C13 - Security Cooperation Information Technology Systems
Chapter 13, Security Cooperation Information Technology Systems, provides policies and procedures for management of information technology systems in support of security cooperation programs.
C13.1. - Mission and Vision
C13.1. Security Cooperation Information Technology Mission And Vision.
C13.1.1. The Information Technology (IT) mission of Defense Security Cooperation Agency (DSCA) is to maintain and operate those assigned information systems that support DSCA and the security cooperation (SC) community, and to develop and enhance information systems to deliver new business value to the SC community.
C13.1.2. The DSCA IT vision is to provide business, mission, and customer-focused information management services that are highly effective and represent significant value. IT will be an integrated, cohesive endeavor that builds on shared mission requirements and fosters a collaborative environment with a focus on customer needs and satisfaction
C13.2. - Capital Planning And Investment Control (CPIC)
C13.2.1. The DSCA Capital Planning and Investment Control (CPIC) Framework details the Agency’s Information Technology (IT) capital planning and Portfolio Management process. Its structure, as designed, supports DSCA decision-making and governance of IT investments. CPIC codifies the set of processes used by DSCA decision-makers for governance and approval of IT investments. Further, it provides guidance and direction to ensure alignment of IT investments with DSCA’s overarching business strategy, as defined in the DSCA Strategic Plan, and ensures compliance with the laws, regulations, and policies mandating optimized processes to select, control, and evaluate IT investments.
C13.2.2. Effective management of investments in the DSCA IT Portfolio requires use of the DSCA CPIC Framework in conjunction with related processes and policies to ensure proper funding, interoperability, and adherence to the Federal and Department of Defense (DoD) mandates. The DSCA CPIC Framework can accommodate a range of IT investments, from infrastructure to software. Ideally, all IT investments, including military department (MILDEP) initiated IT investments funded through the Foreign Military Sales (FMS) program, will be managed using the DSCA CPIC Framework unless specifically exempted.
C13.2.3. Proposed and existing IT investments must be selected, controlled, and evaluated within the IT Governance structure and must also be compliant with requirements of the DoD budget process, DSCA Enterprise Architecture and associated standards, DoD Information Assurance Certification and Accreditation Process (DIACAP) or the successor to the DIACAP, the Risk Management Framework (RMF), DoD IT Portfolio Repository (DITPR), and all applicable laws, regulations, and policies. Failure to comply with all of these may result in lack of funding; delays in approvals, implementation, or authority to connect to enterprise networks; increased security, performance, and financial risks to the investments and Agency; or termination of the investment.
C13.3. - Security Cooperation Governance Board and Information Technology Change Review Board (CRB)
DSCA administers a clearly defined, repeatable IT investment process by which SC decision-makers align investments with the business strategy to achieve specific outcomes, while ensuring interoperability; fiscal accountability; and compliance with DoD rules, regulations, and standards. IT governance for the SC community is subordinate to and is required to operate within the parameters and constraints of the governance structure approved and implemented by the Secretary of Defense. The SC IT governance structure includes management controls that ensure the integrity of the IT investments, in conjunction with senior level oversight from the MILDEPs as appropriate. The SC IT Governance structure includes the Executive Steering Committee (ESC) and the Security Cooperation Governance Board (SCGB) supported by an IT Change Review Board (CRB).
C13.3.1. Security Cooperation Governance Board (SCGB) Membership and Function. Chaired by the Deputy Director, DSCA (or in his/her absence by the DSCA Chief Information Officer (CIO)). This board includes the following members: the Deputy Assistant Secretary of the Army for Defense Exports and Cooperation (DASA DE&C), the Director of the Navy International Program Office (NIPO), the Deputy Under Secretary of the Air Force International Affairs (SAF/IA), the DSCA Principal Directors for Business Operations and Strategy, the DSCA General Counsel, and the DSCA CIO. The SCGB is responsible for reviewing new IT change requests that exceed one million dollars and any change determined by the SCGB as special interest to the SC community.
C13.3.2. The SCGB meets quarterly or as required to resolve issues and approve investment decisions and requests for future funding related to SC IT systems, including the Security Cooperation Enterprise Solution (SCES) and IT systems that affect SCES. Investment decisions will be consistent with current IT budget levels and requests for future funding will be submitted by the DSCA CIO as part of the Foreign Military Sales (FMS) Administrative Funds Program Objective Memorandum (POM) process. SC IT programs are reviewed annually by the DSCA FMS Administrative Funds POM team. The SCGB will promulgate in writing decisions for issues and related investments impacting the security cooperation community. The SCGB will consider the level of priority of each investment based on urgency, funding, community interest and availability of resources. The SCGB makes the determination of which new IT change requests to approve and fund within existing resources allocated to support IT for the SC community.
C13.3.3. IT Change Review Board (CRB) Membership. The IT CRB supports the SCGB. The DSCA CIO chairs the IT CRB. The four voting members of the IT CRB consist of representatives from DASA-DE&C (Army), Navy IPO, and SAF/IA (Air Force), and the DSCA CIO. The IT CRB is to convene monthly or as required to review, evaluate, prioritize, and vote for approval or disapproval of IT change requests under one million dollars. Users of the various IT systems are encouraged to submit recommended enhancements through their IT CRB member. Minor Implementing Agencies (IAs) (i.e., IAs other than DASA-DE&C, Navy IPO, and SAF/IA) will submit recommendations to the DSCA CIO, who will present it to the other voting members. The IT CRB will consider the level of priority of each change based on urgency, funding, community interest and availability of resources. The IT CRB conducts the initial review of new IT change requests and refers those exceeding one million dollars or of special interest to the SCGB with summary analysis and recommendations. The IT CRB members will vote on behalf of their MILDEP. For a change to be approved, all recommendations require a majority vote among voting members, with the IT CRB Chair deciding in the event of a tie. If all voting members are not present, the issue will be voted on either at the next meeting or by email, teleconference, or video teleconference. In addition, the IT CRB Chairperson has the authority to approve changes he/she considers critical and will disseminate in writing the decision to the IT CRB members within five working days. If the IT CRB cannot decide on a recommended change, that change should be elevated to the SCGB Chairperson for board consideration and decision.
C22.214.171.124. IT CRB Review Process. Change requests are categorized as: Development, Modernization, or Enhancement; or Operations and Support (i.e., routine/periodic changes and upgrades aligned with a published technology refresh cycle for investments maintained through Operations and Support funding). Change requests should include the type and description of the change, proposed benefits and expected impacts, and technical analysis of the proposed change. The requestor may include supporting information for the request, such as briefings or research papers, as appropriate. The requestor is responsible for justifying the change, and is entitled to receive timely status updates from the CRB on the status of the request. The IT CRB considers the change request and determines the level of analysis required to make an informed decision. When escalation above the IT CRB is required due to lack of consensus of the voting members, the DSCA CIO will draft an Issue Paper and submit it in writing to the SCGB Chairperson. Details of the change request process are shown at Table C13.T1. Any related IT request submitted by the MILDEP as part of the POM process, including mid- year unfunded requirements, must be submitted as a change request to be reviewed and approved by the IT CRB or SCGB for the POM submission to be approved. The IT CRB has approval authority for those change requests under $1,000,000. All change requests with a value greater than $1,000,000 will be reviewed by the IT CRB prior to being submitted to the SCGB along with the IT CRB’s recommendation and comments. In addition, SCES Change Requests that do not require additional funding will also be submitted to the IT CRB for review for informational purposes and to ensure board members have awareness of the SCES changes. The most up-to-date change request form can be obtained from DSCA IT.
