State Emergency Management and Homeland Security: More Changes Ahead After Hurricane Katrina By Beverly Bell
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1 State Emergency Management and Homeland Security: More Changes Ahead After Hurricane Katrina By Beverly Bell Similar to the attacks of Sept. 11, 2001, Hurricane Katrina shone a bright light on the nation s level of preparedness and revealed serious gaps in the country s ability to respond to another terrorist attack. Debate continues on whether the federal government s focus on preparing for a terrorism incident has overlooked the more common threat of natural disasters. Adequate funding for allhazards is a major concern for all state and local emergency managers, particularly since federal mandates in preparedness and response increase regularly, without matching federal funding. Introduction The events of 2005 served as a wake-up call that Mother Nature remains a serious threat to the nation s security. Hurricanes Katrina and Rita required the largest deployment of federal, state and interstate resources in this country s history. It will take years for the Gulf Coast to fully recover. Yet, since 2001, terrorism prevention has been the main focus of the federal government. Homeland security activities have been funded, often at the expense of all-hazards planning and day-to-day public safety programs. Additional federal initiatives such as the National Preparedness Goal, the National Incident Management System and the National Response Plan have been created in an attempt to bring uniformity and consistency to preparedness and response efforts. It is not known if the natural disasters of 2005 will change the federal government s focus on terrorism. All that is known is that the new national priority of homeland security has created a dynamic and complex interaction of local, state and federal governments, the private sector and the international community. Emergency Management s Purpose and Structure The main responsibilities of state emergency management agencies include the following: ß All facets of preparation such as the development of emergency operation plans and procedures for disasters and emergencies; as well as conducting training, drills and exercises. ß During a disaster, coordinating emergency response such as the facilitation of resources and supplemental assistance to local governments when events exceed their capabilities; managing transportation and evacuation; overseeing the emergency operation center and acting as the lead in incident management. ß During and after a disaster, assisting the governor s office by 1) providing accurate and realistic information for crisis communication, 2) activating mutual aid agreements, 3) providing damage assessments and estimates; coordinating public information and warnings, and 4) managing resources and logistics; facilitating sheltering and mass care; coordinating local volunteer organizations. The organization of state emergency management agencies varies widely. In 13 states, 1 the emergency management agency is located within the department of public safety; in 17 states it is located within the military department under the auspices of the adjutant general; and in 13 states, it is located within the governor s office. Regardless of agencies organizational structure for daily operations, emergency management ranks high among governors priorities. In 32 states, the emergency management director is appointed by the governor. The position is appointed by the adjutant general in nine states and by the secretary of public safety in six states. Emergency Management-Homeland Security Relationship and Structure Three and a half years after a National Strategy for Homeland Security was developed, many states still face the challenge of assimilating homeland security into their emergency management and response systems. Even as this integration takes place, the relationship between the two is still being defined. Does emergency management with its long-standing focus on preparedness, mitigation, response and recovery encompass homeland security? Or is emergency management a discipline within the objective of homeland security? While questions remain, all states have moved forward in their homeland security structures. Each The Council of State Governments 467
