Target Capabilities List A companion to the National Preparedness Guidelines U.S. Department of Homeland Security September 2007 Target Capabilities List A companion to the National Preparedness Guidelines U.S. Department of Homeland Security September 2007 TABLE OF CONTENTS PREFACE.................................................................................................................................... iii EXECUTIVE SUMMARY ...........................................................................................................v INTRODUCTION.........................................................................................................................1 Overview.............................................................................................................................1 Key Components of the Target Capabilities List.................................................................6 Risk Factors Considered in Preparedness Planning...........................................................10 The TCL as a Tool for Expanded Regional Collaboration................................................11 Using the Target Capabilities List .....................................................................................12 Going Forward – Refinements to the TCL ........................................................................16 COMMON TARGET CAPABILITIES Planning .............................................................................................................................21 Communications ................................................................................................................29 Risk Management ..............................................................................................................43 Community Preparedness And Participation.....................................................................55 Intelligence and Information Sharing and Dissemination .................................................69 PREVENT MISSION AREA Information Gathering and Recognition of Indicators and Warnings ...............................81 Intelligence Analysis and Production ................................................................................91 Counter-Terror Investigation and Law Enforcement.......................................................103 CBRNE Detection............................................................................................................115 PROTECT MISSION AREA Critical Infrastructure Protection .....................................................................................129 Food and Agriculture Safety and Defense.......................................................................141 Epidemiological Surveillance and Investigation .............................................................161 Laboratory Testing...........................................................................................................175 Target Capabilities List RESPONSE MISSION AREA On-Site Incident Management .........................................................................................197 Emergency Operations Center Management ...................................................................209 Critical Resource Logistics and Distribution...................................................................223 Volunteer Management and Donations ...........................................................................237 Responder Safety and Health...........................................................................................249 Emergency Public Safety and Security Response ...........................................................263 Animal Disease Emergency Support ...............................................................................277 Environmental Health ......................................................................................................309 Explosive Device Response Operations ..........................................................................337 Fire Incident Response Support.......................................................................................349 WMD and Hazardous Materials Response and Decontamination...................................361 Citizen Evacuation and Shelter-In-Place .........................................................................377 Isolation and Quarantine..................................................................................................395 Search and Rescue (Land-Based) ....................................................................................407 Emergency Public Information and Warning ..................................................................421 Emergency Triage and Pre-Hospital Treatment ..............................................................437 Medical Surge ..................................................................................................................449 Medical Supplies Management and Distribution.............................................................465 Mass Prophylaxis.............................................................................................................479 Mass Care (Sheltering, Feeding, and Related Services)..................................................493 Fatality Management .......................................................................................................519 RECOVER MISSION AREA Structural Damage Assessment........................................................................................545 Restoration of Lifelines....................................................................................................557 Economic and Community Recovery ..............................................................................567 Target Capabilities List PREFACE The attacks on 9/11, the anthrax attacks, the devastation from Hurricane Katrina, and preparations for a possible pandemic illustrate the 21st century challenges the Nation faces. To meet these challenges, we must understand performance requirements for a major event at the task level and build and maintain the capabilities to perform those tasks. Preparedness for major events involves all levels of government, the private sector, non-government organizations, and citizens. In December, 2003, the President issued Homeland Security Presidential Directive (HSPD)-8 to establish national policy to strengthen the preparedness of the United States to prevent, protect against, respond to, and recover from terrorist attacks, major disasters, and other emergencies. HSPD-8 required the development of the National Preparedness Guidelines (the Guidelines). The Guidelines define what it means for the Nation to be prepared by providing a vision for preparedness, establishing national priorities, and identifying target capabilities. The Guidelines adopt a Capabilities-Based Planning process supported by three planning tools: the National Planning Scenarios, Target Capabilities List (TCL), and Universal Task List (UTL). They can be viewed online at https://odp.esportals.com or https://www.llis.dhs.gov. The Target Capabilities List describes the capabilities related to the four homeland security mission areas: Prevent, Protect, Respond, and Recover. It defines and provides the basis for assessing preparedness. It also establishes national guidance for preparing the Nation for major all-hazards events, such as those defined by the National Planning Scenarios. The current version of the TCL contains 37 core capabilities. A “Consensus of the Community” approach was used to develop the Target Capabilities List. Stakeholders from Federal, State, local, territorial, and tribal governments, the private sector, and nongovernmental organizations came together in four national workshops and capability working groups to define the capabilities. The Guidelines will serve as a framework to guide operational readiness planning, priority-setting, and program implementation at all levels of government. The Guidelines provide a call to action by all Americans as they consider their personal and shared responsibility to be part of A Nation Prepared. The Target Capabilities List provides guidance on building and maintaining capabilities that support the Guidelines. Michael Chertoff Secretary Department of Homeland Security Target Capabilities List This page intentionally left blank Target Capabilities List EXECUTIVE SUMMARY The President and Congress directed creation of a fully integrated, adaptable, all-hazards national preparedness system. The National Preparedness Guidelines (The Guidelines) and Target Capabilities List (TCL) establish the system’s all-hazards framework. The Guidelines provide the vision and establishes national priorities. The TCL is a national-level, generic model of operationally ready capabilities defining all-hazards preparedness. Users should refer to the TCL to assess capabilities, identify needs, and inform plans and strategies taking into account their risk. It is important to understand that the TCL serves as a reference document and planning guide to preparedness and in no way serves as a prescription for program or resource requirements. The vision for the National Preparedness Guidelines is: A NATION PREPARED with coordinated capabilities to prevent, protect against, respond to, and recover from all hazards in a way that balances risk with resources and need. The Guidelines establish the following priorities to meet the Nation’s most urgent needs and adopt a Capabilities-Based Planning process to define and build the capabilities to achieve the Guidelines: • Expand regional collaboration • Implement the National Incident Management System and the National Response Plan • Implement the National Infrastructure Protection Plan • Strengthen information sharing and collaboration capabilities • Strengthen communications capabilities • Strengthen CBRNE detection, response, and decontamination capabilities • Strengthen medical surge and mass prophylaxis capabilities • Strengthen planning and citizen preparedness capabilities The Target Capabilities List provides a guide to addressing the priorities and achieving the National Preparedness Guidelines. Capabilities provide the means to accomplish a mission and achieve desired outcomes by performing critical tasks, under specified conditions, to target levels of performance. Capabilities are delivered by appropriate combinations of planning, organization, equipment, training, and exercises. The TCL supports an all-hazards approach to building capabilities that may be needed in the event of terrorist attacks, natural disasters, health emergencies, and other major events. It identifies 37 capabilities that were developed with the active participation of stakeholders representing all levels of government, non-governmental organizations, and the private sector. Consensus of the Community Approach: Stakeholder Involvement The Guidelines and TCL were developed with an unprecedented level of stakeholder involvement. The Department of Homeland Security adopted a “consensus of the community” approach, eliciting the active involvement of local, State, and Federal agencies, over 120 national associations, nongovernmental organizations, and the private sector. Stakeholders participated through national stakeholder workshops, working groups, and broad national reviews. Target Capabilities List The Approach