Table C13.T1. Security Cooperation Governance Board (SCGB) and Information Technology (IT) Change Review Board (CRB) Review Process
The requester will document the proposed change and submit it with supporting documentation to the DSCA CIO, who ensures completeness and validates the business or technical need. If the requested IT system enhancement and/or system development involves policy changes, the DSCA CIO will submit the proposed change to the DSCA (Strategy Directorate). The proposed policy change will be adjudicated by DSCA (Business Operations and Strategy Directorates) before the IT CRB addresses the system enhancement request. DSCA (Business Operations and Strategy Directorates) will inform the DSCA CIO in writing when accomplished.
|2||User Prepares Justification|
The requester will document and provide justification in support of the proposed IT investment(s). Justification will be documented in accordance with laws, policies, and regulations for the acquisition of IT systems and should include, but not be limited to, the following documents: Business Need, System Requirements, Concept of Operations, Analysis of Alternatives, Lifecycle Cost, Schedule, Cost-Benefit Analysis, and Impact to Existing IT System(s).
|3||Accept Change Request|
Upon receipt of the change request, the IT CRB Secretary, who is appointed by the DSCA CIO, will assign an identifier that will be used for tracking status, and review the request for completeness. If the Change Request contains adequate information for IT CRB review, it is added to the agenda for the next IT CRB meeting. The requester may be asked to add additional information at any time.
|4||Review Change Request|
The IT CRB members review the change request and discuss appropriate action during an IT CRB meeting.
|5||Adjudicate Change Request|
The IT CRB can approve or disapprove the change request as submitted, or request that additional data or analysis be performed.
|6||Escalation of Change Request|
The IT CRB will elevate the change request to the SCGB if it exceeds one million dollars, has special interest, and/or has a significant impact on other security cooperation or DoD IT systems.
|7||Change Request Decision|
For changes that are not elevated, the IT CRB makes a final decision and communicates the decision in writing to the requester and the CRB members. The SCGB will document any decisions it makes on change requests submitted by the IT CRB.
Implemented changes will be monitored by the DSCA CIO to ensure they are incorporated into the enterprise architecture, systems functions/technical documentation, increments or deployment scheduling, and organizational change procedures.
C13.4. - Executive Steering Committee (ESC)
C13.4.1. The ESC was established on June 1, 2009 by a Deputy Chief Management Officer (DCMO) memorandum. It is co-chaired by the DCMO and the Director, Defense Security Cooperation Agency and includes Principal-level representatives from DSCA, MILDEPs, Defense Logistics Agency (DLA), Defense Finance and Accounting Service (DFAS), and leaders from the Enterprise Resource Planning (ERP) and SC communities. The ESC ensures Principal-level coordination and guidance for SCES, which is a DSCA information technology modernization program to develop a Tri-Service Case Execution system to replace the MILDEPs’ legacy systems.
C13.5. - Enterprise Architecture (EA)
C13.5.1. The EA provides a strategic information asset base that defines the mission, the information necessary to perform the mission, the technologies required to perform the mission, and the transitional processes for implementing new technologies in response to changing mission needs. It includes the baseline architecture, target architecture, and a migration plan. This EA is designed to achieve five primary strategic IT objectives:
C126.96.36.199. Alignment. Ensuring the reality of the implemented enterprise architecture is aligned with management’s intent.
C188.8.131.52. Integration. The business rules are consistent across the organization the data and its use are consistent, interfaces and information flow are standardized, and the connectivity and interoperability are managed across the enterprise.
C184.108.40.206.Change. Facilitating and managing change in any aspect of the enterprise.
C220.127.116.11. Time-to-market. Reducing systems development applications generation and modernization timeframes, while reducing resource requirements.
C18.104.22.168.Convergence. Striving toward a standard IT product portfolio.
C13.5.2. The EA will establish a blueprint for systematically defining the SC “as-is” (baseline) and “to-be” (target) environment which will be essential to managing and developing the IT systems that support the security cooperation programs. Ultimately, the EA architecture will be the foundation for a Migration Plan (i.e., Migration Plan from Baseline to the Target Architecture) to achieve DSCA’s mission through optimizing performance of its core business processes supported by an efficient IT environment.
C13.6. - Information Technology (IT) Portfolio Management
DSCA funds, operates, and maintains numerous information systems to support the execution of organizational capabilities and activities. DSCA supports approximately 70 SC systems. These individual systems when grouped into a portfolio comprise the “as-is” SC Enterprise Architecture (EA). DSCA also funds and maintains the systems that the MILDEPs use to fulfill FMS case orders. Other areas supported include Security Assistance (SA) training, internal planning and budgeting systems, Congressional reporting support systems, and other business support systems. The DSCA CIO reserves the right to review any proposed new systems or system changes within the SC community in order to rationalize the SC IT portfolio, and maintain IT process and cost efficiencies. The current SC systems are grouped within the IT portfolio as follows:
C13.6.1. Security Cooperation Enterprise Solution (SCES).Once deployed, SCES will improve transactional processing, access and visibility of SC case execution data from the finance, acquisition and logistics business domains across the DoD. SCES will replace case execution functionality in MILDEPs’ legacy systems with an integrated enterprise solution that will provide improvements in transaction processing, levels of control, data aggregation, data standardization and reporting capabilities. SCES will be DSCA’s Enterprise Resource Planning (ERP) solution that will house FMS case execution capabilities and provide enhanced reporting and data visibility to international customers.
C13.6.2. Primary Case Execution Systems. The systems to be subsumed by the DSCA case execution solution (SCES) are as follows:
C22.214.171.124.Centralized Integrated System - International Logistics (CISIL). CISIL provides management of FMS cases for the Army. The system maintains data from country request to FMS case closure. It produces logistics requisitions (e.g., MILSTRIP), case status, status of delivery, repair status, supply discrepancy status, and other management reports.
C126.96.36.199. Defense Integrated Financial System (DIFS). DIFS is the interfacing accounting system which links implementing activity records with the bill (DD 645) and supporting financial documents issued to purchasing countries for the articles and/or services that the country has purchased through the FMS process. Case Managers must track the financial status of the cases for which they are responsible throughout the execution phase as well as throughout the entire life span of the case. Anomalies in the DIFS output (possibly reflecting anomalies in the MILDEPs’ input) should be reviewed and reconciled with the intended provisions of the case. DIFS can provide Case Managers with one tool showing the visibility of the financial configuration of their cases in the accounting system at DFAS – Indianapolis (IN) from the offered stage through case closure and beyond. It is possible, through this system, to verify that computations are being made in accordance with FMS cases. This system can also provide "real time" data to case managers for use in analyzing country programs and summary data for use both to their purchasers and within their activity.
C188.8.131.52. Program Budget Accounting System – Order Control (PBAS-OC). PBAS-OC contains accounting information for the budgetary accounts of the Army and several Defense Agencies. The budgetary information in PBAS-OC is used to validate the allotment holders' report on final disposition of authorities. The Order Control module of PBAS contains two types of processes. One of the two types of processes relates to the FMS program of the Army. The other process relates to the funded reimbursable customer orders pertaining to the Army Procurement Appropriations (APA).
C184.108.40.206. Management Information System - International Logistics (MISIL). MISIL is used to manage the execution, including accounting, of all FMS cases for the Navy. MISIL maintains data from country request to FMS case closure. The system processes, controls, tracks and reports on FMS logistics and financial transactions, including requisitions, acquisitions, supply/delivery status, Supply Discrepancy Reports (SDR), and expenditures. MISIL is the official accounting system of record for all Navy FMS. MISIL produces logistics requisitions (e.g., MILSTRIP), case status, status of delivery, repair status, supply discrepancy status, and other management reports.
C220.127.116.11. Security Assistance Management Information System (SAMIS). SAMIS processes logistical and financial data related to the support of the Air Force SA mission. SAMIS improves the effectiveness, timeliness, and accuracy of data processing relating to Air Force Materiel Command (AFMC) negotiations, acquisition, and physical delivery functions of international logistics support requirements. It manages and supports the purchase of Air Force military equipment and supplies by foreign governments.
