may be revised after a more comprehensive assessment. Immediate access to survey instrumentation and proper PPE may be required to protect the safety and health of deployed personnel. Some safety and health problems that might be encountered in a disaster include the following: 1. Safety Problems. Wet or uneven floors or carpets, broken walkways, or unlit parking lots; sharp edges on equipment in crowded work areas; falling objects from unsecured or improperly stacked cabinets in office work areas; blocked fire doors or emergency escape routes; lack of emergency lighting; electrical cables strung across floors or hanging from ceilings; unprotected or ungrounded electrical circuits; traffic safety issues such as driver fatigue, unfamiliar roads, or disaster-related road hazards; hazards relating to construction equipment and operations; hazards encountered by field inspectors in and around damaged or unsafe structures; and fire or other hazards created by poor housekeeping. 2. Health Problems. Ergonomic issues related to lifting and carrying, seating, or video display terminals; repetitive motion injury from using power tools, computers, or other equipment; reactions to particulate matter, chemicals, radioactive materials, or microbial contaminants such as fungi from mildewed carpets; exposure to asbestos or other contaminants that cause delayed or long- term health effects; infectious diseases (including vector-borne illnesses) that may be aggravated by crowded work spaces, poor ventilation, or poor air quality; exposure to weather extremes without adequate protective gear or time to become acclimated to the conditions; damage to eyes, hearing, or respiratory system as a result of failure to wear protective goggles, earplugs, or breathing apparatus; fatigue, stress, or hypoglycemia from poor nutrition or inadequate rest breaks; and exposure to diseases indigenous to the disaster area. B. Planning Assumptions 1. The FCO is responsible for protection of the health and safety of deployed personnel. The FCO is represented in this regard on a day-to-day basis by the DSO. 2. The DSO will coordinate occupational safety and health-related activities overall. As indicated in Emergency Support Function #8 — Health and Medical Services, the Centers for Disease Control and Prevention (CDC) of the Department of Health and Human Services (HHS) assists in monitoring emergency worker health and safety. The DSO will request mission assignments as needed for CDC, as well as for other agencies, such as OSHA. 3. All signatory agencies participating in disaster activity will: a. Ensure their deployed staff observes all normal safety and health practices of their respective agencies; b. Provide safety staff, equipment, and training for specialized field responders such as firefighters, Urban Search and Rescue task forces, Disaster Medical Assistance Teams, etc.; and c. Cooperate with the DSO in implementing disaster occupational safety and health activities. 4. Commensurate with the length and nature of the disaster, participating agency safety officers will form an Interagency Health and Safety Coordinating Committee coordinated by the DSO to meet as required to enhance the overall safety and health of deployed personnel. IV. Concept of Operations For the purposes of this annex, emergency operations have been divided into three phases: (1) the readiness phase, during which a disaster declaration is considered imminent; (2) the operations phase, during which response actions are under way; and (3) the stand-down phase, during which operations are being significantly reduced and ultimately terminated. A. Phase I: Readiness 1. Readiness phase activities will include: a. Collecting relevant information on the situation; b. Alerting required staff; and c. Deploying to, or near, the potential disaster location as appropriate. 2. Upon imminent or actual declaration of a disaster, a DSO will be designated, along with a roster of replacement DSOs to rotate throughout disaster operations if necessary. 3. The DSO, as part of the Advance Element of the Emergency Response Team (ERT-A), will inspect and approve field facilities prior to leasing to ensure compliance with all applicable safety, health, and fire criteria. In addition, the DSO will identify any other probable safety and health hazards that could be expected to be found on initiation of on-site disaster response operations. The DSO will establish liaison with safety and health personnel of CDC, OSHA, and other agencies as needed. No personnel should be deployed to the scene of an emergency that may involve a response to hazardous materials until the DSO has coordinated PPE with those agencies leading a response under another plan. 4. Prior to Federal deployment, the DSO will: a. Obtain information on probable disaster-related safety and health hazards; b. Provide procedures and coordinate the acquisition of equipment to mitigate the effects of the anticipated hazards to the greatest degree possible; and c. Ensure all deployed personnel are informed about potential hazards and mitigation measures that may be employed. B. Phase II: Operations During operations, the DSO will: 1. Ensure a safe and healthful working and living environment is maintained for staff during the disaster; 2. Establish a system for accomplishing required follow-up activity after the disaster; 3. Establish and maintain a visible safety and health presence at the disaster site and at all support sites, including mobilization centers, the Disaster Field Office warehouse, and Disaster Recovery Centers; 4. Integrate safety and health activity into the operating routine of the FCO command structure; 5. Identify, investigate, and coordinate abatement of safety and health problems; 6. Mobilize resources in fields such as radiological safety, industrial hygiene, safety engineering, and other specialties as needed; 7. Ensure deployed personnel are aware of anticipated hazards, their potential impacts, and possible prevention or countermeasures; 8. Establish and maintain liaison among Federal, State, and local officials concerned with safety and health; and 9. Collect and review information for required reports. C. Phase III: Stand Down 1. The DSO, upon approval by the DHS Designated Agency Safety and Health Official (DASHO), will ensure the disaster safety operation has a smooth closeout or transition to a successor responsible authority by: a. Concluding DSO functions and activities; b. Providing follow-up information to deployed personnel; and c. Evaluating and documenting the effectiveness of the disaster safety and health effort: (1) Debrief deployed personnel on safety and health issues applicable to the disaster; (2) Produce a written evaluation of the safety and health initiative, including accomplishments, concerns and issues, lessons learned, and recommendations, for inclusion in the disaster after-action report; (3) Complete all required reports; and (4) Forward all safety and health documentation to the DHS DASHO. 2. The DHS DASHO will: a. Provide follow-up recommendations to the Secretary, DHS and, as required, to FRP signatory agencies; and b. Monitor follow-up actions. 