to Defining Capabilities The capabilities are derived from a threat and mission analysis. The first step in defining capabilities is to answer the question “How prepared do we need to be?” The analysis, using the 15 National Planning Scenarios, illustrates the range, scope, magnitude, and complexity of representative major events, including terrorism, natural disasters, and other emergencies for which the Nation should prepare. Mission analysis provides an overview of all the major functions related to achievement of the four missions. It ensures that preparedness activities are focused on mission achievement. The National Planning Scenarios serve as the basis for defining tasks that may be required to successfully prevent, protect against, respond to, and recover from a wide range of threats and hazards, as well as the capabilities needed to perform the tasks. The Universal Task List (UTL) is the catalogue of tasks that may need to be performed by governmental, non-governmental, and private-sector organizations, and the general public. No single jurisdiction or agency is expected to perform every task identified and no two jurisdictions require the same level of capabilities. In addition, Federal priorities and supporting program referenced herein are subject to change in response to an evolving threat environment and competition for scare resources. In practice, subsets of tasks will be selected based on specific roles, missions, and functions, and the appropriate level of capabilities will depend upon risk and need. The TCL provides a guide for development of a national network of capabilities that will be available when and where they are needed to prevent, protect against, respond to, and recover from major events. These capabilities define all-hazards preparedness and provide the basis for assessing preparedness and improving decisions related to preparedness investments and strategies. Target Capabilities The TCL comprises 37 capabilities which are listed in the chart on the next page. They address response capabilities, immediate recovery, selected prevention and protection mission capabilities, as well as common capabilities such as planning and communications that support all missions. For these capabilities, local jurisdictions and States are the lead in conjunction with Federal and private sector support. A Capability Summary has been developed for each capability to describe and provide guidance on the major capability components. Each Capability Summary contains the following elements: a definition and outcome, preparedness and performance tasks and measure, resource elements, target preparedness levels, and identified responsibility for building and maintaining the capability. Target Capabilities List Phase I Capabilities (Included in this version of the TCL) Common Capabilities Planning Communications Community Preparedness and Participation Risk Management Intelligence and Information Sharing and Dissemination Prevent Mission Capabilities Information Gathering and Recognition of Indicators and Warning Intelligence Analysis and Production Counter-Terror Investigation and Law Enforcement CBRNE Detection Protect Mission Capabilities Critical Infrastructure Protection Food and Agriculture Safety and Defense Epidemiological Surveillance and Investigation Laboratory Testing Respond Mission Capabilities On-Site Incident Management Emergency Operations Center Management Critical Resource Logistics and Distribution Using the Target Capabilities List Volunteer Management and Donations Responder Safety and Health Emergency Public Safety and Security Animal Disease Emergency Support Environmental Health Explosive Device Response Operations Fire Incident Response Support WMD and Hazardous Materials Response and Decontamination Citizen Evacuation and Shelter-in-Place Isolation and Quarantine Search and Rescue (Land-Based) Emergency Public Information and Warning Emergency Triage and Pre-Hospital Treatment Medical Surge Medical Supplies Management and Distribution Mass Prophylaxis Mass Care (Sheltering, Feeding and Related Services) Fatality Management Recover Mission Capabilities Structural Damage Assessment Restoration of Lifelines Economic and Community Recovery The Target Capabilities List is a reference document that describes the capabilities for achieving national preparedness. It also serves as a planning, assessment, and training tool. Various implementation tools are being developed from the TCL to help decision-makers and managers at all levels to define their preparedness requirements and assess levels of preparedness. Some uses are briefly described below: • Risk Assessment: The determination of risk includes identification and characterization of threats, their consequences, and our vulnerabilities. While each is important for capabilities-based planning and national preparedness, determinations of vulnerability are important since they include not only exposure and sensitivity, but resilience. Resilience is key since it refers to our coping capacity to absorb events, adapt, respond to, and recover from its effects. Target Capabilities List • Planning: The TCL includes a Planning Capability designed to establish and maintain the ability to develop, update, and test plans. In addition, each capability contains both preparedness and performance tasks and measures that support the capability outcome and serve as a guide for preparedness planning. The preparedness tasks and measures describe major elements or issues that should be addressed in plans, procedures, and systems, as well as authorities, relationships, and agreements that need to be in place to prepare to use the capability. The performance tasks and measures also inform the planning process. • Strategy Development and Investment Justifications: The common framework provided by the Guidelines, priorities, and capabilities serve as a guide to enhance homeland security strategies and investment justifications at all levels. • Assessment of Preparedness: The TCL provides a basis for assessing preparedness to help jurisdictions and agencies to plan strategically, design appropriate programs that meet proven needs, and evaluate the effectiveness of investments over time. • Focus Training on Task Performance: Training programs should be modified as appropriate to ensure that they provide participants with the knowledge, skills, and abilities to perform the critical tasks defined by the TCL to a proficiency level sufficient to achieve the capability outcomes. • Test Capabilities through Exercises: Exercises provide a means to test and validate preparedness. The Homeland Security Exercise and Evaluation Program (HSEEP) is designed to encourage a common exercise design, conduct, and evaluation methodology across all levels of government and the private sector. HSEEP exercises are designed and evaluated to demonstrate capability levels through the assessment of performance of critical tasks and achievement of outcomes, as defined by the TCL. The TCL Going Forward The TCL is a living document. It was designed to be enhanced and refined over time as we gain lessons from its application or real world experience. Recommendations for changes to the TCL are welcome and will be reviewed and integrated into future versions of the TCL, as appropriate. A change request form is posted on www.LLIS.gov. Target Capabilities List INTRODUCTION Overview The President and Congress directed creation of a fully integrated, adaptable, all-hazards national preparedness system. The National Preparedness Guidelines (The Guidelines) and Target Capabilities List (TCL) establish the system’s all-hazards framework. The Guidelines provide the vision and establishes national priorities. The TCL is a national-level, generic model of operationally ready capabilities defining all-hazards preparedness. Users should refer to the TCL to assess capabilities, identify needs, and inform plans and strategies taking into account their risk. The vision for the National Preparedness Guidelines is: A NATION PREPARED with coordinated capabilities to prevent, protect against, respond to, and recover from all hazards in a way that balances risk with resources. The Guidelines establish the following priorities to meet the Nation’s most urgent needs and adopt a capabilities-based planning approach to define and build the capabilities critical to achieve the Guidelines: • Expand regional collaboration • Implement the National Incident Management System and the National Response Plan • Implement the National Infrastructure Protection Plan • Strengthen information sharing and collaboration capabilities • Strengthen communications capabilities • Strengthen CBRNE detection, response, and decontamination capabilities • Strengthen medical surge and mass prophylaxis capabilities • Strengthen planning and citizen preparedness capabilities The Target Capabilities List provides a guide to addressing the priorities and achieving the National Preparedness Guidelines. Capabilities provide the means to accomplish a mission and achieve desired outcomes by performing critical tasks, under specified conditions, to target levels of performance. The conditions under which the tasks must be performed are defined by a set of National Planning Scenarios. Capabilities are delivered by appropriate combinations of planning, organization, equipment, training, and exercises. The TCL supports an all-hazards approach to building interchangeable, flexible capabilities needed to address a broad range of incidents to include: terrorist attacks, natural disasters, health emergencies, and other major incidents. It currently identifies 37 capabilities that were developed with the active participation of stakeholders representing all levels of government, non-governmental organizations, and the private sector. Each capability includes a definition; outcome; preparedness and performance activities, tasks, and measures. The TCL also identifies the role of governmental and non-governmental organizations, the private sector, and citizens in building and maintaining capabilities. By doing so, it provides a basis for assessing preparedness and for setting priorities for the effective use of limited resources. The TCL serves as a valuable tool for guiding preparedness activities to include: planning, establishment of training requirements, and evaluation of performance through exercises and operations. Although the TCL should inform resource priorities at all levels, it does not imply a commitment of Federal funding. Target Capabilities List 2 Target Capabilities List Assumptions for Major Events .. May occur at any time with little or no warning .. Require significant information-sharing at the unclassified and classified levels across multiple jurisdictions and between the public and private sectors .. Involve single or multiple geographic areas .. May have significant international impact and/or require significant international information sharing, resource coordination, and/or assistance .. Can span the spectrum of incident management to include prevention, protection, response, and recovery .. Involve multiple, highly varied hazards or threats .. May result in numerous casualties; fatalities; displaced people; property loss; disruption of normal life support systems, essential public services, and basic infrastructure; and significant damage to the environment .. Impact critical infrastructure across sectors .. Overwhelm capabilities of State, local, and