C18.104.22.168.Case Management Control System (CMCS). CMCS provides financial and logistical tracking for FMS cases, per congressional mandate. It provides creation and maintenance of case file data related to FMS cases for case planning, execution and management. This central collection point performs unique FMS accounting functions in real-time with on-line interactive financial management capabilities and updating/ reporting operations that interface with other systems during the life of a case. Such functions include obligation authority, commitments, expenditure authority, disbursement of funds, customer billing, total financial reporting, case oversight and delivery of goods made on FMS cases including line and case closure to support the Air Force SA mission.
C13.6.3.Case Execution Supporting Systems. The DSCA funded systems that are not currently planned to be subsumed by the case execution solution (SCES) are as follows:
C22.214.171.124. Defense Security Assistance Management System (DSAMS). DSAMS is a DoD standard system which provides timely and accurate data of the FMS case development and implementation processes as well as the life cycle processes of International Military Education and Training (IMET).
C126.96.36.199.1. DSAMS – Case Development Module (CDM). DSAMS can create a new case or modify an existing case through a case amendment or modification. Once the case information is entered, DSAMS can then print an LOA, amendment, or modification for USG signature and approval by the customer. DSAMS will keep information for the case in general and for each specific version (basic case, amendment, or modification) of the case. DSAMS has the capability to task activities to provide support during the case development process. DSAMS can also track the progress of a case through the use of milestones. In addition to case development, DSAMS can also develop Price and Availability (P&A) documents or model cases. A P&A is used when the customer requests a Rough Order of Magnitude (ROM) of the cost and availability of an item or service. An LOA is not generated from a P&A request. Model cases can also be developed in DSAMS to provide several options to the customer.
C188.8.131.52.2. DSAMS – Training Module (TM). The Security Assistance Training Program (SATP) consists of U.S. military training assistance to eligible countries. SA training includes training of foreign personnel authorized under the Foreign Assistance Act of 1961 for IMET, as amended, and the Arms Export Control Act (AECA) for FMS training, as amended. Traditional IMET and FMS authority is limited to training military and civilian personnel for the host nation defense establishment. Legislation for expanded IMET provides authority to train defense and non-defense personnel with emphasis on civilians from other government agencies and legislators involved in defense matters. DSAMS-TM manages training for FMS cases, IMET, and other training programs.
C184.108.40.206. Security Cooperation Information Portal (SCIP). SCIP provides web-based visibility of information about U.S. FMS and other key SC programs and processes. The information is available from anywhere in the world. The only requirement is that the users have access to a web browser and the appropriate permissions are established on the users account. Data is sourced from DSAMS case information and selected portions of case execution which is derived from the MILDEP systems (e.g., Army’s CISIL, Navy’s MISIL, and Air Forces SAMIS) in a standardized format. SCIP provides customers case information, regardless of which MILDEP is managing the case and data can be viewed from the day the case is first entered into the system. SCIP is a tool for international customers, customer agents (e.g., freight forwarders), and USG personnel with appropriate permissions.
C220.127.116.11.1. End Use Monitoring (EUM). SCIP has been enhanced to provide an EUM application that tracks government-to-government defense article items. Items are tracked at the serial number level on a country by country basis. All items are categorized under a specific Defense Article, and Military Articles and Services List (MASL) identifier. SCIP provides not only tracking information for all items, but provides inventory management controls.
C18.104.22.168.2. Security Cooperation Management Suite (SCMS). SCMS resides within the SCIP and is a joint service, web-based capability that provides U.S. officials with a common operating picture of the SC process. SCMS has joint U.S. military and civilian users globally from all branches of the U.S. armed forces and associated support Commands, which increases joint communication resulting in enhanced decision making. SCMS provides USG personnel with key information used to track high priority FMS programs, and is especially useful during the oversight process for expiring funds and those FMS cases that are funded via U.S. appropriated sources. SCMS allows data input and customization through its multiple reports showing information by appropriation and program which allows for intense information sharing among multiple program participants. Although initially conceived to support the war effort in Iraq, the utility of SCMS was recognized by additional communities within DSCA. SCMS has been expanded for use with all the Building Partner Capacity (BPC) programs, which proved to be of great benefit to U.S. decision makers when planning how to best build partner nation capacity.
C22.214.171.124.3. Enhanced Freight Tracking System (EFTS). EFTS is a secure web-based application, resident in the SCIP, and serves as a consolidated source for SC material in-transit information. EFTS does not replace existing shipment systems, but rather provides a clearing house of all available shipment information in a single supplemental tracking system to provide additional visibility of equipment and material shipment. EFTS receives data from DLA, contractors, depots, Defense Transportation System, carriers, freight forwarders, consolidation points, and ports of embarkation and debarkation. This allows EFTS to provide visibility of the SC material distribution pipeline for all classes of supply and modes of transportation either outbound from the United States to the purchaser's country or materiel returning to the United States or U.S. facility overseas.
C126.96.36.199. DSCA 1000 System. The DSCA 1000 Management Information System supports the Military Assistance Program (MAP), Section 506 Presidential Draw-downs, and the IMET program. The 1000 System supports the Military Assistance Program, Excess Defense Articles (EDA), and Military Assistance Service Funded (MASF) Section 552 emergency assistance and Section 506A emergency assistance. It provides reports to DSCA staff, MILDEPs, and other government agencies.
C188.8.131.52. EDA Web. The Excess Defense Articles (EDA) Tracking System records the agreement between the international customer and MILDEP regarding the specific excess items to be transferred. The EDA Web page is the user interface for the EDA tracking system, and is not a separate system.
C184.108.40.206. DSCA 1200 System Business Function. The DSCA 1200 System is a classified DoD system that contains a compilation of country data providing status of FMS and Pseudo FMS negotiations from LOR to closure/completion. The DSCA 1200 System is managed and maintained by DSCA (Information Technology Directorate). Requests for DSCA 1200 reports should be sent to DSCA (Business Operations Directorate). Many reports from the DSCA 1200 System are classified.
C13.6.4. DSCA Headquarters’ (HQ)/ISCS Managed Systems. The systems maintained by the DSCA Headquarters’ Application Group or at the Defense Institute of Security Cooperation Studies (DISCS) are as follows:
C220.127.116.11. Security Assistance Network (SAN). The SAN is a network used to exchange SC training and budget information between overseas Security Cooperation Offices (SCO), Combatant Commands (CCMDs), MILDEPs, DSCA, DFAS, DoD Schoolhouses, Regional Centers (RCs), and International Host Nation Organizations. The SAN also hosts the SAOweb, IMSOweb, and ISANweb. Its access is restricted to authorized users by user accounts and passwords. The SAN stores Standardized Training List (STL) for all countries, and Training MASL.
C18.104.22.168. International SANweb (ISANweb). The ISANweb is a web-based tool that enables the host nation to manage their training program. It allows the host nation to view, but not input or change, the information listed in Table C13.T2.
Table C13.T2. International SANweb Information For Host Nation
|International SANweb Information|
STL information for their country
Training MASL information
IMSO POC information
SCO POC information
Schoolhouse Location Information
C13.6.5. SAOweb and IMSOweb. SAOweb and IMSOweb are web-based tools that enable SCOs and International Military Student Offices (IMSOs) to manage their training program online. The system allows SCOs to perform the functions listed in Table C13.T3. online via a webpage:
Table C13.T3. SCO SAOweb and IMSOweb Functions
|International SANweb Information|
View STL for their country
View Training MASL
View Student Information and arrival messages
View IMSO POC information
View SCO POC information
Perform Combating Terrorism Fellowship Program (CTFP) student nominations
Submit Combined Education Training Program Plan (CETPP)
Data validation and input for DSCA’s Congressional Report for Military International Training (FMTR)
Manage and track students coming to schoolhouse
Enter Student Arrival / Completion Reports
Enter Student Progress Messages
Access ITO Repository
Enter IMSO POC information
Enter Location Information
Enter International Notes
C13.6.6. Security Cooperation Training Management System (SC-TMS). SC-TMS is used by SCOs to manage the SC training program for their country. It allows SCOs to perform the functions listed in Table C13.T4.
