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Homeland Security

Appendix I


1. Background

a. Purpose. The FRP establishes a process and structure for the systematic, coordinated, and effective delivery of federal assistance to address the consequences of any major disaster or emergency declared under the Stafford Act and Emergency Assistance Act. The FRP—

(1) Sets forth fundamental policies, planning assumptions, CONOPs, response and recovery actions, and federal agency responsibilities.

(2) Describes the array of federal response, recovery, and mitigation resources available to augment state and local efforts to save lives; protect public health, safety, and property; and aid affected individuals and communities in rebuilding after a disaster.

(3) Organizes the types of federal response assistance that a state is most likely to need under the FRP's 12 ESFs, each of which has a designated primary agency.

(4) Describes the process and methodology for implementing and managing federal recovery and mitigation programs and support/technical services.

(5) Addresses linkages to other federal emergency OPLAN developed for specific incidents.

(6) Provides a focus for interagency and intergovernmental emergency preparedness, planning, training, exercising, coordination, and information exchange.

(7) Serves as the foundation for the development of detailed supplemental plans and procedures to implement federal response and recovery activities rapidly and efficiently.

b. Scope.

(1) The FRP's concepts apply to major disaster(s) or emergency(ies) as defined under the Stafford Act, which includes natural catastrophes (fire, flood, or explosion [regardless of cause]) or any other occasion or instance for which the President determines that federal assistance is needed to supplement state and local efforts and capabilities. Throughout the FRP, any reference to a disaster, major disaster, or emergency generally means a presidentially declared major disaster or emergency under the Stafford Act.

(2) The full range of complex and constantly changing requirements that the FRP covers after a disaster are as follows: saving lives, protecting property, and meeting basic human needs (response); restoring the disaster-affected area (recovery); and reducing vulnerability to future disasters (mitigation). The FRP does not specifically address long-term reconstruction and redevelopment.

(3) The FRP applies to all signatory federal departments and independent agencies that may be tasked to provide assistance in a major disaster or emergency.

(4) Under the FRP, a state means any state of the US, the District of Columbia, Puerto Rico, the Virgin Islands, Guam, American Samoa, and the Commonwealth of the Northern Mariana Islands. Two former trust territories (but now independent countries) are also deemed eligible for assistance under the Compact of Free Association— the Republic of the Marshall Islands and the Federated States of Micronesia.

c. National Disaster-Response Framework.

(1) The combined emergency management authorities, policies, procedures, and resources of local, state, and federal governments, as well as voluntary disaster-relief organizations, the private sector, and international sources constitute a national disaster-response framework for providing assistance following a major disaster or an emergency.

(2) Within this framework, the federal government can provide personnel, equipment, supplies, facilities, as well as managerial, technical, and advisory services in support of state and local disaster-assistance efforts. Various federal statutory authorities and policies establish the bases for providing these resources. FEMA has compiled a separate compendium of legal authorities supporting the FRP that lists emergency-response and recovery-related directives, together with a summary interpretation of each legal citation.

(3) The FRP describes the structure for organizing, coordinating, and mobilizing federal resources to augment state and local response efforts under the Stafford Act and its implementing regulations that appear in 44 Code of Federal Regulations (CFR) 206. The FRP also may be used with the federal agency emergency OPLAN developed under other statutory authorities, as well as MOUs among various federal agencies.

(4) The FRP may be implemented in response to the consequences of terrorism, according to PDD 39 and PDD 62 that set forth US counterterrorism policy. The FRP Terrorism Incident Annex describes the CONOPS for a unified response to a terrorism incident involving two or more of the following plans: the FRP, the FBI WMD Incident Contingency Plan, the DHHS Health and Medical Services Support Plan for the Federal Response to Acts of CB Terrorism, the NCP, and the FRERP.

2. Concept of Operations

a. General.