Tribal governments, and private-sector infrastructure owners and operators .. Attract an influx of spontaneous volunteers and supplies .. May require short-notice asset coordination and response .. May require prolonged, sustained incident management activities Note: The assumptions for major events mirror those for Catastrophic events found in the National Response Plan The Underlying Assumption: Major Events Require Partnerships The planning assumptions for major events which were used to develop the TCL are found in the National Response Plan (NRP), which recognizes that such events will typically be managed at the lowest possible geographic, organizational, and jurisdictional level using the principles in the National Incident Management System (NIMS). The Catastrophic Incident Supplement to the NRP establishes a strategy for accelerating the delivery and application of Federal and Federally accessible resources and capabilities in support of a jurisdictional response to a no-notice or short-notice catastrophic mass victim/mass evacuation incident. Nonetheless, the scope of major events demands that the combined expertise and capabilities of government, private sector, and nongovernmental organizations be brought to bear as the Nation addresses the homeland security missions. Consensus of the Community Approach: Stakeholder Involvement The Target Capabilities List was developed with an unprecedented level of stakeholder involvement. The Department of Homeland Security adopted a “consensus of the community” approach, eliciting the active involvement of local, State, and Federal agencies, over 120 national associations, non-governmental organizations, and the private sector. Stakeholders participated through national stakeholder workshops, working groups, and broad national reviews. The Approach to Defining Capabilities The National Preparedness Guidelines identify three fundamental questions that must be addressed to achieve a Nation prepared. How prepared do we need to be? How prepared are we? How do we prioritize efforts to close the difference? To answer these questions, we must first determine what threats we face and what we need to do to achieve the homeland security missions to prevent, protect against, respond to, and recover from those threats. We then need to determine what tasks need to be performed, how well they need to be performed, and the capabilities needed to perform the tasks to the appropriate level of performance. The graphic below illustrates the process used to develop the Target Capabilities List which helps us answer these three questions. Capabilities Development Process and Tools PROCESS National Planning Scenarios Homeland Security Taxonomy Universal Task List Target Capabilities List ThreatThreat AnalysisAnalysis MissionMission AreaArea AnalysisAnalysis TaskTask AnalysisAnalysis CapabilitiesCapabilities DevelopmentDevelopment TOOLS Starting Point: Threat Analysis The capabilities are derived from a threat and mission analysis. The first step in defining capabilities is to answer the question “How prepared do we need to be?” The analysis, using the 15 National Planning Scenarios, illustrates the range, scope, magnitude, and complexity of representative major incidents, including terrorism, natural disasters, and other emergencies for which the Nation should prepare. Mission analysis provides an overview of all the major functions related to achievement of the four missions. It ensures that preparedness activities are focused on mission achievement. Target Capabilities List 3 4 Target Capabilities List 15 National Planning Scenarios 1. Improvised Nuclear Device 2. Aerosol Anthrax 3. Pandemic Influenza 4. Plague 5. Blister Agent 6. Toxic Industrial Chemical 7. Nerve Agent 8. Chlorine Tank Explosion 9. Major Earthquake 10. Major Hurricane 11. Radiological Dispersal Device 12. Improvised Explosive Device 13. Food Contamination 14. Foreign Animal Disease 15. Major Cyber Attack Terrorism scenarios dominate because the U.S. has had less experience with terrorist events than with natural disasters. A preponderance of terrorist scenarios compensates for less operational experience with these types of events. Focus on Achievement of Mission A mission area analysis was also conducted to identify the major functions related to achievement of the four missions. It helps to ensure that all preparedness activities are focused on mission success. A mission area analysis was conducted through a review of official documents and doctrine to identify the objectives and functional areas for each of the Homeland Security Missions. This included a review of the Homeland Security Strategy, legislation, the Presidential Directives, and related doctrine. The result is the all-hazards taxonomy, which shows the alignment of all homeland security activities toward mission achievement. The taxonomy is shown on the next page. Task Analysis The National Planning Scenarios serve as the basis for defining the tasks that may be required to prevent, protect against, respond to, and recover from a wide range of threats and hazards, as well as the capabilities necessary to perform the tasks. The Universal Task List (UTL) is the catalogue of tasks that may need to be performed by governmental, non-governmental, and private-sector organizations, and the general public. During a major event the number of people performing a task may need to increase and may be performed by a combination of local agencies as well as teams from other jurisdictions, levels of government, or the private sector. The UTL does not identify who will perform the task or how it should be performed. That is left to the State, local, tribal, and territorial implementing agencies. No single jurisdiction or agency is expected to perform every task. Rather, subsets of tasks will be selected based on specific roles, missions, and functions. The current version of the UTL is a catalogue of nearly 4,800 tasks across the four mission areas. Target Capabilities The TCL provides a guide for developing a national network of capabilities that will be available when and where they are needed to prevent, protect against, respond to, and recover from major events. These capabilities define all-hazards preparedness and provide the basis for assessing preparedness and improving decisions related to preparedness investments and strategies. They establish planning tools for preparing the Nation for major all-hazards events such as those represented by the National Planning Scenarios. The capabilities assume that local jurisdictions have an operational level of capabilities to address most routine emergencies and disasters. For example, the TCL does not address capabilities for routine firefighting or law enforcement services, or seasonal flooding. Instead, the TCL addresses capabilities- based preparedness to prevent, protect against, respond to, and recover from terrorism, very large-scale disasters, pandemic health emergencies, or other major incidents. Establishing plans, procedures, systems, interagency relationships, training and exercise programs, and mutual aid agreements required for major events will enhance performance for all hazard response. Target Capabilities List 6 Target Capabilities List Key Components of the Target Capabilities List The TCL currently comprises 37 capabilities which are listed in the chart on the next page. They address preparedness for response capabilities, immediate recovery, selected prevention and protection mission capabilities, as well as common capabilities such as planning and communications that support all missions. For these capabilities, local jurisdictions and States are the lead in conjunction with appropriate Federal and private sector support. A Capability Summary has been developed for each capability to describe and provide guidance on the major capability components. Definition, Outcome, NRP Relationship Each capability summary begins with a definition of the capability, and follows with an outcome statement that describes the expected results or effect to be achieved. The next section identifies the relationship of the capability to the emergency support function(s) described in the National Response Plan. Preparedness Activities, Critical Tasks, Measures, and Metrics Each capability includes a description of the major activities performed with the capability and the critical tasks and measures associated with the activity. They include both preparedness and performance activities, tasks, and measures. Preparedness activities and tasks are those things that should be done prior to the demand for the capability. Development of plans, procedures, protocols, and systems; establishment of mutual aid agreements and authorities; provision of training; and the conduct of exercises are all examples of preparedness tasks. Critical tasks are tasks that are essential to achieving the desired outcome and to the success of a homeland security mission. The critical tasks are derived from the tasks found in the Universal Task List. Capability Summaries Include .. Definition .. Outcome .. Relationship to NRP Emergency Support Function (ESF)/Annex .. Preparedness Activities, Tasks, Measures, and Metrics .. Performance Activities, Tasks, Measures, and Metrics .. Activity Process Flow .. Capability Elements .. Linked Capabilities .. Planning Assumptions .. Planning Factors .. National Preparedness Levels .. References Target Capabilities List 7 Phase I Capabilities (Included in this version of the TCL) Common Capabilities Planning Communications Community Preparedness and Participation Risk Management Intelligence and Information Sharing and Dissemination Prevent Mission Capabilities Information Gathering and Recognition of Indicators and Warning Intelligence Analysis and Production Counter-Terror Investigation and Law Enforcement CBRNE Detection Protect Mission Capabilities Critical Infrastructure Protection Food and Agriculture Safety and Defense Epidemiological Surveillance and Investigation Laboratory Testing Respond Mission Capabilities On-Site Incident Management Emergency Operations Center Management Critical Resource Logistics and Distribution Volunteer Management and Donations Respond Mission Capabilities (Continued) Responder Safety and Health Emergency Public Safety and Security Animal Disease Emergency Support Environmental Health Explosive Device Response Operations Fire Incident Response Support WMD and Hazardous Materials Response and Decontamination Citizen Evacuation and Shelter-in-Place Isolation and Quarantine Search and Rescue (Land-Based) Emergency Public Information and Warning Emergency Triage and Pre-Hospital Treatment Medical Surge Medical Supplies Management and Distribution Mass Prophylaxis Mass Care (Sheltering, Feeding and Related Services) Fatality Management Recover Mission Capabilities Structural Damage Assessment Restoration of Lifelines Economic and Community Recovery Performance Activities, Critical Tasks, Measures, and Metrics Performance activities and tasks are the actions taken to prevent, protect against, respond to, or recover from an actual event or are demonstrated during an exercise. An Activity Process Flow Map shows the major activities that are performed with the capability and how the capability links to other capabilities. Performance measures are quantitative or qualitative levels against which achievement of a task or capability outcome can be assessed. They describe how much, how well, or how