Table C13.T4. SC-TMS Functions
View Training MASL data
Enter Student information
Enter SCO POC information
Create Invitational Travel Orders for international military students
View IMSO POC information
View Schoolhouse Location Information
C13.6.7. Planning Programming Budget and Execution (PPBE). DSCA’s PPBE Enterprise Planner is a web-based application that allows authorized users to quickly review, enters, and submits both Budget and POM data. Users enter data at the Object Class and Work Year levels by Program Element for a specific Fiscal Year. PPBE Enterprise Planner provides a robust review, reject and resubmit capability and maintains a complete audit trail of changes made at all levels.
C13.6.8. Security Cooperation Integrated Resource Management System (SCIRMS). SCIRMS is a web-based feeder system to the Washington Headquarters Services Allotment Accounting System (WAAS), an accounting system used for a majority of DoD organizations and funds.
C13.6.9. Security Assistance Manpower Requirements System (SAMRS). SAMRS is an electronic, web-based application for creating and processing FMS Manpower Requirements Packages (MRPs).
C13.6.10.Case Tracking System (CTS). CTS provides the status of new case coordination within DSCA and the MILDEPs. It reports the length of time between each coordination point.
C13.6.11.Congressional Notification System (CNS). CNS is an application for recording and tracking of Congressional Notifications of military equipment and services for foreign government sales and leases. Data is input and maintained by DSCA (Business Operations Directorate).
C13.6.12. Direct Commercial Contracts System (DCCS). DCCS is an application developed to track Direct Commercial Contracts financed by FMF funds. It provides input for audits and inspections and monthly status reports.
C13.6.13. Egyptian Budget Management Information System (EBMIS). EBMIS is an application developed to ensure that the multi-year Egyptian Armament program does not exceed $1.3B over a five-year period.
C13.6.14. FMF/IMET Budget. The FMF and IMET Budget Formulation and Submission Tool provides the capability for submission and management of budget requests via the World Wide Web. The web tool provides a central, on-line repository of FMF and IMET budgetary data that provides a timely, efficient, and visible method for budget development and subsequent reporting. SCOs that have difficulty accessing the web tool may submit their data via another mode for import into the web tool, with approval from DSCA.
C13.6.15. FMS Credit System (FMSCS). The FMSCS records loans and grants for Military Assistance Program (MAP) and FMF country programs, disbursements, and collection on repayable loans. The system produces bills and provides data for input to accounting systems by DFAS-IN.
C13.6.16. Sales Forecast/Javits System (SF/JS). The SF/JS is a sales forecasting tool that projects sales and potential revenue for the future two calendar years. Javits System lists all potential Sales/Transfers for the coming calendar year, and provides inputs to DoS for inclusion in its annual report to Congress.
C13.6.17. GlobalNET (formerly Regional International Outreach (RIO) Portal). GlobalNET is a common information technology application to improve international outreach efforts and to strengthen collaboration among the DSCA Regional Centers (RCs), OSD, and other DoD educational institutions. This program serves educators and students by allowing the RCs to share information, collaborate on projects, and improve administrative activities with OSD, the CCDRs, and DSCA. The program is integrating the student and knowledge management systems of RCs to provide them the ability to collaborate with foreign alumni and members of international organizations.
C13.6.18. Regional Centers Person and Activity Management System (RCPAMS). DSCA’s Centers Management Office manages the five RCs, which collectively host SC events for no less than 159 countries. With the deployment of RCPAMS, DSCA tracks foreign military students and faculty in the same system, as well as U.S. students who are not tracked in DSAMS. It also holds event activities, such as receptions, field study trips and breakout sessions, so it covers all of the RCs operations and reporting needs. RCPAMS has a single user interface with standardized terminology and data elements. It eliminates duplicate manual data entry tasks - now planned events loaded into DSAMS and participants enrolled by the SCOs in the Embassies around the world flow into RCPAMS automatically, and status updates flow back to those systems.
This lesson provides emergency managers with an overview of the incident response process from the local response to a Presidential declaration and U.S. Department of Defense (DoD) response. The lesson also covers the types of military response available, with a focus on military forces disaster response. Understanding these concepts will assist emergency managers as they proceed through the rest of the course.
Objective: At the end of this lesson, you should be able to:
- Describe the command relationships of local, tribal, state, and Federal incident response assets, including state and Federal military resources supporting civilian authorities.
- Describe the types of military response available to states.
- Describe the representatives, authorities, and assignments involved in a Federal military forces disaster response.
This lesson should take approximately 45 minutes to complete.
Note: Before taking this lesson, it is recommended that participants complete the following FEMA courses: IS-100, IS-200, IS-700, and IS-800.
Incident Response Process: Overview
The typical incident response begins with first responders at the local level. Occasionally, local emergency managers must request assistance from regional and/or state response organizations, including the National Guard. If the response is escalated to the Federal level, including a Presidential-declared major disaster or emergency declaration, DoD forces may be sent to the site to support civilian efforts.
Note: Remember, the DoD's primary mission is homeland security and homeland defense. Civil support is secondary.
To fully understand the operational environment presented by an incident, civilian emergency managers at the local, tribal, and state jurisdictional levels should understand roles and authorities pertaining to Defense Support of Civil Authorities (DSCA) and build relationships with military resources within their communities. At the same time, military leaders should understand the civilian incident management process. These preparations result in a smoother integration of military support and resources in support of civilian response and recovery efforts, should they be needed.
Note: In some states, the state emergency management office is part of the state's Military Department.
Incident Response Process: Defense Support of Civil Authorities (DSCA)
By definition, DSCA is support provided in response to requests for assistance from civil authorities for special events, domestic emergencies, designated law enforcement support, and other domestic activities. These categories, in many cases, can overlap or be in effect simultaneously, depending on the particular circumstances of the incident. DSCA may be provided by U.S. Federal military forces, National Guard forces performing duty under Title 32, DoD civilians, DoD contract personnel, and/or DoD units.
All requests from civil authorities and qualifying entities for assistance shall be evaluated for:
- Legality (compliance with laws)
- Lethality (potential use of lethal force by or against DoD Forces)
- Risk (safety of DoD Forces)
- Cost (including the source of funding and the effect on the DoD budget)
- Appropriateness (whether providing the requested support is in the interest of the Department)
- Readiness (impact on the DoD's ability to perform its primary mission)
Ref: Department of Defense Directive (DoDD) 3025.18, December 29th, 2010
Incident Response Process: Levels of Response
The typical incident response begins with first responders at the local level since all incidents are local. Levels of response may include the following:
Local response is the first tier in the incident management process, and it is local responders who will make the determination for expanding response. First responders are local emergency and related public safety discipline personnel (e.g., public works) who respond to an incident. From this group, generally the most experienced responder will take command as the Incident Commander (IC). He or she will remain the IC until voluntarily giving up command or being replaced by a more qualified individual.
DoD can provide significant response at this level through immediate response authority or through mutual aid agreements. Immediate response authority is discussed later in this lesson.
The United States recognizes the right of Native American tribes to self-govern. Tribal governments are responsible for coordinating resources to address actual or potential incidents. When local resources are not adequate, tribal leaders seek assistance from the state or Federal government. The tribe can elect to deal directly with the Federal government. Although a state governor must request a Presidential declaration under the Stafford Act on behalf of a tribe, Federal departments or agencies can work directly with the tribe within the existing authorities and resources.
The Stafford Act is discussed later in this lesson.