(1) Most disasters and emergencies are handled by local and state responders. The federal government is called upon to provide supplemental assistance when the consequences of a disaster exceed local and state capabilities. If needed, the federal government can mobilize an array of resources to support state and local efforts. Various emergency teams, support personnel, specialized equipment, operating facilities, assistance programs, and access to private-sector resources constitute the overall federal disaster operations system. The FRP describes the major components of the system, as well as the structure for coordinating federal response and recovery actions necessary to address state-identified requirements and priorities by use of assets through mechanisms such as the ESF program.

(2) The FRP employs a multiagency operational structure that uses the principles of the ICS, based on a model adopted by the fire and rescue community. The ICS can be used in any size or type of disaster to control response personnel, facilities, and equipment.

(3) The FRP can be partially or fully implemented in anticipation of a significant event or in response to an actual event. Selective implementation through the activation of one or more of the system's components allows maximum flexibility in meeting the unique operational requirements of the situation and interacting with differing state systems and capabilities.

b. Concurrent Implementation of Other Federal Emergency Plans.

(1) An incident involving hazardous substances, WMD, or other lethal agents or materials may require a response under another federal emergency OPLAN (the NCP, the FRERP, etc.). These plans delineate measures necessary to handle or contain released materials and keep the public properly informed and protected.

(2) Several of these plans designate a LFA to coordinate the federal response. The LFA is determined by the type of emergency. In general, a LFA (the FBI) establishes operational structures and procedures to assemble and work with agencies providing direct support to the LFA in order to obtain an initial assessment of the situation, develop an action plan, and monitor and update operational priorities. The LFA ensures that each agency exercises its concurrent and distinct authorities and supports the LFA in carrying out relevant policy. Specific responsibilities of a LFA vary according to the agency's unique statutory authorities.

c. Emergency-Support Functions.

(1) The FRP employs a functional approach that groups under 12 ESFs the types of direct federal assistance that a state is most likely to need (e.g., mass care, health and medical services), as well as the kinds of federal operations support necessary to sustain federal response actions (e.g., transportation, communications). ESFs are expected to support one another in carrying out their respective missions.

(2) Each ESF is headed by a designated agency on the basis of its authorities, resources, and capabilities in a particular functional area. Other agencies have been designated as support agencies for one or more ESFs based on their resources and capabilities to support the functional area(s). ESF agency designations are shown in Table I-1.

Table I-1. Emergency Support Function Designation Matrix

Table I-1. Emergency Support Function Designation Matrix

(3) Federal response assistance required under the FRP is provided using some or all of the ESFs, as necessary. FEMA will issue a mission assignment to task a primary agency for necessary work to be performed on a reimbursable basis. The primary agency may in turn task support agencies if needed. Specific ESF missions, organizational relationships, response actions, and primary and support agency responsibilities are described in the FRP. In cases where required assistance is outside the scope of an ESF, FEMA may directly task any federal agency to bring its resources to bear in the disaster operation.

(4) RFAs from local jurisdictions are channeled to the SCO through the designated state agencies according to the state's emergency operation plan (EOP) and then to the FCO or designee for consideration. Based on state-identified response requirements and the FCO's or designee's approval, the designated agency for the ESF coordinates with its counterpart state agencies or, if directed, with local agencies to provide the assistance required. Federal fire, rescue, and emergency medical responders arriving on scene are then integrated into the local ICS structure.

d. Military Support.

(1) The DOD maintains significant resources (personnel, equipment, and supplies) that may be available to support the federal response to a major disaster or an emergency. The DOD will normally provide support only when other resources are unavailable and only if such support does not interfere with its primary mission or ability to respond to operational contingencies.


An ESF-10 (HAZMAT, WMD) response will be based on the NCP with the USCG having the lead in the coastal zone.

(2) Based on the magnitude and type of disaster and the anticipated level of resource involvement, DOD may use or establish a JTF to consolidate and manage supporting operational military activities. TFs are multiservice organizations created to provide a CM response to a major natural or man-made disaster or an emergency. A JTF commander exercises OPCON of all allocated DOD assets (except USACE personnel executing ESF Number 3 missions and USSOCOM assets); provides personnel, equipment, and supplies to the affected area; and provides disaster-response support based on mission assignments received.

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