2 Table A: State Emergency Management: Agency Structure, Budget and Staffing Agency Full-time State or other Position Appointed/ operating budget employee jurisdiction appointed selected by Reports to Organizational structure FY 2006 positions Alabama... G G Department of Emergency Management $ 900, Alaska... G ADJ Adjutant General/Military Affairs 2,330, Arizona... G G Governor s Office 1,340, Arkansas... G G Department of Emergency Management 1,146, California... G G Governor s Office 37,694, Colorado CS ED Department of Local Affairs 600, Connecticut... G C Emergency Management/Homeland Security 1,500, Delaware... G HSD Dept. of Safety & Homeland Security 650, Florida... G G Department of Community Affairs 28,865, Georgia... G G Governor s Office 3,200, (a) Hawaii... ADJ ADJ Department of Defense 1,500, Idaho... ADJ ADJ Adjutant General/Military Department 1,300, (a) Illinois... G G Governor s Office 30,000, Indiana... G G Department of Homeland Security 942, Iowa... G ADJ Department of Public Defense 2,740, Kansas ADJ ADJ Adjutant General/Military Department 600, (a) Kentucky... G ADJ Adjutant General/Military Department 3,200, Louisiana... G G Governor s Office 980, Maine... ADJ ADJ Adjutant General/Military Department 986, Maryland... G ADJ Adjutant General/Military Department 2,511, Massachusetts... G PSS Public Safety 3,600, Michigan CS SPS State Police 4,500, Minnesota... G PSS Public Safety 4,952, (a) Mississippi... G G Governor s Office 2,377, Missouri... ADJ ADJ Adjutant General/Military Department 3,000, Montana CS ADJ Adjutant General/Military Department 454, Nebraska... ADJ ADJ Adjutant General/Military Department 885, Nevada... PSS PSS Public Safety 680, New Hampshire... PSS PSS Public Safety 3,208, New Jersey... G AG State Police 3,409, New Mexico G G Public Safety 1,070, New York... G G Public Safety 6,100, North Carolina... G PSS Public Safety 2,500, North Dakota... ADJ ADJ Adjutant General/Military Department 470, Ohio... PSS PSS Public Safety 4,164, Oklahoma... G G Governor s Office 680, Oregon... HS HS Governor s Office 1,800, Pennsylvania... G G Governor s Office 8,000, Rhode Island... G ADJ Adjutant General/Military Department 572, South Carolina... ADJ ADJ Adjutant General/Military Department 922, South Dakota... PSS PSS Public Safety 2,860, Tennessee... G ADJ Adjutant General/Military Department 3,475, Texas... SPS HS Governor s Office 1,200, Utah... PSS PSS Public Safety 797, Vermont... PSS PSS Public Safety 3,700, Virginia... G PSS Public Safety 11,300, Washington... ADJ ADJ Adjutant General/Military Department 3,879, West Virginia... G ADJ Military Affairs & Public Safety 1,269, Wisconsin... G ADJ Adjutant General/Military Department 2,996, Wyoming......(b)... Dist. of Columbia... M DM Public Safety 3,100, Guam CS HSD Governor s Office 598, No. Mariana Islands... G G Governor s Office 1.487, (Continuing Resolution) No budget yet Puerto Rico... G G Governor s Office 7,314, U.S. Virgin Islands... G ADJ Adjutant General/Military Department 569, Source: The National Emergency Management Association, September Key: Yes... No G Governor GO Governor s Office ADJ Adjutant General AG Attorney General ED Executive Director M Mayor C Commissioner HSD Homeland Security Director/Secretary DM Deputy Mayor PSS Public Safety Secretary/Commissioner/Director SPS State Police Superintendent/Commissioner CS Civil Service PS Public Safety HS Homeland Security SP State Police (a) Homeland security and emergency management share positions. (b) Wyoming is not a member of NEMA, and therefore is not represented in the survey data. 468 The Book of the States 2006
3 state has a designated homeland security point of contact. This position has become a critical component of a governor s staff and one that has an enormous responsibility to the public for preparing citizens, businesses and governments for the next emergency or large-scale disaster. To date, 22 states have established a unique position of homeland security advisor or homeland security director. In 11 states, the emergency management director is the primary point of contact, and in seven states it is the adjutant general. Seven public safety secretaries/commissioners also serve in the position. Increasingly, the homeland security director is becoming less of a political appointment in the governor s office and more institutionalized in the organizational structure of state government. Currently, 39 states have authorized their homeland security offices, departments or agencies through either executive order or state statute. The majority of funding for these state homeland security offices comes from the federal government in the form of grants. In fact, 39 states receive at least 60 percent of their homeland security funding from federal monies. Of these 39 states, 21 receive 100 percent from federal funding. The number of state personnel dedicated to homeland security activities ranges from one person to 1,160 people. Many states continue to modify the structure of their homeland security office. Fifteen states house the day-to-day operations in the governor s office while seven run it out of the adjutant general/military affairs department. Ten states have