quickly an action should be performed and are typically expressed in ways that can be observed during an exercise or real event. The measures and metrics are not standards. They serve as guides and evaluation tools for planning, training, and exercise activities. However, nationally accepted standards of performance, benchmarks, and guidelines are reflected, if applicable. Sample Preparedness and Performance Measures and Metrics Example from Citizen Evacuation and Shelter-In-Place Capability Preparedness Measure Metric Plans addressing authority and decision-making processes for shelterin- place and/or evacuation are in place Yes/No Populations that may need assistance with evacuation/shelter-in-place have been identified Yes/No Plans to provide adequate services (e.g., gas, food, water, tow trucks, emergency medical services, etc.) along evacuation routes are in place Yes/No Performance Measure Metric Time in which affected population is notified of shelter-in-place order Within 15 minutes from order to shelterin- place Time in which the evacuation of the affected general population for an event with advanced warning is completed Within 72 hours from the order to evacuate Evacuation staging/reception areas in the affected area are coordinated with necessary sites and assisting agencies Yes/No Capability Elements A capability is provided with proper planning, organization, training, equipment, and exercises. The capability elements define the resources needed to perform the critical tasks to the specified levels of performance, with the recognition that there is rarely a single combination of capability elements that must be used to achieve a capability. Where applicable, NIMS Resource Typing Definitions were used to define resource organizations or packages. Resource typing is the categorization and description of response resources that are commonly exchanged in disasters through mutual aid agreements. Use of these standard definitions enables emergency management personnel to identify, locate, request, order, and track outside resources quickly and effectively and facilitate the response of these resources to the requesting jurisdiction. Additional resources are being typed and personnel positions are being credentialed by the NIMS Integration Center. Consistent with NIMS, the capability elements include personnel; planning; organization and leadership; Target Capabilities List equipment and systems; training; and exercises, evaluations, and corrective actions, as shown in the chart below. The Capability Elements serve as a guide for identifying and prioritizing investments when working to establish a capability. Further, existing programs and activities represented as Capability Elements have been included for reference purposes only, and are subject to change in response to an evolving threat environment and competition for scarce resources. Capability Elements Planning Organization and Leadership Collection and analysis of intelligence and information, and development of policies, plans, procedures, mutual aid agreements, strategies, and other publications that comply with relevant laws, regulations, and guidance necessary to perform assigned missions and tasks. Individual teams, an overall organizational structure, and leadership at each level in the structure that comply with relevant laws, regulations, and guidance necessary to perform assigned missions and tasks. Personnel Paid and volunteer staff who meet relevant qualification and certification standards necessary to perform assigned missions and tasks. Equipment and Systems Major items of equipment, supplies, facilities, and systems that comply with relevant standards necessary to perform assigned missions and tasks. Training Exercises, Evaluations, and Corrective Actions Content and methods of delivery that comply with relevant training standards necessary to perform assigned missions and tasks. Exercises, self-assessments, peer-assessments, outside review, compliance monitoring, and actual major events that provide opportunities to demonstrate, evaluate, and improve the combined capability and interoperability of the other elements to perform assigned missions and tasks to standards necessary to achieve successful outcomes. Planning Assumptions and Planning Factors The Capability Working Groups developed planning assumptions to fill in data or details not provided by the National Planning Scenarios. Some apply to any scenario; others are scenario-specific. They also developed specific planning factors, which indicate estimates of the quantity of the capability elements that address the demand for the capability defined by the scenario(s). Target Capability Preparedness Levels Because major events can exceed the normal operating capacity of any single jurisdiction, a collaborative, national approach should be used to plan and prepare for major events. Target preparedness levels represent suggested levels of capability that may be needed to prevent, protect against, respond to, and recover from major events that demand a multi-level, multi-jurisdictional, multi-disciplinary response. Stakeholder working groups suggested Target Capability preparedness levels based on an analysis of the circumstances and consequences described in the National Planning Scenarios and the planning factors. They were instructed not to let their knowledge of current resources limit their thinking about requirements needed for major events and therefore these levels should be considered in the context of broader resource constraints and regional priorities. The Target Capability levels take into account Target Capabilities List 10 Target Capabilities List National Preparedness Levels for Capabilities .. The Target Capability preparedness levels estimate what may be needed should major events exceed the capacity of any single jurisdiction. .. Responsibility for meeting Target Capability preparedness levels can be shared across government and non-government entities. .. Many of the resource estimates are not standing requirements – they would be assembled when and where they are needed. .. Assessments of current capabilities against target levels can provide an indication of relative preparedness. adjustments to normal operating procedures that may need to be made during major events based on the circumstances. Such adjustments may include altering performance standards, drawing resources from many sources, making creative use of existing resources or relying on non-traditional resources (e.g., volunteers). Assignment of Roles in Achieving Target Capability Preparedness Levels The TCL identifies the role of governments, nongovernmental organizations, the private sector, and citizens in achieving the target levels. The assignment is based on the assumption that no single jurisdiction is likely to have all capabilities at sufficient levels to fully address its needs if faced with a major event. Some jurisdictions will possess the capability while others will access it through mutual aid, if needed. During a major event, all jurisdictions regardless of size may call on support from other available public and private sources appropriate to the scale of the event. Stakeholder working groups analyzed the elements of each capability by criticality, risk, and demand to make recommendations regarding the assignment of roles and responsibilities and the distribution of the capability across the country. The Target Capability Preparedness Levels represent ideal states of preparedness by capability for the purposes of a common planning and measurement framework. However, actual preparedness investment planning will combine this framework with both risk analysis as well as appropriate resource prioritization on a regional basis. Further, the assignments of roles and responsibilities are neither mandates nor statements of Federal policy. These portions of the TCL serve as a guide for planning and measuring appropriate levels of preparedness and regional coordination. Risk Factors Considered in Preparedness Planning Risk is a combination of credible threat, vulnerability, and consequence. Risk factors that affect capability need and placement include: population and population density, the presence of critical infrastructure and key resources, location in high terrorist threat or high risk natural disaster areas, and capabilities to prevent, protect against, or mitigate a threat. The relative importance of these risk factors in determining where or how much of a capability is needed varies by capability, as described below. Population and Population Density Population and/or population density are determining factors for the assignment of many of the capabilities. For example, the target levels and distribution of capabilities such as WMD Response and Decontamination, Medical Surge, Mass Prophylaxis, and Citizen Evacuation and Shelter-In-Place capabilities are directly related to population. Population density is a key factor in determining the location of some capability resources, such as those for the Fire Incident Response Support and Explosive Device Response Operations capabilities. The type and amount of resources needed are generally different in high population, high-density areas than in less densely populated areas. For example, Type I Urban Search and Rescue (US&R) Task Forces, which can extricate victims from heavy construction, are assigned to urban areas with high-rise buildings. Collapse Search and Rescue Teams and Heavy Rescue Strike Teams and Squads may be more appropriate in less urban areas. However, the Type I USAR Task Forces, if located in large metropolitan areas, could be made available for deployment to jurisdictions in other geographic areas. Critical Infrastructure Many jurisdictions or geographic areas across the country have critical infrastructure or key resources (CI/KR) that need to be considered in the determination of risk and distribution of capabilities. Because the capabilities in the current TCL are more focused on response activities and the presence of critical infrastructure and key resources are so widely distributed, this was less of a discriminating factor than population. Credible Threat Capability-Based Planning allows the flexibility to adjust capabilities or target levels to account for elevations or reductions in credible threat. In addition, a jurisdiction may have capability requirements disproportionate to its population and critical infrastructure based on its terrorist threat level or its location. The TCL as a Tool for Expanded Regional Collaboration Expanded Regional Collaboration is identified as the first priority in the National Preparedness Guidelines in recognition that large scale events may require a shared response across jurisdictions, levels of government, and the public/private sectors depending on the scale of the event. States are encouraged to define geographic areas or regions, in consultation with local and tribal governments that share risk and responsibility for a major event. The expanded region facilitates the strengthening of relationships among participants, regional preparedness planning and operations support, and joint implementation of a capabilities-based approach. Regions may be intra- or inter-State geographic areas, as appropriate, based on shared risk and the need for joint planning and operations. Standardization of geographic regions will enable the States, working with local and tribal government and other partners, to