3. The FCO will provide written safety and health recommendations for future FCOs to the DASHO and to the Secretary, DHS. V. Responsibilities All signatory agencies, managers, and supervisors will, to the best of their ability, provide and maintain a safe and healthful workplace for all deployed personnel at all times and follow prescribed safety and health criteria. Following are the responsibilities of FRP signatory agencies in ensuring safety and health protection for disaster personnel: A. Department of Homeland Security 1. Establish disaster-specific safety and health guidance and policies for deployed personnel in cooperation with HHS, OSHA, and other agencies. 2. Establish a Federal Interagency Occupational Safety and Health Committee comprised of safety staff of deploying agencies to monitor and coordinate disaster safety and health operations. B. Department of Labor, Occupational Safety and Health Administration Make available safety and health specialists to provide safety-specific assistance to affected disaster response agencies as required by the FCO. Requirements may include safety consultation and training programs, air contaminant sampling and analysis, and other safety services preparatory to, during, and/or following disaster operations under the FRP. C. Department of Health and Human Services Coordinate a wide range of clinical, medical, and health-specific assistance, as required by the FCO. Requirements may include the following: 1. Identify endemic or other potential disease-causing entities that may be present at the disaster site. Advise deployed personnel of the hazards and the appropriate countermeasures; 2. Provide health inspections of disaster workplaces as required; 3. Establish and staff emergency-care clinic facilities to be used by personnel on site. These clinics should be able to triage, treat, and arrange for transportation to off-site centers for severe medical emergencies; 4. Perform environmental surveillance to detect and counteract infectious diseases; 5. Inspect and ensure food safety; 6. Develop and issue disease alerts to personnel, as needed, before, during, and after the disaster; 7. Provide technical assistance to DHS's Stress Management Program; and 8. Provide other health assistance and/or other services as specified by the FCO preparatory to, during, and/or following disaster operations under the FRP. D. General Services Administration Obtain and maintain suitable, safe, and healthful working facilities for deployed personnel. These facilities must meet all applicable safety, health, and fire criteria. E. Other Signatory Agencies Appoint representatives as needed to provide safety and health service oversight for requirements unique to their specific operations. VI. References A. Federal Emergency Management Agency (FEMA) Instruction 6900.5, FEMA Safety and Occupational Health Program Authorities and Responsibilities, January 30, 1996. B. FEMA Manual 6900.3, FEMA Occupational Safety and Health Program Manual, March 1997. VII. Terms and Definitions A. After-Action Report Following Federal response to a disaster under the FRP, DHS will coordinate an after- action report documenting the Federal response effort. Each Federal agency involved in the response will keep records of its activity to assist in preparing the after-action report. B. Designated Agency Safety and Health Official The DASHO is responsible for the management of the occupational safety and health program within an agency, and is so designated or appointed by the head of the agency. The DASHO is the agency's policy-level advocate for the safety and health of its personnel. C. Disaster Safety Officer The DSO is appointed by the DHS DASHO and represents the DHS DASHO in all occupational safety and health matters within the context of the disaster or the exercise. Serves on the staff of, and reports to, the FCO, but also provides ongoing safety and health status reports to the DHS DASHO. Public Affairs Support Annex I. Introduction A. Purpose This annex provides guidance on carrying out the public affairs function in support of the Federal Government's response to a major disaster or emergency. B. Scope The mission of public affairs is to contribute to the well-being of the community following a disaster by disseminating accurate, consistent, timely, and easy-to-understand information. Specific objectives are to: 1. Instill confidence that government will conduct response and recovery operations quickly, effectively, and efficiently; 2. Provide critical information about how to apply for assistance and the location and status of life-sustaining shelters and resources; and 3. Provide authoritative information to deal with unsubstantiated rumors. II. Policies A. The Department of Homeland Security (DHS) is responsible for implementing Federal public affairs activities after a major disaster or emergency. DHS will develop strategic plans and policies, provide liaison with the directors of public affairs for other Federal agencies and the White House press office, and determine the need for a Joint Information Center (JIC). B. In a major disaster or emergency, a JIC will be established as a central point for coordination of emergency public information, public affairs activities, and media access to information about the latest developments. The JIC is a physical location where Public Affairs Officers (PAOs) from involved agencies come together to ensure the coordination and release of accurate and consistent information that is disseminated quickly to the media and the public. 1. A JIC may be established at DHS Headquarters (HQ) and/or near the scene of the disaster. Release of information between the two will be well coordinated to the maximum extent possible. 2. Only one primary Federal JIC will be in a major disaster area, preferably collocated with the Disaster Field Office (DFO), either in the same structure or an adjacent structure. This close proximity is designed to facilitate the JIC's access to sources of information about the disaster operation and enable leadership access to the JIC. 3. HQ and on-scene JICs may be established through the execution of other Federal emergency operations plans or under special procedures. C. Before its release, Federal, State, and local disaster information will be coordinated to the maximum extent possible to ensure consistency and accuracy. D. All Federal agencies may use their own mechanisms for releasing information. No editorial or policy control is exercised by the coordinating PAO over other agencies' release of information about their own policies, procedures, or programs. E. State and local governments, as well as voluntary and private responding organizations, are encouraged to participate in and share the resources of the JIC. If collocating at the JIC is not feasible, all organizations are encouraged to conduct their information activities in cooperation with the JIC. III. Situation A. After a major disaster, normal means of communications in the affected area may be destroyed or severely disrupted; therefore, only limited and incomplete information may be expected from the area until communications can be restored. B. The period immediately following a major disaster is critical in setting up the large and complex mechanism that will be needed to respond to the emergency public information and news requirements generated by the disaster. IV. Concept of Operations A. Organization The primary organizational elements of a JIC may vary depending on the size of the disaster and the location of the JIC (HQ or on scene). Generally, these