If first responders are unable to contain an incident at the scene, they may ask for assistance from the emergency managers located at the Emergency Operations Center (EOC). The EOC, if activated, maintains a current operating picture and communications capability with internal and external resources. Thus, the EOC is able to take advantage of assets from throughout the jurisdiction to respond to the incident.
Every state maintains an EOC that is activated as needed to support local EOCs and provide multi-agency coordination. When local jurisdictions cannot contain an incident, the governor can declare a state of emergency and invoke the state's emergency plan to increase individual and public resources as required. Under the Stafford Act, states are also responsible for requesting Federal emergency assistance for community governments within their jurisdiction.
The State Coordinating Officer (SCO) plays a critical role in managing state response and recovery operations. As an incident escalates and a Stafford Act Presidential Disaster Declaration is provided, the SCO will work with the Federal Coordinating Officer (FCO) to create a plan for state requirements, including those that are beyond state capability.
Should requirements exceed state response capabilities, the governor can request resources from other states through the Emergency Management Assistance Compact (EMAC).
If requested resources are unavailable or requirements exceed capabilities, the governor may request Federal assistance. When an event causes damage, or is of sufficient severity and magnitude to warrant Federal disaster assistance and such assistance is requested, the President may issue a major disaster or emergency declaration. If either declaration is issued, assistance is then made available under the Stafford Act.
A Presidential Major Disaster Declaration triggers long-term Federal recovery programs and response assets, some of which are matched by state programs and designed to help disaster survivors, businesses, and public entities. An Emergency Declaration is more limited in how it can help and does not include long-term Federal recovery programs of a Major Disaster Declaration.
While there are four levels of incident response, all incident response begins at the ___ level.
Feedback: The typical incident response begins with first responders at the local level, given that all incidents are local.
All requests from civil authorities and qualifying entities for assistance shall be evaluated based on a number of criteria, including:
Feedback: All requests from civil authorities and qualifying entities for assistance shall be evaluated for legality, lethality, risk, cost, appropriateness, and readiness. Ref: DoDD 3025.18, December 29th, 2010
Types of Military Response
Four main types of military response are available to states:
Mutual Aid Assistance Agreements - Mutual aid assistance agreements exist between emergency responders to provide assistance across jurisdictional boundaries. Memoranda of Agreement (MOAs) and Memoranda of Understanding (MOUs) establish and arrange mutual aid assistance agreements.
Examples of these agreements include:
Regional firefighting mutual aid agreements
There are a multitude of local, tribal, regional, and state firefighting mutual aid agreements in place across the nation. The basic objective found within mutual aid agreements is to identify firefighting capabilities and organizations that may be brought in to a mutual agreement to provide firefighting services during incidents in which the agreeing parties' firefighting resources (or other emergency services) are overwhelmed (e.g., wildland fire, earthquake, major structural fire).
DoD Instruction 6055.06
Mutual aid agreements authorized under DoD Instruction (DoDI) 6055.06-DoD Fire and Emergency Services (F&ES) Program-are limited to emergency fire, medical, hazardous materials, and rescue services. These emergency services are often provided on a reimbursable basis by F&ES personnel and Emergency Medical Services (EMS) personnel. In the absence of an agreement, the same four types of assistance may be provided when the commander decides that such assistance is in the best interest of the United States and is under immediate response authority.
The Emergency Management Assistance Compact evolved in the aftermath of Hurricane Andrew in 1992 and is administered by the National Emergency Management Association located in Lexington, Kentucky. It is a non-binding, collaborative arrangement among its members that provides a legal framework for states to assist one another in managing a disaster or an emergency that has been declared by the governor of the impacted state. All states, the District of Columbia, Puerto Rico, Guam, and the Virgin Islands are members of EMAC.
During actual or potential widespread disasters that affect multiple states, EMACs may become exhausted more quickly, requiring a more urgent request for Federal response.
EMAC does not allow the use of armed National Guard forces from one state to perform civil disturbance or other law enforcement operations in another state. If this type of support is required, it must be approved between states in a separate mutual aid agreement which includes: command relationship, immunity, carrying and loading of weapons, law enforcement authority, and training on state Rules on the Use of Force (RUF) requirements.
When there is a Memorandum of Agreement or Memorandum of Understanding, its specific nature will be affected by the situation at that given location. The capabilities possessed by the parties to the MOA/MOU and their proximity to each other and to the location requiring response are among the factors that would be considered. Consideration for fiscal issues and the budget of a department may also be involved, especially when an organization would find itself adversely impacted if they are not the primary agency responding to an emergency in their jurisdiction, even if the military resource is closer. Additionally, the military must maintain its capabilities protecting its mission as well. An example of how a military fire department has shaped its MOAs around these factors can be found in the agreement by Tinker Air Force Base (AFB) in Oklahoma City, Oklahoma, in providing mutual aid to the surrounding communities. The Tinker AFB Fire Department will roll their water tanker on the average of twenty times a year to assist local responders using their own equipment. This support peaks in the late summer when the vegetation is dry and grass fires are common, and peaks again in winter when numerous house fires break out due to faulty heating systems in residences in the city. Tinker AFB's role is for the most part limited to the tanker capability so that the local fire departments are the primary responders at the emergency.
Immediate Response Authority (IRA) - DoD response at the municipal, county, or tribal level is provided under IRA. When time does not permit prior approval from higher headquarters, then local military commanders or responsible officials of other DoD components may, in imminently serious conditions and upon request from local authorities, provide support to:
- Save lives
- Prevent human suffering
- Mitigate great property damage
When considering IRA requests, emergency managers should keep in mind that local DoD responses depend on the availability of resources and current circumstances. For example, a requested DoD unit may not be able to respond under IRA if the unit has a conflicting defense mission. Emergency managers are encouraged to build relationships with the military commanders and staff of the DoD units within their respective jurisdictions. Through these relationships, emergency managers can increase their awareness of the capabilities, limitations, and supporting relationships of the DoD units.
Example:Active Duty Response Immediate Response Authority
A storm that includes tornadoes, hail, and over seven inches of rain within three hours hits a town located near an Air Force Base. Airmen assist in pulling people who are trapped in their cars out of floodwaters.
Typical IRA Missions
Typical missions include:
- Search and rescue
- Evacuation, decontamination, firefighting, medical treatment, restoration of medical capabilities and public services
- Removal of debris, rubble, or hazards to permit rescue or movement
- Detecting, assessing, and containing a chemical, biological, radiological, nuclear, high-yield explosive (CBRNE) incident
- Collecting, safeguarding, and distributing essential food items and supplies
- Damage assessment
- Explosive ordnance disposal
Source: U.S. NORTHCOM GTA 90-01-020 DSCA Handbook for Commanders and Staffs and Field Manual 3-27 Civil Support Operations
Immediate response could be provided to civil agencies on a cost-reimbursable basis. Requests for immediate response, however, should not be delayed or denied because of the inability or unwillingness of the requester to make a commitment to reimburse the DoD. Thus, funding for IRA may become the unit's responsibility. Commanders, or responsible DoD officials, will report all actions and support provided through the appropriate chain of command to the National Military Command Center and provide a copy to the Geographic Combatant Commander.
Source: U.S. NORTHCOM GTA 90-01-020 DSCA Handbook for Commanders and Staffs
Request for Assistance (RFA)
To initiate the IRA, a Request for Assistance (RFA) must come from some civil authority, such as the mayor, chief of police, fire chief, sheriff, chief of emergency management, or tribal authority. This request may initially be made verbally; however, for Mission Assignment (MA) tracking and funding purposes, a follow-up in writing is desired. A rule-of-thumb time limit of 72 hours exists for immediate response operations. The 72 hours corresponds with the time limit for the response phase (focus is on life-sustaining functions) of a DSCA operation. After 72 hours, the response is generally no longer considered immediate and falls into the category of restoration/recovery, although the Secretary of Defense (SecDef) or President may authorize a response for up to ten days.
It is important to note that no law enforcement activities are authorized under IRA.