the homeland security function in their emergency management office, while another 11 operate out of their public safety department. The remaining states have other structures in place. Lack of Commitment to Key Funding For the past several years, Congress and the federal government have provided billions of dollars to build a national capacity for domestic preparedness. Funding was provided through states for distribution to local governments in support of objectives identified in the statewide homeland security strategies required by the U.S. Department of Homeland Security. Congress requires that 80 percent of all funding be passed through to local governments, leaving a much smaller amount for use by the state to coordinate the state strategy. Three years into the funding cycle, homeland security money was diverted from states to major metropolitan cities. This is creating isolated pockets of capability, rather than a coordinated statewide or regional approach. In addition, key funding for emergency management specifically is not adequate. State and local emergency management rely on federal funds to prepare for, respond to and recover from a disaster. The Emergency Management Performance Grant (EMPG) is the only source of federal funding to state and local governments for planning, training exercises and personnel for all-hazards. EMPG is a pass-through program for states to distribute funds to local governments. It provides the foundation for basic emergency management capabilities. States are not required to pass through a set amount, but most allocate more than half their funding to local jurisdictions. At the federal level, funding is allocated in a.75 percent base plus population formula. For FY 2006, Congress appropriated an additional $5 million for EMPG, but this didn t address the $246 million shortfall identified in In an October 2005 survey, 2 state emergency management officials outlined how important EMPG is to their sustained, all-hazards efforts. For example, EMPG funds 1,566 full-time and 83 part-time state emergency management personnel, an average of 31 staff members per state. The program pays for 3,246 full-time and part-time local emergency management professionals. The grant also trains and provides exercises for more than 7,000 volunteers. Volunteers far outnumber the full-time professional staff in state and local emergency management programs. Finally, while EMPG is intended to be a matching program, state and local governments are overmatching by $96 million annually. There is a significant need for federal assistance to increase the local capacity in coordination with the states. Since local personnel are the first responders to any disaster, this inadequate emergency management capacity could seriously compromise the safety of local citizens and property. Strong Local and State Emergency Response Capabilities Needed Money remains in the pipeline for such programs as bioterrorism preparedness, law enforcement prevention activities and terrorism response equipment purchase, but funding for traditional programs such as the Predisaster Mitigation Program and the Hazard Mitigation Grant Program (HMGP) continues its decline. These programs provide long-term, critical operational funding for emergency management and the proven, successful programs that minimize the risk to property and life before a disaster occurs. HMGP, for example, is used to rebuild structures at a higher building code level, purchase repetitive loss properties and institute projects that will prevent or The Council of State Governments 469
4 Table B: Homeland Security Structures State homeland security advisor Homeland security organizations Full-time State or other Designated Operates under Day-to-day employee jurisdiction contact authority of operations under positions Alabama... Homeland Security Director SS Homeland Security Department 12 Alaska... EM Director SS Adjutant General/Military Affairs 13.5 Arizona... EM Director EAO Governor s Office 13 Arkansas... EM Director GA Emergency Management 8 California... Homeland Security Director EAO Governor s Office 53 Colorado... Public Safety Dir./Sec. GA Public Safety 15 Connecticut... Commissioner/EM/HS SS Emergency Management/Homeland Security 35 Delaware... Homeland Security Dir./Adv. GA Department of Safety and Homeland Security 35 Florida... Domestic Security Oversight Council SS Law Enforcement Dep. Comm. (a) Georgia... EM Director EAO Governor s Office 101 (b) Hawaii... Adjutant General GA Department of Defense 5 Idaho... Adjutant General EAO Adjutant General/Military Affairs 48 (b) Illinois... Governor s Office GA Emergency Management 8 Indiana... Homeland Security Dir./Adv. EAO Homeland Security Department 279 Iowa... EM Director GA/SS Department