elements include: 1. The chief spokesperson for DHS in an HQ JIC is the DHS Director of Media Affairs, or a designee, who fields inquiries from national news media. The chief spokesperson in an on-scene JIC is the lead PAO, who may be operating from a Regional Operations Center (ROC) until a JIC is set up in the disaster area. The lead PAO will consult the DHS Director of Media Affairs to ensure a smooth transition to field operations; 2. Media Relations serves as the primary point of contact (POC) for the media for information regarding all disaster response, recovery, and mitigation programs provided by DHS, the State, and other Federal, State, local, and voluntary agencies. This includes providing the media accurate and timely information on disaster operations, working with members of the media to encourage accurate and constructive news coverage, monitoring media coverage to ensure critical messages are being reported, and identifying potential issues or problems that could have an impact on public confidence in the response and recovery effort; 3. Creative Services gathers information about response, recovery, and mitigation operations and develops and produces information for dissemination by the JIC to the print and broadcast media; 4. Multilingual Operations ensures non-English-speaking populations receive accurate and timely information about disaster response, recovery, and mitigation programs through appropriate media and in their languages to the extent possible; and 5. Special Projects plans and executes projects such as print and broadcast media public service campaigns, video documentation, surveys, special productions, and logistical support of public meetings and presentations. B. Headquarters-Level Response Structure 1. The DHS Director of Media Affairs will: a. Serve as the White House liaison for all media activities in major disasters and emergencies; b. Coordinate public affairs policy, planning, and operations for disaster response in consultation with other agency public affairs directors; c. Represent DHS on an HQ interagency group, comprised of the senior public affairs representatives from each JIC member agency, which comes together periodically to help guide the policies of the JIC and coordinate significant JIC activities; and d. Manage overall HQ JIC operations and activities. 2. Federal information released after a disaster is coordinated by and disseminated from HQ offices through the establishment of a JIC in Washington, DC, in consultation with the RST media affairs team, until an on-scene JIC is operational in the disaster area. Depending on space requirements and availability, the HQ JIC will be located at DHS, with backup locations available at nearby agencies. 3. Once the on-scene JIC is operational, it will assume primary responsibility for originating and coordinating Federal information released to the media and the public. The HQ JIC will continue to operate as long as necessary as a satellite of the on-scene JIC, and will provide information services to media in the Washington, DC, area. 4. DHS HQ will provide centralized services to support the JIC in the field. These services include production of the Recovery Times newsletter and daily updates for the media, DHS Radio Network, national media monitoring and analysis, JIC reports, Internet services, and nationwide broadcast fax. C. Regional-Level Response Structure 1. The on-scene lead PAO serves as the primary POC in the field, handling public information responsibilities in support of the Federal Coordinating Officer (FCO). The lead PAO also oversees hour-to-hour JIC operations (in a particularly large- scale disaster, a JIC Coordinator may assume responsibility for JIC operations). 2. The on-scene JIC should be located where members of the news media are likely to gather. If the DFO is at a remote site, a fully staffed satellite JIC should be established to work with the on-site media. Authority to release public information will remain at the primary JIC. 3. The primary functions of the on-scene JIC are to: a. Provide response and recovery information to individuals, families, and businesses and industries directly or indirectly affected by the disaster; b. Monitor news coverage to ensure accurate information is being disseminated; c. Take action to correct misunderstandings, misinformation, and incorrect information concerning the disaster response, recovery, and mitigation operations that appear in the news media; d. Ensure non-English-speaking populations receive accurate and timely information about disaster response, recovery, and mitigation operations through appropriate news media and, to the extent possible, in their languages; e. Use a broad range of resources to disseminate information to disaster victims and the general public, including the Recovery Times newsletter, DHS Radio Network, DHS Recovery Radio, Recovery Channel, broadcast fax, and the Internet, as well as traditional print and broadcast news media; f. Maintain contact with and gather information from Federal, State, local, and voluntary organizations taking part in disaster response operations; g. Handle appropriate special projects such as news conferences and press operations for disaster area tours by DHS officials and others; h. Provide public affairs support and advice to the FCO and FCO staff; and i. Coordinate with the Logistics Section to provide basic facilities, such as com- munications, office space, and supplies, to assist the news media in disseminating information to the public. (These facilities are provided as long as the FCO determines their provision to be in the public interest.) V. Response Actions A. Initial Actions On notification that a major disaster or emergency has occurred, the Director of Media Affairs at DHS HQ will: 1. Contact counterparts at other Federal agencies to determine whether there is to be unilateral response to news media or a coordinated response, with one agency serving to articulate the Federal response; 2. Determine the need for a JIC after consulting other Federal agencies; 3. Contact the regional PAO of the affected area (or other regional official; or, failing to reach the region, contact the State PAO), to relay information on Federal interagency plans; and 4. Coordinate with the FCO and the Emergency Support Team in assigning a lead PAO to deploy to the disaster site and assume public information responsibilities at the JIC. B. Continuing Actions 1. The Director of Media Affairs will: a. Provide advice and support to the Catastrophic Disaster Response Group and keep it apprised of all public affairs actions; b. Serve as the focal point for all incoming information from the on-scene lead PAO and JIC; and c. Ensure JIC procedures in the DHS Emergency Information Field Guide are put into action. 2. The lead PAO will: a. Assume the on-scene lead PAO role on arrival at the disaster area. At that time the DHS regional PAO will assume a key management position (either deputy or special assistant, as specified by the Public Affairs Emergency Response Team roster). A JIC Coordinator may assume responsibility for the hour-to-hour operations of the JIC; b. Represent the FCO (or FCO's deputy) with the media, public, and other agencies; and c. Serve as an advisor to the FCO and implement public affairs policies and procedures as established by the Director of Media Affairs. 