After a state or tribe submits a request  for disaster declaration through FEMA’s regional office, the regional office  is to evaluate the request and make a regional recommendation through  the RVAR, which is submitted to FEMA headquarters for further review. 1. According to FEMA headquarter officials, direct  assistance is provided to individuals to meet housing needs. The Six IA Regulatory Factors Used to Assess IA Declaration Requests

In accordance with its responsibilities under the Stafford Act, FEMA  issued a regulation in 1999 that outlines the six factors regional and  headquarters officials are to consider when assessing requests for a  disaster declaration and when developing a recommendation to the President for a federal disaster declaration. The six factors for IA include the following:  1. 2. 3. The President Declared 57 Percent of All IA Requests from 2008 through 2016, with Total Obligations of Approximately $8.6 Billion

		The Number of IA Declarations Varied by Region and Severe Storms Were the Most Frequent Disaster Type

The President declared 57 percent of all IA declaration requests from  calendars years 2008 through 2016, with total IA obligations of  approximately $8.6 billion. FEMA received 294 IA declaration requests  from calendar years 2008 through 2016. See appendix I for the number of IA declarations  requested, declared, and denied by states and tribes from each FEMA  region for disaster declarations requested from calendar years 2008  through 2016. FEMA Regions Did Not Consistently Obtain and Document Information on All Elements of the IA Regulatory Factors in RVARs

Based on our analysis of RVARs from July 2012 through December 2016  used to recommend approving or denying IA requests, FEMA regional  offices did not consistently obtain and document information on all  elements of the IA regulatory factors. According to FEMA headquarters officials, FEMA developed the RVAR  template in June 2012 to help ensure consistency across regions when  making recommendations to headquarters on IA declaration requests. Because it is unclear why regions are  not completely documenting all elements related to the current six  regulatory factors, such an evaluation could help FEMA identify whether  any corrective steps are needed. FEMA and States Reported Challenges in the IA Declaration Process, and FEMA Is Revising the Regulatory Factors Used to Assess Declaration Requests

		FEMA and State Officials Reported Both Positive Relationships and Some Challenges in the IA Declaration Process

Officials we interviewed in 9 of the 10 FEMA regions and state  emergency management offices in all 11 states reported the positive  relationship they maintain with each other as a strength in the IA  declaration process. According to FEMA headquarters officials, the revisions aim to provide  more objective criteria, clarify the threshold for eligibility, and speed the  declaration. Table 8  shows FEMA’s description of current and proposed IA factors. Until the proposed rule is finalized, we will not  know the extent to which the various challenges FEMA regions and state  officials raised in our interviews and in comments on the proposed rule  will be addressed. Recommendation for Executive Action

We recommend that the Administrator of FEMA evaluate why regions are  not completing the Regional Administrator’s Validation and  Recommendations for each element of the current IA regulatory factors  and take corrective steps, if necessary. DHS concurred with our recommendation that FEMA evaluate why  regions are not completing the Regional Administrator’s Validation and  Recommendations for each element of the IA regulatory factors and take  corrective steps, if necessary. Appendix IV: Information on the Elements of the Six Individual Assistance Regulatory Factors

Tables 11 through 16 provide information on each element of the 6  Individual Assistance (IA) regulatory factors documented in the Regional  Administrator’s Validation and Recommendation (RVAR) from July 2012  through December 2016 by the Federal Emergency Management Agency  region.
Why GAO Did This Study

FEMA's IA program provides help to individuals to meet their immediate needs after a disaster, such as shelter and medical expenses. When a state, U.S. territory, or tribe requests IA assistance through a federal disaster declaration, FEMA evaluates the request against regulatory factors, such as concentration of damages, and provides a recommendation to the President, who makes a final declaration decision.
GAO was asked to review FEMA's IA declaration process. This report examines (1) the number of IA declaration requests received, declared, and denied, and IA actual obligations from calendar years 2008 through 2016, (2) the extent to which FEMA accounts for the regulatory factors when evaluating IA requests, and (3) any challenges FEMA regions and select states reported on the declaration process and factors and any FEMA actions to revise them. GAO reviewed FEMA's policies, IA declaration requests and obligation data, and FEMA's RVARs from July 2012 through December 2016, the most recent years for which data were available. GAO also reviewed proposed rulemaking comments and interviewed FEMA officials from all 10 regions and 11 state emergency management offices selected based on declaration requests and other factors.

What GAO Found

From calendar years 2008 through 2016, the Department of Homeland Security's (DHS) Federal Emergency and Management Agency (FEMA) received 294 Individual Assistance (IA) declaration requests from states, U.S. territories, and tribes to help individuals meet their immediate needs after a disaster. Of these, the President declared 168 and denied 126 requests. Across the various types of IA declaration requests, severe storms (190) were the most common disaster type and drought (1) was among the least common. FEMA obligated about $8.6 billion in IA for disaster declarations during this period.
GAO found that FEMA regions did not consistently obtain and document information on all elements of established IA regulatory factors when making IA recommendations to headquarters. Following a declaration request, a FEMA region is to prepare a Regional Administrator's Validation and Recommendation (RVAR)—a document designed to include data on each of the six IA regulatory factors for each declaration request as well as the regional administrator's recommendation. GAO reviewed all 81 RVARs from July 2012—the date FEMA began using the new RVAR template—through December 2016. GAO found that regions did not consistently obtain and document information for the elements required under the six regulatory factors (see table). For example, only 44 of the 81 RVARs documented all elements under the concentration of damage factor. By evaluating why regions are not completing all elements of each current IA regulatory factor, FEMA could identify whether any corrective steps are needed.
Officials from the 10 FEMA regions and 11 states GAO interviewed, reported positive relationships with each other, but also cited various challenges with the IA declaration process and regulatory factors. For example, these officials told GAO that there are no established minimum thresholds for IA, making final determinations more subjective and the rationale behind denials unclear. However, as required by the Sandy Recovery Improvement Act of 2013, FEMA has taken steps to revise the IA factors by issuing a notice of proposed rulemaking. According to FEMA, the proposed rule aims to provide more objective criteria, clarify the threshold for eligibility, and speed up the IA declaration process. As of April 2018, the proposed rule was still under consideration. According to FEMA officials, they plan to finalize the rule in late 2018; therefore, it is too early to know the extent to which it will address these challenges.

What GAO Recommends

GAO recommends that FEMA evaluate why regions are not completing the RVARs for each element of the current IA regulatory factors and take corrective steps, if necessary. DHS concurred with the recommendation.