coordinate preparedness activities more effectively, spread costs, pool resources, share risk, and thereby increase the overall return on investment. The Guidelines also encourage the establishment of multi-jurisdictional and multi-disciplinary working groups consisting of representatives from the entities located within the region. Through joint planning, the region will determine how best to achieve the capabilities, decide where the capabilities should be built and maintained, and establish priorities for the use of limited resources. The working groups will use the TCL as the basis to identify needed capabilities; assess current capability levels and gaps; identify, analyze, and choose options; update strategies and plans; and assess preparedness. The capability needs for a region may be informed by utilizing the Target Capabilities Preparedness Levels as a guide for the jurisdictions within the region. For example, based on its jurisdictions, a region may require access to one Type I Urban Search and Rescue Task Force, three Type II Collapse Search and Rescue Teams, and so forth. Through a collaborative, regional planning approach, the jurisdictions within the region will determine the most effective distribution and sharing of capability resources to ensure that they are available when and where they are needed and that all of the jurisdictions within the region have or have access to them as needed. Target Capabilities List Capability elements to perform critical tasks are associated with performance measures and metrics. Some capabilities are universal, such as Planning or Communications. For other capabilities, the resource target levels are directly related to size of the population. Teams with different levels of capability (e.g., Level I, II, and III Bomb Squads) are assigned to appropriate levels of government or local jurisdictions based on demand for the capability. Specialized teams or resources are generally assigned to larger jurisdictions where there is a greater demand for the resource and where a team with sufficient trained personnel has the opportunity to maintain proficiency through calls-for-service. Teams with more limited capabilities that require less personnel and equipment are assigned to smaller jurisdictions where they provide an immediate response and can request assistance from specialized teams, if needed. The performance measures and metrics for each capability define how quickly and how effectively critical tasks should be performed. Criticality (i.e., how quickly a specific capability is needed to prevent an incident, save lives, prevent suffering, or reduce major damage) is an important consideration in determining where a capability is needed. For example, decontamination of victims of a chemical attack must typically take place within a certain period of time in order to save lives. Therefore, the Target Capability preparedness level for this capability does not vary by location, but would still vary by the likelihood of the event. For example, the likelihood of an event requiring decontamination is often significantly lower in a rural setting. Since the time to act is very short, the likelihood that a jurisdiction could have an attack or an accidental release of toxic chemicals should impact its decision to either develop a decontamination capability or secure timely access to it. For some other capabilities, performance requirements may vary across jurisdictions. For example, the ideal time for a bomb squad to arrive on-scene may be much shorter in a densely populated urban area than in a less populated area, where evacuation of an area may be the initial response. Using the Target Capabilities List The Target Capabilities List should be viewed as a reference document or guide to preparedness. It should not serve as a prescription for program requirements or resource commitments. Most users will not use the TCL document directly and/or may only use one or a subset of capabilities that are relevant to them. They will use those portions of the TCL that are relevant to them or to their specific application through the TCL implementation tools. For example, the Homeland Security Exercise and Evaluation Program (HSEEP) uses the TCL as the basis for designing, conducting, and evaluating exercises. HSEEP pulls from the performance tasks and measures section of the capabilities. Through the exercise design process, the planners determine which of the capabilities to test during the exercise. A single exercise would not attempt to address all the capabilities. The National Preparedness Guidelines and the Target Capabilities List provide the framework for preparedness and support the implementation of the Preparedness Cycle. As illustrated below, the cycle takes the user through a series of preparedness activities from conducting risk and capabilities assessments, strategy development, planning, identification and filling of resources gaps, training, exercises, and implementation of corrective actions. Various implementation tools are being developed from the TCL to help decision-makers and managers at all levels to define their preparedness needs, build needed capabilities, and assess levels of preparedness. In addition, DHS is developing a Guide to Using the Target Capabilities List: A Framework for Preparedness that will provide additional guidance on how to use the TCL throughout the steps in the preparedness cycle. Target Capabilities List Target Capabilities List 13 Preparedness Cycle Conduct Capabilities Assessment Develop Strategy Identify/Purchase Equipment Develop Multi-year Training and Exercise Plan and Schedule Conduct Risk Assessment Plan and Resource Programs Conduct Training Conduct Exercises to Validate Training and Plans Assign Corrective Actions resulting from Exercise Evaluation and Improvement Plans Track/Implement Corrective Actions Update Capabilities Assessment/ Strategy/Multi-year Plans Risk Assessment The determination of risk includes identification and characterization of threats and hazards, their consequences, and our vulnerabilities. While each is important for capabilities-based planning and national preparedness, determinations of vulnerability are important since they include not only exposure and sensitivity, but resilience. Resilience is key since it refers to our coping capacity to absorb events, adapt, and respond to and recover from its effects. The completion of a risk assessment, the first step in the preparedness cycle, helps us understand the types of threats and hazards we face. The National Planning Scenarios help us define the range and scope of incidents for which we must prepare. They were used in the development of the capabilities to define the critical tasks, the measures and metrics, and the resources to perform the tasks to the desired level of performance. The TCL is designed to provide the nation with the network of flexible and adaptive capabilities across the country to prevent, protect against, respond to, and recover from incidents similar to those described in the National Planning Scenarios or other scenarios. Planners and officials at all levels will assess and determine their greatest risks within this framework to inform planning efforts and to establish priorities for addressing resource gaps, training, and exercises. Preparedness Planning The President called for a Nationwide Plan Review that assessed the status of catastrophic planning for States and 75 of the Nation’s largest urban areas. It showed that the current status of plans and planning is not adequate for the 21st century homeland security challenges. The report identified the need for a significant increase in collaboration, plan specificity, and resource management. The Nationwide Plan Review Report concluded that: • Planning products, processes, tools, and technologies should be developed to facilitate a common nationwide approach to catastrophic planning. • Critical tasks, target capabilities, and associated performance measures, such as those identified in the National Preparedness Guidelines should serve as the common reference system • Regional planning capabilities, processes, and resources should be strengthened in accordance with the National Preparedness Guidelines’ national priorities to expand regional collaboration and strengthen Planning and Citizen Preparedness Capabilities. The TCL includes a Planning Capability designed to establish and maintain a capacity at all levels to develop, update, and test preparedness plans. In addition, each capability contains both preparedness and performance tasks and measures that support the capability outcome and serve as a guide for preparedness planning. Further, Capabilities-Based Planning accounts for uncertainties, by developing capabilities suitable for a wide range of threats and hazards, when limited resources necessitate prioritization and choice among preparedness efforts. As entities at all levels of government, nongovernmental organizations, and the private sector review and enhance their plans, procedures, and protocols, the TCL provides a valuable reference to ensure that they have identified the tasks and resources and built the capabilities necessary to assure preparedness. The TCL can be used as a guide to identify roles and responsibilities and the need for mutual aid agreements to facilitate the sharing of capabilities across the region to provide all jurisdictions with access to needed capabilities. Strategy Development and Investment Justifications States and urban areas have developed Homeland Security Strategies that provide a blueprint for comprehensive, enterprise-wide planning for homeland security efforts. They also provide a strategic plan for the use of Federal, State, local, and private resources to prevent, protect against, respond to, and recover from terrorist threats or attacks, major disasters, and other emergencies. In the summer of 2005, States and urban areas updated their strategies to align their preparedness efforts to the National Preparedness Guidelines, the National Priorities established in the Guidelines, and the Target Capabilities. Beginning with FY2006 applications for the State and local Homeland Security Grant Program (HSGP), investment justifications must demonstrate a linkage to Target Capabilities as well as outline the anticipated impact, including how State and local capabilities will be enhanced. Guidance Grant guidance and application kits from DHS and other Federal agencies inform strategy development and investment justifications. Assessment of Preparedness The TCL provides a basis for assessing preparedness. The vision for the National Preparedness Guidelines is for a “Nation Prepared”. The National Planning Scenarios and the TCL provide a common perspective to conduct assessments to determine levels of readiness to perform the critical tasks and to identify and address any gaps or deficiencies. Assessment information should inform decisions at all levels. Policymakers need regular reports on the status of the capabilities for which they have responsibility to help them make better resource and Target Capabilities List investment decisions and to establish priorities. Emergency managers and planners require assessment information to help them address deficiencies, to identify alternative sources of capabilities (e.g., from mutual aid or contracts with the private sector), and to identify which capabilities should be tested through exercises. Assessment