3. Each person representing a JIC member organization will function in two capacities: a. Represent the agency in carrying out its public affairs mission; and b. Provide public affairs services in support of the various JIC missions. Terrorism Incident Annex Signatory Agencies: Department of Defense Department of Energy Department of Health and Human Services Department of Homeland Security Department of Justice, Federal Bureau of Investigation Environmental Protection Agency I. Introduction Presidential Decision Directive (PDD)-39, U.S. Policy on Counterterrorism, establishes policy to reduce the Nation's vulnerability to terrorism, deter and respond to terrorism, and strengthen capabilities to detect, prevent, defeat, and manage the consequences of terrorist use of weapons of mass destruction (WMD). PDD-39 states that the United States will have the ability to respond rapidly and decisively to terrorism directed against Americans wherever it occurs, arrest or defeat the perpetrators using all appropriate instruments against the sponsoring organizations and governments, and provide recovery relief to victims, as permitted by law. Responding to terrorism involves instruments that provide crisis management and consequence management. "Crisis management" refers to measures to identify, acquire, and plan the use of resources needed to anticipate, prevent, and/or resolve a threat or act of terrorism. The Federal Government exercises primary authority to prevent, preempt, and terminate threats or acts of terrorism and to apprehend and prosecute the perpetrators; State and local governments provide assistance as required. Crisis management is predominantly a law enforcement response. "Consequence management" refers to measures to protect public health and safety, restore essential government services, and provide emergency relief to governments, businesses, and individuals affected by the consequences of terrorism. State and local governments exercise primary authority to respond to the consequences of terrorism; the Federal Government provides assistance as required. Consequence management is generally a multifunction response coordinated by emergency management. Based on the situation, a Federal crisis management response may be supported by technical operations, and by Federal consequence management, which may operate concurrently (see Figure TI-1). "Technical operations" include actions to identify, assess, dismantle, transfer, dispose of, or decontaminate personnel and property exposed to explosive ordnance or WMD. Figure TI-1 —Relationship Between Crisis Management and Consequence Management Response Elements a) Law Enforcement b) Threat Assessment and Consultation c) WMD Technical Support d) Follow-on Assets to Support the Response to Consequences on Lives and Property Division of Response Elements Between Crisis Management & Consequence Management 1) Crisis Management a) Law Enforcement b) Threat Assessment and Consultation c) WMD Technical Support 2) Consequence Management b) Threat Assessment and Consultation c) WMD Technical Support d) Follow-on Assets to Support the Response to Consequences on Lives and Property Crisis Management and Consequence Management overlap at b) Threat Assessment and Consultation and c) WMD Technical Support. A. Purpose This annex ensures the Federal Response Plan (FRP) is adequate to respond to the consequences of terrorism within the United States, including terrorism involving WMD. This annex: 1. Describes crisis management. Guidance is provided in other Federal emergency operations plans; 2. Defines the policies and structures to coordinate crisis management with consequence management; and 3. Defines consequence management, which uses the FRP process and structure, supplemented as necessary by resources normally activated through other Federal emergency operations plans. B. Scope This annex: 1. Applies to all threats or acts of terrorism within the United States that the White House determines require a response under the FRP; 2. Applies to all Federal departments and agencies that may be directed to respond to the consequences of a threat or act of terrorism within the United States; and 3. Builds on the process and structure of the FRP by addressing unique policies, situations, operating concepts, responsibilities, and funding guidelines required for response to the consequences of terrorism. II. Policies A. PDD-39 validates and reaffirms existing lead agency responsibilities for all facets of the U.S. counterterrorism effort. B. The Department of Justice (DOJ) is designated as the lead agency for threats or acts of terrorism within U.S. territory. DOJ assigns lead responsibility for operational response to the Federal Bureau of Investigation (FBI). Within that role, the FBI operates as the on-scene manager for the Federal Government. It is FBI policy that crisis management will involve only those Federal agencies requested by the FBI to provide expert guidance and/or assistance, as described in the PDD-39 Domestic Deployment Guidelines (classified) and the FBI WMD Incident Contingency Plan. C. The Department of Homeland Security (DHS) is designated as the lead agency for consequence management within U.S. territory. DHS retains authority and responsi- bility to act as the lead agency for consequence management throughout the Federal response. It is DHS policy to use FRP structures to coordinate all Federal assistance to State and local governments for consequence management. D. To ensure there is one overall Lead Federal Agency (LFA), PDD-39 directs DHS to support DOJ (as delegated to the FBI) until the Attorney General transfers the overall LFA role to DHS. DHS supports the overall LFA as permitted by law. III. Situation A. Conditions 1. FBI assessment of a potential or credible threat of terrorism within the United States may cause the FBI to direct other members of the law enforcement community and to coordinate with other Federal agencies to implement a prerelease response. a. FBI requirements for assistance from other Federal agencies will be coordinated through the Attorney General and the President, with coordination of National Security Council (NSC) groups as warranted. b. DHS will advise and assist the FBI and coordinate with the affected State and local emergency management authorities to identify potential consequence management requirements and with Federal consequence management agencies to increase readiness. 2. An act that occurs without warning and produces major consequences may cause DHS to implement a post-release consequence management response under the FRP. DHS will exercise its authorities and provide concurrent support to the FBI as appropriate to the specific incident. B. Planning Assumptions 1. No single agency at the Federal, State, local, or private-sector level possesses the authority and expertise to act unilaterally on many difficult issues that may arise in response to a threat or act of terrorism, particularly if WMD are involved. 2. An act of terrorism, particularly an act directed against a large population center within the United States involving WMD, may produce major consequences that would overwhelm the capabilities of many State and local governments almost immediately. 3. Major consequences involving WMD may overwhelm existing Federal capabilities as well, particularly if multiple locations are affected. 