of Public Defense 25 Kansas... Adjutant General GA Emergency Management 37 (b) Kentucky... Homeland Security Dir./Adv. EAO Governor s Office 20 Louisiana... Homeland Security Dir./Adv. SS Governor s Office 10 Maine... EM Director EAO Adjutant General/Military Affairs 4 Maryland... Homeland Security Dir./Adv. EAO Governor s Office 4 Massachusetts... Public Safety Dir./Sec. EAO Public Safety 9 Michigan... EM Director EAO Emergency Management 10 Minnesota... Public Safety Dir./Sec. EAO Public Safety 53 (b) Mississippi... Homeland Security Dir./Adv. EAO Public Safety 12 Missouri... Homeland Security Dir./Adv. EAO Public Safety 13 Montana... EM Director SS Emergency Management 4 Nebraska... Lieutenant Governor GA Emergency Management 6 Nevada... EM Director GA Public Safety 5 New Hampshire... EM Director SS Public Safety 1 New Jersey... Governor s Office EAO Attorney General 1,160 New Mexico... Homeland Security Dir./Adv. EAO Governor s Office 2 New York... Homeland Security Dir./Adv. SS Governor s Office 86 North Carolina... Public Safety Dir./Sec. GA Emergency Management 15 North Dakota... EM Director SS Adjutant General/Military Affairs 7 Ohio... Public Safety Dir./Sec. SS Public Safety 23 Oklahoma... Homeland Security Dir./Adv. EAO Public Safety 12 Oregon... Homeland Security Dir./Adv. EAO Homeland Security Department 2 Pennsylvania... Homeland Security Dir./Adv. EAO Governor s Office 3 Rhode Island... Adjutant General EAO Emergency Management 6 South Carolina... State Police Superintendent SS State Police 10 (c) South Dakota... Homeland Security Dir./Adv. GA Public Safety 3 Tennessee... Homeland Security Dir./Adv. EAO Governor s Office 28 Texas... Homeland Security Dir./Adv. EAO Governor s Office 6 Utah... Public Safety Dir./Sec. GA Homeland Security Department 100 Vermont... Homeland Security Dir./Adv. EAO Public Safety 5 Virginia... Homeland Security Dir./Adv. EAO Governor s Office 3 Washington... Adjutant General EAO Adjutant General/Military Affairs 25 West Virginia... Homeland Security Dir./Adv. EAO Governor s Office 4 Wisconsin... Adjutant General EAO Adjutant General/Military Affairs (a) Wyoming (d)... Dist. of Columbia... Deputy Mayor, Public Safety GA Mayor s Office (a) Guam... Homeland Security Dir./Adv. EAO Emergency Management 8 No. Mariana Islands... Special Assistant for Homeland Security SS Governor s Office 3 Puerto Rico... Homeland Security Dir./Adv. GA Governor s Office 10 U.S. Virgin Islands... Adjutant General GA Adjutant General/Military Affairs 12 Source: The National Emergency Management Association, September Key: GA Governor s verbal authority EAO Executive/Administrative order SS State statute (a) Data not available. (b) Homeland security and emergency management share positions. (c) Five of the 10 FTEs are permanent and five are temporary positions. (d) Wyoming is not a member of NEMA, and therefore is not represented in the survey data. 470 The Book of the States 2006
5 minimize the next disaster. All mitigation lessons are particularly important to put into practice after Hurricanes Katrina and Rita. With less available funding, disaster victims have a harder time recovering economically, and remain vulnerable to future disasters. Lessons Learned from Katrina From the importance of mutual aid to addressing interoperability, Hurricane Katrina provided many lessons in preparedness, response and recovery. Federal, state and local jurisdictions alike are evaluating plans, procedures and systems so that the country is better prepared the next time a major disaster occurs. The Critical Role of Mutual Aid Hurricane Katrina required the largest disaster response in the country s history. Coordinating and deploying much of the help was the Emergency Management Assistance Compact (EMAC), a national interstate mutual aid agreement that allows support across state lines when a disaster occurs. By the end of 2005, the compact had deployed $829 million in equipment and personnel, with 49 states sending approximately 66,000 people in response to both Hurricanes Katrina and Rita. The largest EMAC response previously was during the 2004 hurricane season when four hurricanes hit the United States during a six-week period, requiring 800 personnel from 38 states. The compact s significant role in the Katrina response underscores why the federal government considers mutual aid a cornerstone in preparing the country for either a natural or man-made disaster. No government local, state or federal has all the resources to respond to all disasters. Mutual aid compacts help bridge the gap. States can capitalize on existing capabilities, years of experience and lessons learned from past disasters, which can be readily applied to all types of events, including domestic terrorist attacks. As a