An emergency manager does not need a mutual aid agreement to conduct an IRA DSCA operation.
In October 2007, in response to wildland fires in Southern California, Task Force Bulldozer from Amphibious Construction Batallion (ACB) 1 deployed in support of a verbal request for assistance from civil authorities.
Task Force Bulldozer, including four bulldozers, two water trucks, and various support vehicles, provided support to Cal Fire and supplemented over-taxed equipment and resources. The mission focus was on constructing fire breaks and supplying water to Cal Fire trucks returing from the frontlines. ACB 1's heavy equipment and Seabee crews were ideally suited for this mission.
From whom must a Request for Assistance come?
Feedback: To initiate the IRA, a Request for Assistance (RFA) must come from some civil authority, such as the mayor, chief of police, fire chief, sheriff, chief of emergency management, or tribal authority.
Deployment of state military resources (National Guard) - The National Guard is the first line of military response to most incidents. When the governor of a state mobilizes the National Guard, the forces are typically in State Active Duty (SAD) status under command and control of the governor. SAD forces conduct all missions in accordance with the needs of the state and within the guidelines of state laws and statutes.
Example:National Guard Response
The Delaware National Guard works in coordination with the Delaware Emergency Management Agency (DEMA) to assist local and state agencies in protecting citizens and property. In February 2010, the Delaware National Guard responded to the winter storm by providing 82 HMMWVs, 22 MTVs, 4 wrecker vehicles, and 289 personnel working in shifts around the clock. These soldiers and airmen were put on State Active Duty at the direction of the governor of Delaware.
The Guard's efforts were concentrated in Sussex County, where some people went more than 48 hours without power.
The Director of Military Support (DOMS) was engaged with state and regional emergency management agencies to determine the scope of the Guard's response.
The Delaware National Guard stood up its Joint Operations Center at its headquarters, where it maintained constant communication with the Emergency Operation Centers, its three task forces, DEMA, and other agencies.
For this event, the Guard moved or assisted 1,200 people and completed 403 assigned missions, including:
- Emergency Medical Services Calls
- Fire Calls
- Law Enforcement Calls
- Dialysis Patient Transport
- Civilian Transport To Warming Stations
The Guard also provided assistance in removing debris to re-open critical transportation routes and providing potable water.
National Guard commanders may provide immediate response to a local community, but under state laws. The local emergency managers may have contingency agreements in place with local armories and nearby National Guard training installations. Alert for the National Guard begins with the activation of the alert roster - usually initiated by full time Guard personnel. This alerting message is the notification the Guard members receive to report to their home station. The National Guard local commander is not normally a permanent full-time member and is alerted by his or her alert roster.
The supporting commander assesses the situation within the larger context of the likely state response. Soldiers committed locally in an immediate response may be needed for a larger call-up of National Guard forces by the governor. The local commander may limit the immediate assistance in order to support higher priority missions. Frequently, National Guardsmen gather at their units even before an official alert order since their experience enables them to anticipate when they will be needed. Before completing any tasks though, they must be officially activated by Joint Force headquarters.
The National Guard response timeframe depends on multiple factors, such as size of state, location of unit, and transportation requirements and assets. Typically, the National Guard responds within 12 to 24 hours, and Civil Support Teams respond within four to eight hours.
Example:Complementary Nature of Active Duty and National Guard Roles
On August 24, 1992, South Florida suffered the ravages of Hurricane Andrew and in the aftermath the Governor of Florida dispatched over 5,000 National Guardsmen, who responded with humanitarian aid and provided law enforcement. Even with that number of Guardsmen, they were overwhelmed by the extensive damage wrought by the hurricane. By August 27, 1992, the President directed greater DoD involvement because only that federal department had the personnel, materiel, and transportation capabilities to provide sufficient disaster assistance. In this disaster the DoD was essentially assigned responsibilities established by the Federal Response Plan that belonged to many other federal agencies. Once Active Duty forces began deploying into the disaster area about four days later, the assistance provided for the survivors became more consistent. The military responders established a division of labor, with the Active Duty taking over responsibility for humanitarian assistance and the National Guard, not being bound by Posse Comitatus, assuming sole responsibility for law enforcement. The Active Duty had to work hand-in-hand with the National Guard since the delivery of assistance had a constant security element in it.
If the response requires military capabilities above those available to the National Guard within the affected state, additional resources can be requested from other supporting states. While these National Guard forces remain in SAD status (Title 32), they are under control of the supported governor.
Example:Regional National Guard Hurricane Response
In the days leading up to Hurricane Katrina's landfall, the Mississippi Adjutant General put Military Police, Aviation, and Engineer on standby. These were three specialties he knew would be of greatest use in the wake of the hurricane. He also sought assistance from the Alabama, Georgia, Tennessee, and Florida National Guards. The units from these other states were employed according to Mississippi's hurricane plan, and because of excellent pre-planning and organization Mississippi relied heavily on National Guard assets.
When any municipality or county activates an EOC, it typically notifies the state emergency manager. The state emergency manager then passes a situation report to the Joint Force Headquarters (JFHQ)-State staff and then to the National Guard watch desk when National Guard units may be or are actually required to assist civilian responders. The Adjutant General or a designated representative may deploy a liaison team from the JFHQ-State to assess and monitor the situation. A National Guard liaison team is likely to deploy if the situation is unclear and has the potential to require additional resources. If the Adjutant General anticipates local authorities needing additional assistance, the joint force deploys additional teams.
Source: U.S. NORTHCOM GTA 90-01-020 DSCA Handbook for Commanders and Staffs
Deployment of Military Resources - State Defense Forces
In addition to the National Guard, twenty-four states authorize a state defense force as allowed by Section 109, Title 32. These forces may be used to augment the state National Guard and other civil authorities in an emergency. State defense forces are strictly state entities and are not part of DoD. These voluntary forces are typically trained in specialized fields, such as law, administration, military police, communication, aviation support, search and rescue, logistics, medicine, or transportation. State defense force members are authorized to wear the military uniform assigned by the Adjutant General of the state. They are subject to the state's military code and during an emergency, receive pay according to state law.
The final type of military response, Federal military forces disaster response, is discussed in the next section.
Feedback: When the governor of a state mobilizes the National Guard, the forces are typically in State Active Duty (SAD) status under command and control of the governor.
If the response requires military capabilities above those available to the National Guard within the affected state, additional resources can be requested from other supporting states. While these National Guard forces remain in SAD status (Title 32), they are under control of the supported governor.
Federal military forces disaster response - Usually, the commitment of Federal military forces for civil support operations follows a Presidential disaster declaration under the Stafford Act. Federal military support may range from installation support up to commitment of major portions of the military's Active Duty commands.
After the disaster declaration, FEMA, through the Federal Coordinating Officer (FCO), coordinates with the Defense Coordinating Officer (DCO) to prepare a request for DSCA and submit it to the DoD executive secretary. A Federal Coordinating Officer (FCO), however, may initiate the request, or another Federal agency could request Federal military support. In addition, the President may bypass the usual request process and order the military to provide support.
Concurrently with the DSCA request, the appropriate combatant commander, either United States Northern Command (USNORTHCOM) or United States Pacific Command (USPACOM), develops the concept of operations and support and submits a request for forces to the Joint Staff. The SecDef designates the supported combatant commander and any supporting combatant commands. When validated, the request for forces becomes an order to the supporting combatant commanders to provide the forces.
Representatives in a Federal Response
Several individuals play critical roles in a Federal response. In particular, the SCO coordinates directly with the FCO who then, as necessary, coordinates with the DCO. Keep in mind, the FCO works with all Federal agencies, not just the DoD.
SCO - State Coordinating Officer
The SCO is appointed by the governor to coordinate state response and recovery operations with the Federal government. As an incident escalates, the SCO will work with the FCO to formulate state requirements, including those that are beyond state capability.