4. Federal, State, and local responders will define working perimeters that may overlap. Perimeters may be used to control access to the area, target public information messages, assign operational sectors among responding organizations, and assess potential effects on the population and the environment. Control of these perimeters may be enforced by different authorities, which will impede the overall response if adequate coordination is not established. 5. If appropriate personal protective equipment is unavailable, entry into a contami- nated area (i.e., a Hot Zone) may be delayed until the material dissipates to levels that are safe for emergency response personnel. Responders should be prepared for secondary devices. 6. Operations may involve geographic areas in a single State or multiple States, involving responsible FBI Field Offices and Regional Offices as appropriate. The FBI and DHS will establish coordination relationships as appropriate, based on the geographic areas involved. 7. Operations may involve geographic areas that spread across U.S. boundaries. The Department of State is responsible for coordination with foreign governments. IV. Concept of Operations A. Crisis Management (Source: FBI, National Security Division, Domestic Terrorism/Counterterrorism Planning Section) 1. PDD-39 reaffirms the FBI's Federal lead responsibility for crisis management response to threats or acts of terrorism that take place within U.S. territory or in international waters and that do not involve the flag vessel of a foreign country. The FBI provides a graduated, flexible response to a range of incidents, including: a. A credible threat, which may be presented in verbal, written, intelligence- based, or other form; b. An act of terrorism that exceeds the local FBI field division's capability to resolve; c. The confirmed presence of an explosive device or WMD capable of causing a significant destructive event, prior to actual injury or property loss; d. The detonation of an explosive device, use of a WMD, or other destructive event, with or without warning, that results in limited injury or death; and e. The detonation of an explosive device, use of a WMD, or other destructive event, with or without warning, that results in substantial injury or death. 2. The FBI notifies DHS and other Federal agencies providing direct support to the FBI of a credible threat of terrorism. The FBI initiates a threat assessment process that involves close coordination with Federal agencies with technical expertise, to determine the viability of the threat from a technical standpoint as well as tactical and behavioral standpoints. 3. The FBI provides initial notification to law enforcement authorities within the affected State of a threat or occurrence that the FBI confirms as an act of terrorism. 4. If warranted, the FBI implements an FBI response and simultaneously advises the Attorney General, who notifies the President and NSC groups as warranted, that a Federal crisis management response is required. If authorized, the FBI activates multiagency crisis management structures at FBI Headquarters (HQ), the responsible FBI Field Office, and the incident scene (see Figure TI-2). Federal agencies requested by the FBI, including DHS, will deploy a representative(s) to the FBI HQ Strategic Information and Operations Center (SIOC) and take other actions as necessary and appropriate to support crisis management. (The FBI provides guidance on the crisis management response in the FBI WMD Incident Contingency Plan.) 5. If the threat involves WMD, the FBI Director may recommend to the Attorney General, who notifies the President and NSC groups as warranted, to deploy a Domestic Emergency Support Team (DEST). The mission of the DEST is to provide expert advice and assistance to the FBI On-Scene Commander (OSC) related to the capabilities of the DEST agencies and to coordinate follow-on response assets. When a Joint Operations Center (JOC) is formed, DEST components merge into the JOC structure as appropriate. (The FBI provides guidance on the DEST in the PDD-39 Domestic Deployment Guidelines (classified).) 6. During crisis management, the FBI coordinates closely with local law enforcement authorities to provide a successful law enforcement resolution to the incident. The FBI also coordinates with other Federal authorities, including DHS. Figure TI-2 — Crisis Management Structures The Command Structure starts at the President and goes down thru 1) The Attorney General/FBI Director to 2) The FBI SOC to 3) The FBI Command Post (or JOC) who operate at the scene/incident site. The Coordination Structure is provided by NSC Groups and occurs between the Attorney General/FBI Director and the President 7. The FBI Field Office responsible for the incident site modifies its Command Post to function as a JOC and establishes a Joint Information Center (JIC). The JOC structure includes the following standard groups: Command, Operations, Support, and Consequence Management. Representation within the JOC includes some Federal, State, and local agencies (see Figure TI-3). 8. The JOC Command Group plays an important role in ensuring coordination of Federal crisis management and consequence management actions. Issues arising from the response that affect multiple agency authorities and responsibilities will be addressed by the FBI OSC and the other members of the JOC Command Group, who are all working in consultation with other Federal, State, and local representatives. Although the FBI OSC retains authority to make Federal crisis management decisions at all times, operational decisions are made cooperatively to the greatest extent possible. The FBI OSC and the Senior DHS Official at the JOC will provide, or obtain from higher authority, an immediate resolution of conflicts in priorities for allocation of critical Federal resources (such as airlift or technical operations assets) between the crisis management and the consequence management response. Figure TI-3 — FBI Joint Operations Center Structure Lead Group - Command Group Coordination Groups to the Command Group – 1) Media/Legal 2) DEST Subordinate Groups and their subordinate components - 1) Operations Group a) Negotiations Component b) Aviation and Special Ops Component c) Hazardous Materials Response Unit d) Joint Technical Operations Team e) Joint Interagency Intelligence Support Element f) Tactical Component g) Technical Component 2) Support Group a) Administrative Component b) Logistics Component c) Legal Component d) Liaison Component Communications Component e) Media Component 3) Consequence Management Group a) FBI Liaison b) DHS Component c) DOD Component d) DOE Component e) EPA Component f) HHS Component g) State EM Component h) Local EM Component i) Other FRP Agencies as Requested Coordination occurs between the three Subordinate groups, 1) Operations Group, 2) Support Group, and 3) Consequence Management Group. Coordination also occurs between the two Coordination Groups, the 1) Media/Legal Component and 2) DEST and one Subordinate Group, the Consequence Management Group. 