result, both the National Preparedness Goal and the National Incident Management System (NIMS) emphasize the importance of regional cooperation and collaboration. In fact, the National Preparedness Goal, a document which identifies capabilities the United States should have to prevent, respond to and recover from a major disaster, cites expanding regional collaboration as a national priority. All state and local governments are required to have mutual aid agreements in place by the end of fiscal year 2006 to be eligible for federal funding in the future. EMAC was formed in 1992 after the devastation of Hurricane Andrew. When it was signed into law (Public Law ) in 1996, EMAC became the first national disaster-relief agreement ratified by Congress since the Civil Defense Compact of Currently, 49 states, the District of Columbia, Puerto Rico and the Virgin Islands are members. Each member state is required to secure state legislative approval to become part of EMAC. Administered by the National Emergency Management Association, the compact includes key provisions on reimbursement, liability and workers compensation. The Importance of FEMA FEMA received serious criticism for its response to Hurricane Katrina, and as a result, has suffered major credibility issues. This contrasts with the agency s reputation in the mid- to late-1990s, when it was considered knowledgeable, adept and responsive. There are several factors explaining FEMA s decline. With the creation of DHS and FEMA s absorption into that department, the agency lost clout and influence. Its funding was also reduced. In FY 2006, FEMA has $63 million less for programmatic preparedness, mitigation, response and recovery funding compared to FY 2000, as authorized by the Congress in Appropriations legislation. Grant programs that addressed traditional all-hazards missions were transferred from the department to other DHS agencies not related to direct disaster preparedness and response. FEMA also lost expertise. Due to a mandatory hiring freeze, the agency is understaffed at the regional and federal levels. Regional offices are the direct line of communication for state and local governments to tap into federal resources. This lack of personnel has negatively impacted the relationship between states and their federal partners. As mandated by law under the Stafford Act, FEMA is the only federal agency authorized to carry out disaster-relief duties on behalf of the president. State emergency management has offered several strategies to restore the agency s effectiveness and credibility. These include making the FEMA director position a fixed-term appointment for not less than five years; having the FEMA director report directly to the president; and selecting a director with demonstrated leadership skills and extensive emergency management experience at an executive level. Military Response in a Disaster As a result of Hurricane Katrina, it has been suggested that the military take a leadership role in disaster response. This same issue was raised following Hurricane Andrew in The Council of State Governments 471
6 States do not agree with the proposal. Governors have direct and legal responsibility for the protection and safety of their citizens. In addition, disaster response is typically a layered system, beginning on the local level. When local resources and capabilities are overwhelmed, the state becomes the second responder. Federal emergency management is the third responder, providing support while coordinating assets with state and local government. Finally, the National Response Plan identifies the U.S. Department of Defense as a support agency only. A report 3 released by the National Academy of Public Administration in 1993 concurs with the governors position. It says that the primary mission for the Armed Forces is to prepare for war and to fight if necessary. States do agree that procedures allowing civilian authorities to request assistance and support, when the magnitude of the event deems it necessary, should be improved. Better Evacuation Planning Hurricane Katrina raised serious concerns about the adequacy of evacuation plans. States and many local communities are reviewing their procedures, including the following components: scenarios, authority and enforcement of mandatory evacuations; a state s legal authority in reversing interstate or state roadways; elderly and low-income evacuations; school evacuations; private hospital and nursing home evacuation requirements; the availability of fuel and car assistance during an evacuation; the availability of public vehicles; and pet evacuations. States and local jurisdictions have learned that planning is key to effective evacuation procedures. This includes the integration of all