information is also needed by agencies or organizations that are expected to supplement or provide capabilities during an incident. Assessments also provide the provider agencies/organization with information required to set priorities, make investment decisions, and position capabilities or resources, if needed. Tools A Capabilities Assessment Pilot is being implemented by DHS to test and validate the effectiveness of the preparedness and performance measures and metrics in the TCL as a means of measuring preparedness. The pilot assessment consists of three stages: self assessment, on-site validation, and post assessment report and improvement. It looks at preparedness from a regional perspective, with a focus on regional planning, coordination, and sharing of capabilities. The National Preparedness System, described under planning, is being designed as a comprehensive planning and assessment tool that can be used assess capabilities across all levels of government. It will enable users to conduct a self assessment based on the TCL that takes into account validation information from exercises, on-site assessment validations, peer reviews, and monitoring. Focus Training on Ability to Perform Critical Tasks Training programs should be reviewed and modified as appropriate to ensure that they prepare participants to perform the critical tasks defined by the TCL to the proficiency level required to achieve the capability outcomes. States should develop Multi-year Training and Exercise Plans to build and assess capabilities. Each State should use a combination of information from capabilities assessments that identify gaps, the State Strategy that provides a plan to increase preparedness, and form improvement plans from completed exercises to develop the Multi-year Training and Exercise Plan. The plans should map out the training courses and exercises that will be conducted over the next 2-3 years. Subsequent training should focus on building the knowledge, skills, and abilities to perform the critical tasks and should be completed prior to being tested through exercises. Test Capabilities through Exercises Exercises provide a means to test and validate preparedness. The Homeland Security Exercise and Evaluation Program (HSEEP) is designed to encourage a common exercise design, performance, and evaluation methodology across all levels of government and the private sector. HSEEP exercises are designed and evaluated to demonstrate capability levels through the assessment of performance of critical tasks and achievement of outcomes, as defined by the TCL. The exercise design process includes the following steps: • Identify priority capabilities for improvement through exercises • Select corresponding tasks for assessment • Define exercise objectives based on capabilities, tasks, and jurisdiction needs • Create a jurisdiction-specific scenario formulated specifically to meet exercise objectives Target Capabilities List HSEEP includes common evaluation tools based on the critical tasks and measures from the TCL. The purpose of the evaluation approach is to encourage consistency and quality of data collection and information, support qualitative and quantitative exercise analysis and assessment, and increase usability. HSEEP also defines a standardized after action report (AAR) and improvement plan format. The AAR provides the assessment of performance of the tasks related to priority capabilities. The improvement plan is developed by the exercising entities and outlines specific actions and a timeline to enhance the capabilities. Tools and Guidance The HSEEP policy and doctrine is organized into several volumes: • HSEEP Volume I: HSEEP Overview and Exercise Program Management provides guidance for building and maintaining an effective exercise program and summarizes the planning and evaluation process described in further detail in Volumes II through V. • HSEEP Volume II: Exercise Planning and Conduct helps planners outline a standardized foundation, design, development, and conduct process adaptable to any type of exercise. • HSEEP Volume III: Exercise Evaluation and Improvement Planning offers proven methodology for evaluating and documenting exercises and implementing an improvement plan. • HSEEP Volume IV: Sample Exercise Documents and Formats provides sample exercise materials referenced in HSEEP Volumes I, II, III, and V. • HSEEP Volume V: Prevention Exercises contains guidance consistent with the HSEEP model to assist jurisdictions in designing and evaluating exercises that test pre-incident capabilities such as intelligence analysis and information sharing. Going Forward – Refinements to the TCL The TCL represents a major step forward in defining preparedness and capabilities. It was developed through the hard work of many hundreds of stakeholders from all disciplines, levels of government, nongovernmental organizations, and the private sector. They were asked to set aside their jurisdictional or agency perspective and define capabilities for the Nation and the role that every jurisdiction, State, Federal agency, organization, and citizen will play in a shared response. Where standards and guidelines exist, they were used, but standards and guidelines do not exist for many of the capabilities. Therefore, much of the information in the TCL is based on the best judgment and expertise of those who were involved in the working groups and those who reviewed and commented on it. The TCL is a living document. It was designed to be enhanced and refined over time as we gain lessons from its application or real world experience. The best way to do that is to start using it and to identify and document where it needs to be changed. For example, are there critical tasks that need to be added or refined? Are the measures and metrics the best measures of performance? Do they need to be modified for different sized jurisdictions or for different scenarios? Are the capability resources adequate to perform the critical tasks to the appropriate level of performance? Will the targets and assignment of responsibility for building and maintaining the capabilities provide the network of capabilities that will be available when and where they are needed? If you see something in the TCL that does not work for your jurisdiction or agency, help to change it. Get involved. Submit information on what does not work with a recommendation on how the TCL should be changed or enhanced. Recommendations for changes to the TCL are welcome and will be reviewed and integrated into future versions of the TCL, as appropriate. A change request form is posted on Target Capabilities List www.LLIS.gov. A Nation Prepared is a goal that can only be achieved over time and with the involvement of those who work every day to secure the homeland from all threats, natural and man-made. Target Capabilities List This page intentionally left blank Target Capabilities List Common Target Capabilities Target Capabilities List This page intentionally left blank Target Capabilities List PLANNING Capability Definition Planning is the mechanism through which Federal, State, local and tribal governments, non-governmental organizations (NGOs), and the private sector develop, validate, and maintain plans, policies, and procedures describing how they will prioritize, coordinate, manage, and support personnel, information, equipment, and resources to prevent, protect and mitigate against, respond to, and recover from Catastrophic events. Preparedness plans are drafted by a litany of organizations, agencies, and/or departments at all levels of government and within the private sector. Preparedness plans are not limited to those plans drafted by emergency management planners. The planning capability sets forth many of the activities and tasks undertaken by an Emergency Management planner when drafting (or updating) emergency management (preparedness) plans. Unlike the other target capabilities, the attributes of planning are difficult to quantify, as individual planners may have considerably varied education and experience and still produce plans that lead to the successful implementation of a target capability. The focus of the Planning Capability is on successful achievement of a plan’s concept of operations using target capabilities and not the ability to plan as an end unto itself. Plans should be updated following major incidents and exercises to include lessons learned. The plans should form the basis of training and should be exercised periodically to ensure that responders are familiar with the plan and able to execute their assigned role. Thus, it is essential that plans reflect the preparedness cycle of plan, train, exercise, and incorporation of after action reviews and lessons learned. Outcome Plans incorporate an accurate threat analysis and risk assessment and ensure that capabilities required to prevent, protect against, respond to, and recover from all-hazards events are available when and where they are needed. Plans are vertically and horizontally integrated with appropriate departments, agencies, and jurisdictions. Where appropriate, emergency plans incorporate a mechanism for requesting State and Federal assistance and include a clearly delineated process for seeking and requesting assistance from appropriate agency(ies). Relationship to National Response Plan Emergency Support Function (ESF)/Annex Planning supports all Emergency Support Functions (ESFs) and Annexes (support and incident) at the Federal, State, local, territorial, and tribal levels. Preparedness Tasks and Measures/Metrics Activity: Conduct Strategic Planning Definition: The art and science of developing and employing instruments of national and State/territorial power (information, technology, economic, intelligence, and military) in a synchronized and integrated fashion to achieve the objectives of the National Strategy for Homeland Security, the National Preparedness Guidelines, the NRP, and supporting State/territorial and local strategic direction and guidance. Strategic planning uses gap analysis to develop programmatic priorities that address the mission requirements, goals, objectives, milestones, and resources to ensure interoperable and integrated synchronization throughout all Target Capabilities List 21 COMMON MISSION: PLANNING COMMON MISSION: PLANNING COMMON MISSION: PLANNING levels of government and nongovernmental organizations for all hazards, incident-related prevent, protect, respond, and recover activities. Critical Tasks ComA 1.1.3 Develop regional and State/local Strategic Plans ComA 2.9.2 Identify, develop, and convene local preparedness planning organization(s) ComA 2.2 Define and implement the responsibilities for standardized emergency management system planning ComA 2.2.2 Coordinate and integrate all response and recovery agencies/organizations in the planning process ComA 2.2.3 Coordinate and integrate nongovernmental organizations and the private sector entities into the emergency management planning and decision-making processes ComA 1.3.4 Conduct gap analysis to identify training, and exercise needs and to facilitate investment and personnel decisions ComA 1 Develop scalable strategic plans, based on normal response plans, to prevent, protect against, respond to, and recover from natural and man-made disasters, as well as acts of terrorism ComA 1.2 Establish the National Incident Management System ComA 1.3 Establish and maintain a national preparedness assessment and reporting system