9. A DHS representative coordinates the actions of the JOC Consequence Management Group, expedites activation of a Federal consequence management response should it become necessary, and works with an FBI representative who serves as the liaison between the Consequence Management Group and the FBI OSC. The JOC Consequence Management Group monitors the crisis management response to advise on decisions that may have implications for consequence management, and to provide continuity should a Federal consequence management response become necessary. Coordination will also be achieved through the exchange of operational reports on the incident. Because reports prepared by the FBI are "law enforcement sensitive," DHS representatives with access to the reports will review them, according to standard procedure, to identify and forward information to Emergency Support Function (ESF) #5 — Information and Planning that may affect operational priorities and action plans for consequence management. B. Consequence Management 1. Prerelease a. DHS receives initial notification from the FBI of a credible threat of terrorism. Based on the circumstances, DHS HQ and the responsible DHS region(s) may implement a standard procedure to alert involved DHS officials and Federal agencies supporting consequence management. b. DHS deploys representatives with the DEST and deploys additional staff for the JOC, as required, to provide support to the FBI regarding consequence management. DHS determines the appropriate agencies to staff the JOC Consequence Management Group and advises the FBI. With FBI concurrence, DHS notifies consequence management agencies to request that they deploy representatives to the JOC. Representatives may be requested for the JOC Command Group, the JOC Consequence Management Group, and the JIC. c. When warranted, DHS will consult immediately with the Governor's Office and the White House to determine if Federal assistance is required and if DHS is permitted to use authorities of the Robert T. Stafford Disaster Relief and Emergency Assistance Act to mission-assign Federal consequence management agencies to predeploy assets to lessen or avert the threat of a catastrophe. These actions will involve appropriate notification and coordination with the FBI, as the overall LFA. d. DHS HQ may activate an Emergency Support Team (EST) and may convene an executive-level meeting of the Catastrophic Disaster Response Group (CDRG). When DHS activates the EST, DHS will request FBI HQ to provide liaison. The responsible DHS region(s) may activate a Regional Support Team (RST) and deploy a representative(s) to the affected State(s). When the responsible DHS region(s) activates an RST, the region(s) will notify the responsible FBI Field Office(s) to request a liaison. 2. Post-Release a. If an incident involves a transition from joint (crisis/consequence) response to a threat of terrorism to joint response to an act of terrorism, then consequence management agencies providing advice and assistance at the JOC prerelease will reduce their presence at the JOC post-release as necessary to fulfill their consequence management responsibilities. The Senior DHS Official and staff will remain at the JOC until the FBI and DHS agree that liaison is no longer required. b. If an incident occurs without warning that produces major consequences and appears to be caused by an act of terrorism, then DHS and the FBI will initiate consequence management and crisis management actions concurrently. DHS will consult immediately with the Governor's Office and the White House to determine if Federal assistance is required and if DHS is permitted to use the authorities of the Stafford Act to mission-assign Federal agencies to support a consequence management response. If the President directs DHS to implement a Federal consequence management response, then DHS will support the FBI as required and will lead a concurrent Federal consequence management response (see Figure TI-4). Figure TI-4 — Coordination Relationships Coordination is provided to the President from the Crisis Management and Consequence Management Structures in tandem with NSC Groups. Crisis Management Structure 1) Attorney General/FBI Director 2) FBI SOC 3) FBI Command Post (or JOC) Consequence Management Structure 1) DHS Secretary 2) CDRG/EST 3) ROC (DFO) 4) State EOC 5) Local EOC Coordination occurs at the following levels A. The Attorney General/FBI Director and the DHS Secretary with the NSC Groups B. The Attorney General/FBI Director with the DHS Secretary C. The FBI SOC with the CDRG/EST D. The FBI Command Post (or JOC) with the ROC (DFO), State EOC, and Local EOC Together the coordination relationship forms a Unified Command structure. c. The overall LFA (either the FBI or DHS when the Attorney General transfers the overall LFA role to DHS) will establish a JIC in the field, under the operational control of the overall LFA's Public Information Officer, as the focal point for the coordination and provision of information to the public and media concerning the Federal response to the emergency. Throughout the response, agencies will continue to coordinate incident-related information through the JIC. DHS and the FBI will ensure appropriate spokespersons provide information concerning the crisis management and consequence management responses. Before a JIC is activated, public affairs offices of responding Federal agencies will coordinate the release of information through the FBI SIOC. d. During the consequence management response, the FBI provides liaison to either the RST Director or the Federal Coordinating Officer (FCO) in the field, and a liaison to the EST Director at DHS. Although the RST Director or FCO retains authority to make Federal consequence management decisions at all times, operational decisions are made cooperatively to the greatest extent possible. e. As described previously, resolution of conflicts between the crisis management and consequence management responses will be provided by the Senior DHS Official and the FBI OSC at the JOC or, as necessary, will be obtained from higher authority. Operational reports will continue to be exchanged. The FBI liaisons will remain at the EST and the RST or DFO until DHS and the FBI agree that a liaison is no longer required. 3. Disengagement a. If an act of terrorism does not occur, the consequence management response disengages when the Secretary, DHS, in consultation with the FBI Director, directs DHS HQ and the responsible region(s) to issue a cancellation notification by standard procedure to appropriate DHS officials and FRP agencies. FRP agencies disengage according to standard procedure. b. If an act of terrorism occurs that results in major consequences, each FRP component (the EST, CDRG, RST, and DFO if necessary) disengages at the appropriate time according to standard procedure. Following FRP disengage- ment, operations by individual Federal agencies or by multiple Federal agencies under other Federal plans may continue to support the affected State and local governments with long-term hazard monitoring, environmental decontamination, and site restoration (cleanup). V. Responsibilities A. Department of Justice PDD-39 validates and reaffirms existing lead agency responsibilities for all facets of the U.S. counterterrorism effort. DOJ is designated as the overall LFA for threats or acts of terrorism that take place within the United States until the Attorney General transfers the overall LFA role to DHS. DOJ delegates this overall LFA role to the FBI for the operational response. On behalf of DOJ, the FBI will: 1. Consult and advise the White House, through