FCO - Federal Coordinating Officer (FCO)
The FCO is appointed to manage Federal response support activities for Stafford Act disasters and emergencies. The FCO also plays a significant role in managing the financial aspects of DSCA.
DCO - Defense Coordinating Officer (DCO)
The DCO, a Title 10 Active Duty officer, is assigned to each FEMA region and may work at the Regional Response Coordination Center (RRCC), at the FEMA regional office, or may pre-deploy to an incident command site. A DCO will generally be involved in DoD's response to DSCA. If Federal military forces deploy, the DCO will normally deploy to the Joint Field Office (JFO) location. The DCO coordinates DoD support to the Primary Agency (PA).
Specific responsibilities of the DCO (subject to modification based on the situation) include:
- Providing subject matter expertise for all state and Federal emergency response plans
- Coordinating with FEMA staff, state emergency responders, TAGs, and JFHQ-State staff
- Coordinating with the FCO and PAs for Emergency Support Functions (ESFs)
- Assigning military liaisons as appropriate
- Coordinating with all military installations regarding Base Support Installation (BSI) operations
DCE - Defense Coordinating Element (DCE)
The DCO has a DCE of core staff and military Liaison Officers to facilitate coordination and support to activated ESFs.
DCO/DCE responsibilities include:
- Representing DoD in the disaster area
- Providing liaison to state, local, and other Federal agencies
- Reviewing/recommending validation of RFAs/MAs
- Recommending the best military resource for the mission
- Providing support of deployed DoD forces
EPLO - Emergency Preparedness Liaison Officer (EPLO)
EPLOs are Service Reservists performing duties to help coordinate DoD emergency resources and support the DCO.
Responsibilities of EPLOs include the following:
- Establishing initial communication and coordination links between DoD and civil authorities at the regional, state, and local levels
- Assisting DoD forces in establishing connections with appropriate local civil authorities
- Conducting pre-emergency coordination with military and civilian leaders within their region or state
- Maintaining effective communication between the DoD components and other state and/or Federal governmental agencies
- Promoting mutual understanding among various organizations tasked with providing support in civil emergency situations
- Coordinating and establishing relationships between the National Guard and DoD Federal forces
- Representing DoD Federal forces in coordinating with civil authorities at the state and regional level
REPLO - Regional EPLO (REPLOs)
REPLOs are Title 10 Service Reserve personnel assigned to the FEMA regions.
SEPLO - State EPLO (SEPLOs)
SEPLOs are Title 10 Reserve personnel who perform duties in the state EOC. As subject matter experts in their states, they serve as DoD liaisons for DSCA to state and Federal agencies and maintain situational awareness within the state. On a daily basis, they build relationships to facilitate mission accomplishment.
Tribal Governments in Emergency Response
Tribal governments are responsible for coordinating resources to address actual or potential incidents, and often have offices established with responsibility for emergency management within their governments. Just as in the case of local governments, tribal leaders will seek additional assistance when local resources are not adequate. Unlike local governments, however, tribal governments can elect to go to the State for assistance or deal directly with the Federal government since federally recognized Tribes have a unique and direct relationship with the Federal government.
Example:National Guard Response during a Snowstorm
In January 2010, a severe snowstorm hit northern Arizona, an area that includes several Native American reservations. County sheriff offices and county emergency managers alerted tribal emergency managers and tribal chapter houses of the impending severe weather and ensured that communications procedures were in place to provide situational information and to request assistance. Once the storm hit, Arizona's Governor requested, and received, assistance per a Stafford Act emergency declaration, which allowed agencies to use Federal moneys for the response to and the recovery from the event. The Arizona National Guard delivered essential supplies such as MREs, water, and blankets to isolated regions including the Pinon, Kayenta, and Kykotsmovi Regions.
Although a State governor must request a Presidential declaration under the Stafford Act on behalf of a tribe when requesting Federal assistance, Federal departments or agencies can work directly with the tribe within the existing authorities and resources. The Tribal governments have direct contact with the Federal government through the Bureau of Indian Affairs, which is part of the Department of Interior. Being sovereign entities, the tribes may also have contact with other government agencies, such as the Federal Emergency Management Agency.
Authorities for Federal Response
While several authorities control a Federal response, emergency managers need to be most familiar with the Stafford Act, the Economy Act, the Posse Comitatus Act, and the Insurrection Act.
The Stafford Act is a law that is set up to provide an orderly means of federal disaster assistance for state and local governments in carrying out their responsibilities to aid citizens. The limits are set by state law and by the authority of the governor.
Following an incident, the President may sign a Stafford Act declaration directing Federal resources (funding, agencies, and personnel) to provide assistance to a state. The declaration may be requested prior to predicted incidents such as a hurricane, or after acute incidents such as an earthquake.
The steps for a Stafford Act Presidential disaster declaration are as follows:
Joint Preliminary Damage Assessment (PDA)
Step 1: Federal Emergency Management Agency (FEMA)/Federal and state representatives complete a Preliminary Damage Assessment (PDA). The PDA:
- Documents the impact of the event and estimates initial damage
- Establishes a foundation for the governor to request assistance
- Provides background for FEMA’s analysis of the request
Formal Governor's Request for Assistance
Step 2: The governor requests assistance. The governor’s request, by law, must:
- State that the governor has taken appropriate action and directed execution of the State Emergency Operations Plan
- Certify that the incident is of such severity and magnitude that state and local resources are inadequate
- Include a damage estimate
Step 3: FEMA reviews the request and makes a recommendation
- Governor’s request addressed to the President through FEMA Regional Administrator
- FEMA Regional Office completes analysis of request and recommendation
- FEMA Headquarters reviews request to ensure compliance with Stafford Act requirements
- FEMA Administrator recommends a course of action to the President
Step 4: The President makes a Major Disaster or Emergency Declaration, if warranted.
- President decides whether to declare that major disaster or emergency exists
- If declaration is issued, assistance is made available under the Stafford Act
- FCO's role is to oversee disaster operations
Once approved by the Secretary of Defense, Federal military forces may perform civil support on a reimbursable basis. The Economy Act of 1932 (Section 1525, Title 31) is the fiscal authority for a Federal agency to reimburse DoD for goods and services that agency ordered and DoD rendered (when a more specific statutory authority does not exist). Under the Economy Act, reimbursement may be provided for DoD's total costs.
Example:Economy Act Operation
The Minnesota bridge collapse in 2007 was an example of an Economy Act operation where FEMA was not involved. The U.S. Department of Transportation was the primary Federal agency. Who was in charge of the incident response? The local sheriff was the incident commander, and all requests for assistance originated from the sheriff through the City of Minneapolis Office of Emergency Preparedness. The DCO was sent when the Department of Transportation (DOT) requested support. U.S. Navy salvage divers were supplied by the DoD for the incident. The DCO was the DoD point of contact for all things DoD. DoD was reimbursed by DOT after the response under Economy Act authority.
A Difference between the Stafford and Economy Acts
Stafford Act funding becomes available only when there is a Presidential major disaster or emergency declaration, generally as the result of a governor's request for Federal assistance. Stafford Act funding is not available for a state declaration of emergency. The DCO may be able to assist in obtaining reimbursement for support provided by local and state officials, as well as reimbursement under the Stafford Act and/or Economy Act.
Posse Comitatus Act
Although Federal military forces are seldom first responders, they can support local authorities in an emergency, under immediate response authority. This response must be consistent with the Posse Comitatus Act which prohibits Title 10 forces from conducting law enforcement activities. These activities include interdirecting vehicles, conducting searches and seizures, making arrests or apprehensions, surveillance, investigation, or undercover work.