ComA 1.3.2 Develop a preparedness planning and review cycle that encompasses planning, training, exercising, evaluation, and the incorporation of after action reviews (AAR) and lessons learned (LL) ComA 1.3.2.1 Track implementation of after action reviews and lessons learned for improvement and corrective actions that enhance exercises and inform subsequent corrective training efforts Preparedness Measures Metrics Regional and State/local strategic plans include, but are not limited to, the national mission areas of prevent, protect against, respond to, and recover from man-made and natural disasters and acts of terrorism Yes/No The strategic plan defines the vision, mission, goals, and objectives of the jurisdiction Yes/No Strategic plan addresses protection against, response to, and recovery from natural and man- made disasters as well as acts of terrorism Yes/No Planners are trained and equipped Yes/No Frequency with which plans are reviewed and updated in accordance with Federal, State, and local regulations and policies Every 12 months Improvement actions from after action reports (AARs) and lessons learned are implemented according to the scale of disaster(s) and/or through defined Federal mandate for schedule for completion Yes/No Activity: Develop/Revise Operational Plans Definition: Use priorities identified in the Strategic Planning process, as well as any recommendations/lessons learned, to guide the development of appropriate operational plans, such as emergency operations plans (EOPs), comprehensive emergency management plans 22 Target Capabilities List (CEMPs), recovery plans, hazard identification risk analysis (HIRA) plans, mitigation plans, and continuity of operations (COOP) plans. Operational plans identify the organizations and resources required to execute the four functional mission areas of prevent, prepare, respond, and recover. Critical Tasks ComA 2.1 Conduct a hazard analysis to identify threats, vulnerabilities, and consequences to be addressed by emergency management and/or preparedness plans ComA 2.1.3 Develop and maintain Comprehensive Emergency Management Plans (CEMPs) or similar emergency management/preparedness plans ComA 2.4 Develop emergency operations/response plans that describe how personnel, equipment, and other governmental, nongovernmental, and private resources will support and sustain incident management requirements ComA 2.5 Develop and maintain Emergency Operations Plan (EOP) annexes for hazard specific response to include natural and man-made disasters as well as acts of terrorism, and other hazards ComA 2.3 Develop and execute mutual aid assistance agreements and compacts ComA 2.7 Develop National, State/Local, and Non-Governmental Continuity Plans. All-level Continuity Plans will describe how personnel, equipment, and other governmental, non-governmental, and private resources will support the sustainment and/or reestablishment of essential functions. Plans shall identify the critical and time sensitive applications, processes, and functions, to be recovered and continued, following an emergency or disaster, as well as the personnel and procedures necessary to do so, such as business impact analysis, business continuity management, vital records preservation and alternate operating facilities ComA 2.3.3 Develop regional coordination plans or activities that involve all Federal, State, local, territorial, tribal, NGO, and private stakeholders Preparedness Measures Metric Continuity of Operation (COOP) plans describe how personnel, equipment, and other resources support sustained response/survivability and recovery for all sectors Yes/No Continuity of Government (COG) plans describe the continued functioning of constitutional government under all circumstances Yes/No Emergency response plans are consistent with the National Response Plan (NRP) and National Incident Management System (NIMS) Yes/No Mutual aid assistance agreements are in place with contiguous jurisdictions Yes/No Preparedness plans are consistent with NRP and NIMS Yes/No Aid assistance agreements or contracts with private organizations are in place Yes/No Pre-identified mechanisms to request assistance from counties, the State, or the Federal Government are in place Yes/No Emergency response plans address substantial loss of public safety response capabilities during catastrophic events (to include special needs populations and people with disabilities) Yes/No Frequency with which plans are reviewed and updated to ensure compliance with governmental regulations and policies (Review requirements are intended to apply only when no pre-existing review cycle has been established in Federal, State, or local requirements) Every 12 months Target Capabilities List 23 COMMON MISSION: PLANNING COMMON MISSION: PLANNING COMMON MISSION: PLANNING Activity: Validate Plans Definition: Evaluate operational plans through exercising, training, and real world events, and use after action reports (AARs) to support validation and revision of operational and strategic plans Critical Tasks ComA 3.6 Ensure that trained, exercised, and equipped personnel are available to execute all planning requirements as determined by applicable standards of proficiency ComA 3.1 Develop exercises/drills of sufficient intensity to challenge management and operations and to test the knowledge, skills, and abilities of individuals and organizations ComA 3.2 Develop integrated national, regional, and State/local level exercises/drills ComA 3.3 Develop regional and State/local level exercises of sufficient intensity to challenge management and operations and test knowledge, skill and abilities of individuals and organizations ComA 3.4 Develop lessons learned reports and procedures based on real world events and exercises ComA 3.5 Develop, review, evaluate and update emergency management and/or preparedness plans based on lessons learned and/or AARs to address problems/gaps and needed corrective actions Preparedness Measures Metric Plans are exercised and/or evaluated according to Homeland Security Exercise and Evaluation Program (HSEEP) requirements Yes/No Record of deficiencies is generated from plan review process within consensual or mandated predetermined days for review Yes/No Time in which improvement plans to address deficiencies are generated Within 30 days from development of record of deficiencies Frequency with which improvement plan actions are monitored for implementation Every 3 months Linked Capabilities Linked Capability Relationship All Prevent Capabilities Planning provides all Prevent capabilities with a consistent foundation upon which the other capability-specific plans, procedures, training, and exercise programs will be developed All Protect Capabilities Planning provides all Protect capabilities with a consistent foundation upon which the other capability-specific plans, procedures, training, and exercise programs will be developed All Respond Capabilities Planning provides all Respond capabilities with a consistent foundation upon which the other capability-specific plans, procedures, training, and exercise programs will be developed All Recover Capabilities Planning provides all Recover capabilities with a consistent foundation upon which the other capability-specific plans, procedures, training, and exercise programs will be developed 24 Target Capabilities List Capability Activity Process Flow Validate Plans Develop/Revise Operational Plans Conduct Strategic Planning Completed strategy with priorities (training, equipment, operational planning) Completed plan for that cycle Input lessons learned and improvement plan Provide inputs into the planning process (lessons learned/gap analysis/improvement plan) Provide planning framework All Prevent Capabilities Linked Capabilities Planning Capability Relationship All Protect Capabilities All Respond Capabilities All Recover Capabilities Provide planning framework Provide planning framework Provide planning framework Target Capabilities List 25 COMMON MISSION: PLANNING COMMON MISSION: PLANNING COMMON MISSION: PLANNING Resource Element Description Resource Elements Components and Description Planners Planners dedicated to developing and maintaining homeland security, emergency management, and/or all-hazards plans. Setting qualifications for planner should be established by the jurisdiction. Computer and planning software tools Includes computers with sufficient software tools to accomplish the specified tasks, such as geographic information system tools, decision modeling programs, relational databases, hazard modeling programs (i.e., computer-aided management of emergency operations [CAMEO], multihazard loss estimation methodology [HAZUS]) and consequence modeling tools. Required training program Training may include but is not limited to courses offered through Federal, State, local and private organizations, such as Federal Emergency Management Agency (FEMA), Emergency Management Institute (EMI), Office for Domestic Preparedness (ODP) Training Consortium, State training academies, and colleges and universities. Completion of one or more of the above may meet minimum requirements. Planning Assumptions . This capability applies to a wide range of incidents and emergencies including terrorist attacks, other manmade disasters, and natural disasters. It is intended to address deliberate planning coordination. . A catastrophic incident will present a dynamic response and recovery environment requiring that response plans and strategies be flexible enough to effectively address emerging or transforming needs and requirements. . A “dedicated planner” is one full-time equivalent (FTE) person whose work is focused exclusively (“dedicated”) on the development and maintenance of homeland security, emergency management, and/or all-hazards plans. . The human or physical resources identified in the response strategy may not be available for 24-48 hours of a catastrophic event due to jurisdiction-specific considerations of resource management in times of crisis(es) (e.g., resource needs at their home institutions, family requirements, overextension, limits established in MOAs, etc.). . A catastrophic incident may have significant international dimensions. These include potential impacts on the health and welfare of border community populations, cross-border trade, transit, law enforcement coordination, and other areas. . Planning occurs with respect to the incident (strategic, operational, and tactical/incident) and according to the appropriate jurisdictional level (Federal, State, local, tribal). . All operational personnel are trained on all appropriate plans and their role within those plans. . Plans are validated through review, testing and exercises. . Plans are written in accordance with NIMS. . Planners have knowledge, experience, and/or training in subject areas. . The planning process includes hazard analysis and risk assessment. . The UTL is a menu of tasks that can be used in developing plans-to-task development. 26 Target Capabilities List Target Capability Preparedness Level Resource Element Unit Type of Element Number of Units Unit Measure (number per x) Lead Capability Activity supported by Element Planner Personnel 1 Per every 250k population in each State State All Activities Planner Personnel 2 Per territory State All Activities Planner Personnel 2 Per UASI city and Washington, DC Local All Activities Required training program Training 1 Per planner Federal/State/ Local All Activities Computer and planning software tools Equipment 1 Per planner Federal/State/ Local All Activities References 1. Homeland Security Presidential Directive/HSPD–8: National Preparedness. December 2003. http://www.whitehouse.gov/news/releases/2003/12/20031217-6.html. 2. National Response Plan. U.S. Department of Homeland Security. December 2004. 