the Attorney General, on policy matters concerning the overall response; 2. Designate and establish a JOC in the field; 3. Appoint an FBI OSC to manage and coordinate the Federal operational response (crisis management and consequence management). As necessary, the FBI OSC will convene and chair meetings of operational decision makers representing lead State and local crisis management agencies, DHS, and lead State and local consequence management agencies to provide an initial assessment of the situation, develop an action plan, monitor and update operational priorities, and ensure the overall response (crisis management and consequence management) is consistent with U.S. law and achieves the policy objectives outlined in PDD-39. The FBI and DHS may involve supporting Federal agencies as necessary; and 4. Issue and track the status of actions assigned by the overall LFA. B. Department of Justice, Federal Bureau of Investigation Under PDD-39, the FBI supports the overall LFA by operating as the lead agency for crisis management. The FBI will: 1. Determine when a threat of an act of terrorism warrants consultation with the White House, through the Attorney General; 2. Advise the White House, through the Attorney General, when the FBI requires assistance for a Federal crisis management response, in accordance with the PDD- 39 Domestic Deployment Guidelines; 3. Work with DHS to establish and operate a JIC in the field as the focal point for information to the public and the media concerning the Federal response to the emergency; 4. Establish the primary Federal operations centers for the crisis management response in the field and Washington, DC; 5. Appoint an FBI OSC (or subordinate official) to manage and coordinate the crisis management response. Within this role, the FBI OSC will convene meetings with operational decision makers representing Federal, State, and local law enforcement and technical support agencies, as appropriate, to formulate incident action plans, define priorities, review status, resolve conflicts, identify issues that require decisions from higher authorities, and evaluate the need for additional resources; 6. Issue and track the status of crisis management actions assigned by the FBI; and 7. Designate appropriate liaison and advisory personnel to support DHS. C. Department of Homeland Security Under PDD-39, DHS supports the overall LFA by operating as the lead agency for conse- quence management until the overall LFA role is transferred to DHS. DHS will: 1. Determine when consequences are "imminent" for the purposes of the Stafford Act; 2. Consult the Governor's Office and the White House to determine if a Federal consequence management response is required and if DHS is directed to use Stafford Act authorities. This process will involve appropriate notification and coordination with the FBI, as the overall LFA; 3. Work with the FBI to establish and operate a JIC in the field as the focal point for information to the public and the media concerning the Federal response to the emergency; 4. Establish the primary Federal operations centers for consequence management in the field and Washington, DC; 5. Appoint a RST Director or FCO to manage and coordinate the Federal consequence management response in support of State and local governments. In coordination with the FBI, the RST Director or FCO will convene meetings with decision makers of Federal, State, and local emergency management and technical support agencies, as appropriate, to formulate incident action plans, define priorities, review status, resolve conflicts, identify issues that require decisions from higher authorities, and evaluate the need for additional resources; 6. Issue and track the status of consequence management actions assigned by DHS; 7. Designate appropriate liaison and advisory personnel to support the FBI; and 8. As needed, provide assets of the National Disaster Medical System and/or the Metropolitan Medical Response System. D. Federal Agencies Supporting Technical Operations 1. Department of Defense As directed in PDD-39, the Department of Defense (DOD) will activate technical operations capabilities to support the Federal response to threats or acts of WMD terrorism. DOD will coordinate military operations within the United States with the appropriate civilian lead agency(ies) for technical operations. 2. Department of Energy As directed in PDD-39, the Department of Energy (DOE) will activate technical operations capabilities to support the Federal response to threats or acts of WMD terrorism. In addition, the FBI has concluded formal agreements with potential LFAs of the Federal Radiological Emergency Response Plan (FRERP) that provide for interface, coordination, and technical assistance in support of the FBI's mission. If the FRERP is implemented concurrently with the FRP: a. The Federal OSC under the FRERP will coordinate the FRERP response with the DHS official (either the RST Director or the FCO), who is responsible under PDD-39 for coordination of all Federal support to State and local governments; b. The FRERP response may include on-site management, radiological monitoring and assessment, development of Federal protective action recommendations, and provision of information on the radiological response to the public, the White House, Members of Congress, and foreign governments. The LFA of the FRERP will serve as the primary Federal source of information regarding on-site radiological conditions and off-site radiological effects; and c. The LFA of the FRERP will issue taskings that draw on funding from the responding FRERP agencies. 3. Department of Health and Human Services As directed in PDD-39, the Department of Health and Human Services (HHS) will activate technical operations capabilities to support the Federal response to threats or acts of WMD terrorism. HHS may coordinate with individual agencies identified in the HHS Health and Medical Services Support Plan for the Federal Response to Acts of Chemical/Biological (C/B) Terrorism to use the structure, relationships, and capabilities described in the HHS plan to support response operations. If the HHS plan is implemented: a. The HHS on-scene representative will coordinate, through the ESF #8 — Health and Medical Services Leader, the HHS plan response with the DHS official (either the RST Director or the FCO), who is responsible under PDD-39 for on-scene coordination of all Federal support to State and local governments; b. The HHS plan response may include threat assessment, consultation, agent identification, epidemiological investigation, hazard detection and reduction, decontamination, public health support, medical support, and pharmaceutical support operations; and c. HHS will issue taskings that draw on funding from the responding HHS plan agencies. 