The Insurrection Act of 1807 governs the deployment by the President within the United States of Federal military personnel to quell lawlessness, insurrection, and rebellion. The law is intended to circumscribe the President's ability to use military force in enforcing civil law to narrowly defined conditions. Actions taken under the Insurrection Act are exempt from the provisions of the Posse Comitatus Act. The implementation of the Insurrection Act is allowed when a condition exists that hinders the execution of state and Federal laws within a state.
Example:Insurrection Act Exception for Posse Comitatus for Military Response to Rioting in California
During the 1992 Los Angeles, California riots soldiers and airmen from the California Army and Air National Guard were activated for state duty to quell the riots, and help the police restore order. Guardsmen were quickly committed into areas where they had to contend with considerable shooting, fires, and looting. The riots were declared a national emergency by President George H.W. Bush, and under the provisions of the Insurrection Act he deployed Title 10 military assets to assist in quelling the riots. The declaration insurrection was critical because it rendered Posse Comitatus moot for the purposes of allowing Title 10 forces to secure the streets, suppress looting and rioting, and in general enforce the law in Los Angeles. As a part of his declaration, the President also federalized the National Guard forces involved, in order to bring them under a unified command system.
- Stafford Act
- Economy Act
- Posse Comitatus Act
- Insurrection Act
Feedback: (3) The Posse Comitatus Act prohibits Title 10 forces from conducting law enforcement activities. These activities include interdirecting vehicles, conducting searches and seizures, making arrests or apprehensions, surveillance, investigation, or undercover work.
(2) The Economy Act of 1932 (Section 1525, Title 31) is the fiscal authority for a Federal agency to reimburse DoD for goods and services that agency ordered and DoD rendered (when a more specific statutory authority does not exist).
(1) Stafford Act funding becomes available only when there is a Presidential major disaster or emergency declaration, generally as the result of a governor's request for Federal assistance.
(4) The Insurrection Act of 1807 governs the deployment by the Preseident within the United States of Federal military personnel to quell lawlessness, insurrection, and rebellion.
Request for Assistance (RFA)/Mission Assignment (MA) Process
FEMA, which coordinates the Federal response to a disaster, uses Mission Assignments (MAs) to request assistance from the DoD to task other Federal agencies, and to provide reimbursement for direct assistance during emergencies and disasters. RFAs/MAs can also be initiated by states and/or agencies through the Executive Directorate at the Pentagon.
The RFA normally enters the process through the Joint Field Office (JFO). The DCO determines if the requirement can be fulfilled by military assets.
Pre-scripted Mission Assignments (PSMA)
In recent years, FEMA has expanded the MA process to include Pre-Scripted Mission Assignments (PSMAs), which, in coordination with FEMA, are developed by Federal agencies subject to supporting a Federal response. PSMAs standardize the process of developing MAs to facilitate a more rapid coordination process. They specify what type of assistance is required (personnel and equipment), identify a statement of work, and provide projected cost. Some representative DoD PSMAs related to the corresponding ESFs include:
A PMSA is not an approved MA and use of PSMA language does not preclude the use of the FEMA Action Request Form (ARF) (FEMA Form 90-126.) in the normal MA process. In response to a disaster, all requests for DoD assistance are evaluated on a case-by-case basis and are subject to the approval of the Secretary of Defense. Annex F of the DSCA Handbook Tactical Level Commander and Staff Toolkit (GTA 90-01-021) lists a summary of the DoD's 24 PSMAs as approved on 11 September 2009.
Incident Response Scenario
To tie all the concepts presented in this lesson together, let's take a look at a sample scenario. In this scenario, a hurricane will strike a state on the Gulf of Mexico. For simplicity, the projected hurricane strike will occur in Alabama. The process depicted below involves the same Stafford Act major disaster declaration described earlier. This allows for rapid action by the President with regard to emergency and disaster declarations.
This basic process is essentially the same for any emergency, whether it is a hurricane or a wildfire.
- Hurricane Strike
- A hurricane strikes Alabama. The first assistance on the scene is provided by local citizens and local first responders, including local police, fire, and emergency medical services.
- If the emergency exceeds the local capability or capacity, they will request assistance from other local and/or regional response agencies through mutual aid, and/or from the state.
- The state's EOC will coordinate with the governor to employ forces at his or her disposal. This can include the state police and/or the National Guard on State Active Duty and/or Title 32 status.
- The governor also has access to other states' resources via the Emergency Management Assistance Compact (EMAC).
- If the state determines they need additional capability or capacity, the governor can request help from the Federal government directly from the President.
- If the President agrees with the state request, a Presidential declaration is made and a lead Federal agency is assigned to coordinate and oversee the Federal response. In the example hurricane case provided, this would be DHS/FEMA.
- If the President agrees with the state request, a Presidential declaration is made and a lead Federal agency is assigned to coordinate and oversee the Federal response. In the example hurricane case provided, this would be DHS/FEMA.
- Emergency Officials
- A Joint Field Office is established.
- A Joint Field Office is established.
- If Federal resources in the area, with the exception of the military, are in short supply and/or the DoD has a unique capability needed by civilian authorities, a Request for Assistance (RFA) is made to the SecDef through the appropriate channels, as described earlier in this lesson. Note that the RFA is a capabilities-based request, which does not ask for specific units or equipment. Local responders describe the incident or emergency in the request. They are not responsible for matching resources to a specific incident.
- If the SecDef agrees, the mission of supporting the request is assigned to NORTHCOM.
Per NORTHCOM mission statement, NORTHCOM is "anticipating" and preparing for when they are asked to respond to assist civil authorities. It should be recognized that the request process can be enacted very quickly, thus the reasoning for NORTHCOM maintaining situational awareness on a daily basis in order to anticipate a need for DSCA.
During the 2006 hurricane season, NORTHCOM staged military resources and command and control elements to more effectively respond to possible needs of local and state emergency managers and emergency responders.
- Step One: When directed by USNORTHCOM, the Defense Coordinating Officer (DCO) deploys to the Joint Field Office (JFO) to work with the Federal Coordinating Officer (FCO) and the State Coordinating Officer (SCO) to coordinate requests for DoD capabilities. The lead Federal agency funded requests (Mission Assignments) are processed through USNORTHCOM to Joint Directorate of Military Support (JDOMS) and to the SecDef for approval. When a disaster is determined to be of such magnitude (such as a hurricane) that it exceeds the DCO's ability to provide command and control over the requested forces needed to respond USNORTHCOM will direct USARMYNORTH to stand up a Joint Task Force (JTF). When multiple JTFs are activated the Joint Forces Land Component Command (JFLCC) will provide command and control out of USARMYNORTH.
- Step Two: As the SecDef approves, the MA forces are flowed into the Joint Operations Area (JOA) and a Base Support Installation (BSI) is established to allow these forces to conduct Joint Reception, Staging, Onward Movement and Integration (JRSOI) operations, and the BSI also provides that sustainment requirement to those forces. At this point the DCO is also the Joint Force Commander (JFC) within that JOA/incident area.
- Step Three: A trigger will be established that clearly identifies when there are too many DoD forces within the JOA for the DCO to command (exceeding the DCO span of control); at which point all or a portion of a U.S. Army North (ARNORTH) Contingency Command Post (CCP) will deploy into the JOA and assume that command and control requirement from the DCO as the JTF.
Note: This is all situation dependent - the disaster may be of such a magnitude that a Contingency Command Post is launched early on and will be established as close to the JFO as possible to effect a unified Federal response.
Summary: Lesson Summary
This lesson presented an overview of the incident response process from the local and first tier response to a Presidential declaration and Federal response. Three key points to remember, as highlighted in the scenario, are:
- Military support must be requested by civilian authorities.
- Title 10 military forces must be directed by the SecDef or the President.
- It is most important to understand that the military forces' role is to support other organizations. The military and DoD are not arriving to take over incident command and control within DSCA operations.
The next lesson, Military Resources and Capabilities, will introduce you to the various military organizations and capabilities that may be involved in providing support to local emergency responders.