elements of the population during the evacuation and looking at the issue from the perspective of an evacuated state and one receiving evacuees. Interoperability Remains a Problem Hurricane Katrina revealed that the issue of interoperability the ability of various emergency responders to talk to each other through both voice and data systems still has not been resolved. The Category 4 storm knocked down cell phone towers, as well as electricity and phone lines. In many areas, hand-held radios were the only options, but some of these were incompatible, making communication difficult, if not impossible. Since the 2001 terrorist attacks, DHS has invested an estimated $11 billion in grants to improve communications systems. Larger cities have been able to take advantage of Urban Area Security Initiative Program (UASI) grants to enhance their systems. However, less populous states or those with smaller to midsize communities that don t qualify for these programs, face a distinct disadvantage. Comprehensive interoperable communication is expensive and requires long-term financial investments. The results of a 2004 survey, representing 192 cities, illustrate the problem. Thirtyfour percent of the respondents said they did not have basic interoperability across police, fire and EMS. 4 More Changes Coming Hurricane Katrina after-action reports from both houses of Congress and the White House will result in additional changes for emergency management. This could include all areas of operations and organization structure on both the state and federal level. An Ever-changing Environment Increasing mandates from the federal government and inadequate funding continue to put more pressure on state and local governments. The changing structure of DHS also prohibits the agency from developing strong relationships with its state and local partners. Changes in Funding Allocation Formulas Congress is considering legislation that would change the funding allocation formula for states to receive federal homeland security grants, placing greater emphasis on risk and critical infrastructure vulnerability as opposed to the current approach of allocating dollars on a percentage plus population basis. Changes in funding allocations will have major impacts on smaller rural states that cannot take the necessary terrorism-preparedness steps without federal support. The terrorism response equipment purchased by states and localities, along with the planning efforts and training conducted for thousands of state and local emergency response personnel, are characterized as a national security effort. These require longterm support from the federal government. Among states and emergency response disciplines, there is a common concern regarding long-term sustainable federal funding for homeland security. States require a minimum level of funding to build state and local capacity for preparedness. Because of unique needs in addressing their specific homeland security preparedness, states and localities have requested greater flexibility on the use of federal homeland security funds. Pandemic/Avian Flu Preparation Federal and state governments are taking numerous steps to protect citizens and control the spread of 472 The Book of the States 2006
7 the avian flu, which had resulted in approximately 70 deaths worldwide by the end of Most of these deaths occurred in Asia. To date, there has been no transmission of the avian flu from human to human, only from infected birds in close contact with humans. One of the main defenses in this country is to continue to safeguard the U.S. poultry industry, estimated at $23.9 billion in State emergency management agencies expect to play a key support role in pandemic/avian flu preparedness and response, and are actively engaged in planning with their public health counterparts.. Notes 1 In this context, states refer to all 50 states, the territories and the District of Columbia. 2 National Emergency Management Association, States Report Need for Special EMPG Allocation to Address Gaps Identified by Recent Disasters, (October 2005). 3 National Academy for Public Administration, Coping With Catastrophe, Building an Emergency Management System to Meet People s Needs in Natural and Manmade Disasters, (1993). 4 U.S. Conference of Mayors Interoperability Survey, June About the Author Beverly Bell is the policy analyst for the National Emergency Management Association, an affiliate of The Council of State Governments. In her position, she coordinates and conducts research, interacts with the states on changing federal policy, and acts as an information clearinghouse for emergency management and homeland security issues The Council of State Governments 473
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