4. Environmental Protection Agency As directed in PDD-39, the Environmental Protection Agency (EPA) will activate technical operations capabilities to support the Federal response to acts of WMD terrorism. EPA may coordinate with individual agencies identified in the National Oil and Hazardous Substances Pollution Contingency Plan (NCP) to use the structure, relationships, and capabilities of the National Response System as described in the NCP to support response operations. If the NCP is implemented: a. The Hazardous Materials On-Scene Coordinator under the NCP will coordinate, through the ESF #10 — Hazardous Materials Chair, the NCP response with the DHS official (either the RST Director or the FCO), who is responsible under PDD-39 for on-scene coordination of all Federal support to State and local governments; and b. The NCP response may include threat assessment, consultation, agent identification, hazard detection and reduction, environmental monitoring, decontamination, and long-term site restoration (environmental cleanup) operations. VI. Funding Guidelines A. As stated in PDD-39, Federal agencies directed to participate in the resolution of terrorist incidents or conduct of counterterrorist operations bear the costs of their own participation, unless otherwise directed by the President. This responsibility is subject to specific statutory authorization to provide support without reimbursement. In the absence of such specific authority, the Economy Act applies, and reimbursement cannot be waived. B. DHS can use limited predeployment authorities in advance of a Stafford Act declaration to "lessen or avert the threat of a catastrophe" only if the President expresses intention to go forward with a declaration. This authority is further interpreted by congressional intent, to the effect that the President must determine that assistance under existing Federal programs is inadequate to meet the crisis, before DHS may directly intervene under the Stafford Act. The Stafford Act authorizes the President to issue "emergency" and "major disaster" declarations. 1. Emergency declarations may be issued in response to a Governor's request, or in response to those rare emergencies, including some acts of terrorism, for which the Federal Government is assigned in the laws of the United States the exclusive or preeminent responsibility and authority to respond. 2. Major disaster declarations may be issued in response to a Governor's request for any natural catastrophe or, regardless of cause, any fire, flood, or explosion that has caused damage of sufficient severity and magnitude, as determined by the President, to warrant major disaster assistance under the Stafford Act. 3. If a Stafford Act declaration is provided, funding for consequence management may continue to be allocated from responding agency operating budgets, the Disaster Relief Fund, and supplemental appropriations. C. If the President directs DHS to use Stafford Act authorities, DHS will issue mission assignments (MAs) through the FRP to support consequence management. 1. MAs are reimbursable work orders, issued by DHS to Federal agencies, directing completion of specific tasks. Although the Stafford Act states that "Federal agencies may [emphasis added] be reimbursed for expenditures under the Act" from the Disaster Relief Fund, it is DHS policy to reimburse Federal agencies for eligible work performed under MAs. 2. MAs issued to support consequence management will follow DHS's Standard Operating Procedures for the Management of Mission Assignments or applicable superseding documentation. D. DHS provides the following funding guidance to the FRP agencies: 1. Commitments by individual agencies to take precautionary measures in anticipation of special events will not be reimbursed under the Stafford Act, unless mission-assigned by DHS to support consequence management; and 2. Stafford Act authorities do not pertain to law enforcement functions. Law enforcement or crisis management actions will not be mission-assigned for reimbursement under the Stafford Act. VII. References A. Presidential Decision Directive-39, U.S. Policy on Counterterrorism (classified). An unclassified extract may be obtained from DHS. B. PDD-39 Domestic Deployment Guidelines (classified). C. PDD-62, Protection Against Unconventional Threats to the Homeland and Americans Overseas (classified). D. FBI WMD Incident Contingency Plan. E. HHS Health and Medical Services Support Plan for the Federal Response to Acts of Chemical/Biological Terrorism. VIII. Terms and Definitions A. Biological Agents The FBI WMD Incident Contingency Plan defines biological agents as microorganisms or toxins from living organisms that have infectious or noninfectious properties that produce lethal or serious effects in plants and animals. B. Chemical Agents The FBI WMD Incident Contingency Plan defines chemical agents as solids, liquids, or gases that have chemical properties that produce lethal or serious effects in plants and animals. C. Consequence Management DHS defines consequence management as measures to protect public health and safety, restore essential government services, and provide emergency relief to governments, businesses, and individuals affected by the consequences of terrorism. D. Credible Threat The FBI conducts an interagency threat assessment that indicates the threat is credible and confirms the involvement of a WMD in the developing terrorist incident. E. Crisis Management The FBI defines crisis management as measures to identify, acquire, and plan the use of resources needed to anticipate, prevent, and/or resolve a threat or act of terrorism. F. Domestic Emergency Support Team PDD-39 defines the DEST as a rapidly deployable interagency support team established to ensure the full range of necessary expertise and capabilities are available to the on- scene coordinator. DHS is responsible for the DEST in domestic incidents. G. Lead Agency The FBI defines lead agency, as used in PDD-39, as the Federal department or agency assigned lead responsibility to manage and coordinate a specific function — either crisis management or consequence management. Lead agencies are designated on the basis of their having the most authorities, resources, capabilities, or expertise relative to accomplishment of the specific function. Lead agencies support the overall LFA during all phases of the terrorism response. H. Nuclear Weapons The Effects of Nuclear Weapons (DOE, 1977) defines nuclear weapons as weapons that release nuclear energy in an explosive manner as the result of nuclear chain reactions involving fission and/or fusion of atomic nuclei. I. Senior Department of Homeland Security Official The official appointed by the Secretary of DHS or his representative to represent DHS on the Command Group at the JOC. The Senior DHS Official is not the FCO. J. Technical Operations As used in this annex, technical operations include actions to identify, assess, dismantle, transfer, dispose of, or decontaminate personnel and property exposed to explosive ordnance or WMD. K. Terrorist Incident The FBI defines a terrorist incident as a violent act, or an act dangerous to human life, in violation of the criminal laws of the United States or of any State, to intimidate or coerce a government, the civilian population, or any segment thereof in furtherance of political or social objectives. L. Weapon of Mass Destruction Title 18, U.S.C. 2332a, defines a WMD as (1) any destructive device as defined in Section 921 of this title, [which reads] any explosive, incendiary, or poison gas, bomb, grenade, rocket having a propellant charge of more than four ounces, missile having an explosive or incendiary charge of more than one-quarter ounce, mine, or device similar to the above; (2) poison gas; (3) any weapon involving a disease organism; or (4) any weapon that is designed to release radiation or radioactivity at a level dangerous to human life.