3. Biological Incident Annex. In the National Response Plan. U.S. Department of Homeland Security. December 2004. 4. National Incident Management System. U.S. Department of Homeland Security. March 2004. http://www.dhs.gov/xlibrary/assets/NIMS-90-web.pdf. 5. State and Local Guide 101: Guide for All-Hazard Operations Planning. Federal Emergency Management Agency. April 2001. http://www.fema.gov/plan/gaheop.shtm 6. NFPA 1600—Standard on Disaster/Emergency Management and Business Continuity Programs. National Fire Protection Association. 2004. http://www.nfpa.org/PDF/nfpa1600.pdf?src=nfpa. 7. Resource Definitions: 120 Resources. National Mutual Aid and Resource Management Initiative, U.S. Department of Homeland Security, Federal Emergency Management Agency. September 2004. http://www.nimsonline.com/docs/Resource_Typing_Definitions_II.pdf. 8. Emergency Management Accreditation Program (EMAP) Standards. September 2003. http://www.emaponline.org/index.cfm 9. Hazardous Material Emergency Planning Guide. National Response Team. NRT–1. Updated 2001. http://www.nrt.org/Production/NRT/NRTWeb.nsf/AllAttachmentsByTitle/SA-27NRT1Update/$File/NRT-1 update.pdf?OpenElement. 10. Federal Executive Branch Continuity of Operations (FPC–65). June 2004. http://www.fema.gov/txt/government/coop/fpc65_0604.txt. 11. Enduring Constitutional Government and Continuity of Government Operations (PDD–67). October 1998. http://www.emergency-management.net/laws_pdd67.htm Target Capabilities List 27 COMMON MISSION: PLANNING This page intentionally left blank Target Capabilities List COMMUNICATIONS Capability Definition Communications is the fundamental capability within disciplines and jurisdictions that practitioners need to perform the most routine and basic elements of their job functions. Agencies must be operable, meaning they must have sufficient wireless communications to meet their everyday internal and emergency communication requirements before they place value on being interoperable, i.e., able to work with other agencies. Communications interoperability is the ability of public safety agencies (police, fire, EMS) and service agencies (public works, transportation, hospitals, etc.) to talk within and across agencies and jurisdictions via radio and associated communications systems, exchanging voice, data and/or video with one another on demand, in real time, when needed, and when authorized. It is essential that public safety has the intra- agency operability it needs, and that it builds its systems toward interoperability. Outcome A continuous flow of critical information is maintained as needed among multi-jurisdictional and multidisciplinary emergency responders, command posts, agencies, and the governmental officials for the duration of the emergency response operation in compliance with National Incident Management System (NIMS). In order to accomplish that, the jurisdiction has a continuity of operations plan for public safety communications including the consideration of critical components, networks, support systems, personnel, and an appropriate level of redundant communications systems in the event of an emergency. Relationship to National Response Plan Emergency Support Function (ESF)/Annex This capability supports the following Emergency Support Functions (ESFs): Primary: ESF#2: Communications Communications supports all ESFs at the Federal, State, local, and tribal levels. Preparedness Tasks and Measures/Metrics Activity: Develop and Maintain Plans, Procedures, Programs, and Systems Critical Tasks ComC 1 Develop communication plans, policies, procedures, and systems that support required communications with all Federal, regional, State, local, and tribal governments and agencies as well as voluntary agencies ComC 1.2.1 Develop procedures for the exchange of voice and data with Federal, regional, State, local, and tribal agencies, as well as voluntary agencies ComC 1.6 Develop supplemental and back-up communications and information technology plans, procedures, and systems ComC 1.6.2 Identify emergency communications and data requirements for each stakeholder ComC 1.1.1 Develop a continuous improvement plan that enriches interoperable communications to provide advanced customer service, reliability, and operational effectiveness Target Capabilities List 29 COMMON MISSION: COMMUNICATIONS COMMON MISSION: COMMUNICATIONS COMMON MISSION: COMMUNICATIONS ComC 1.6.5 Complete an assessment of standard communication capabilities for the Public Safety Answering Points (PSAPs) and Public Safety Communication Centers to ensure an appropriate Continuity of Operations Plan (COOP) is in place for public safety and service agencies’ communications ComC 1.7.3 Develop plans to provide telecommunication and information technology support to Federal, regional, State, tribal and local officials and the private sector ComC 1.4 Design reliable, redundant, and robust communications systems for daily operations capable of quickly reconstituting normal operations in the event of disruption or destruction ComC 1.7.2 Coordinate procurement and placement of technology communication systems based on a gap analysis of requirements versus existing capabilities ComC 1.5 Develop information systems protection procedures ComC 1.5.1 Develop and maintain automated credential verification systems to ensure proper credentialing for controlled access areas ComC 1.3 Establish and maintain information systems across response entities ComC 1.3.1 Develop interoperable telecommunication and Information Technology systems across governmental departments and agencies Preparedness Measures Metrics Operable communications systems that are supported by redundancy and diversity, that provide service across jurisdictions, and that meet everyday internal agency requirements, are in place Yes/No Communication systems support on-demand, real-time interoperable voice and data communication Yes/No Plans and procedures are in place to ensure appropriate levels of planning and building public safety communication systems prior to an incident Yes/No Plans and procedures are in place to ensure appropriate levels of upgrading/enhancing public safety communication systems and equipment prior to an incident Yes/No Plans and procedures are in place to ensure appropriate levels of replacing public safety communication systems and equipment prior to an incident Yes/No Plans and procedures are in place to ensure appropriate levels of maintaining public safety communication systems and equipment prior to an incident Yes/No Plans and procedures are in place to ensure appropriate levels of managing public safety communication projects prior to an incident Yes/No Assessment of standard communication capabilities for Public Safety Answering Points (PSAP)/Public Safety Communication Centers and Emergency Operations Centers (EOC) to ensure appropriate Continuity of Operations Plan (COOP) for public safety and service agencies’ communications has been completed Yes/No Communications Continuity of Operations Plan (COOP) that outlines back-up systems available at State and local levels, including protocols for use of systems, is in place Yes/No Communications standard operating procedures (SOPs) that conform to NIMS are in place and are used in routine multiple jurisdictional responses Yes/No A multi-agency and multi-jurisdictional governance structure to improve communications interoperability planning and coordination has been established Yes/No Formal interoperable communications agreements have been established through the governance structure Yes/No 30 Target Capabilities List Interoperability communications plans have been developed through governance structure and include all relevant agencies for data and voice communications. Yes/No Interoperability policies and procedures to allow information sharing between levels of government and Federal installations involved in incident, as necessary and as possible, are in place Yes/No Redundant and diverse interoperable communication systems are available Yes/No Plans to coordinate the procurement of communications assets to ensure interoperability are in place Yes/No Plans to acquire and influence sustained interoperability and systems maintenance funding have been developed Yes/No Plans include a procedure to return communications back to normal operations after each significant incident Yes/No Activity: Develop and Maintain Training and Exercise Programs Critical Tasks ComC 2.1.1 Develop and implement awareness training programs for response communications ComC 2.1.2 Develop exercises/drills of sufficient intensity to challenge management and operations and to test the knowledge, skills, and abilities of individuals and organizations for response communications ComC 2.2.1 Develop and conduct training to improve all-hazard incident management capability for response communications ComC 2.2.2 Conduct an after action review to determine strengths and shortfalls and develop a corrective plan accordingly for response communications Preparedness Measures Metric Communications-specific tabletop exercises are conducted with multi-jurisdictional and multi-agency operations, technical, and dispatch participants Yes/No Communications-specific operational exercises with multi-jurisdictional and multi-agency participants are conducted Yes/No Operational exercises include an observer specifically to monitor the communications piece to ensure there is adequate information to provide in the After Action Report (AAR) to correct any communication problems that occurred for the future Yes/No Frequency with which plans, procedures, and use of all operable communications systems are tested and/or exercised in large and complex exercises Every 12 months All personnel including non traditional stakeholders have been trained to operate communications systems according to their incident role Yes/No Frequency with plans, procedures, and use of all interoperable communications equipment are reviewed tested and/or exercised Every 12 months Interoperability systems are used in pertinent everyday activities and emergency incidents to ensure familiarity with system and cooperation Yes/No Target Capabilities List 31 COMMON MISSION: COMMUNICATIONS COMMON MISSION: COMMUNICATIONS COMMON MISSION: COMMUNICATIONS Performance Tasks and Measures/Metrics Activity: Alert and Dispatch Definition: In response to an alert, make notification and provide communications management until the Incident Command (IC), Emergency Operations Center (EOC), and Emergency Management Agency (EMA) are stood up Critical Tasks ComC 4.2 Implement incident communications interoperability plans and protocols ComC 4.2.1 Communicate incident response information ComC 4.2.1.1 Use established common response communications language (i.e., plain English) to ensure information dissemination is timely, clear, acknowledged, and understood by all receivers ComC 3.4 Request external resources using EMAC and other mutual aid/assistance processes (inter- and intra-State) ComC 3.5 Initiate documentation process of required forms and follow-up notations ComC 4.2.3 Report and document the incident by completing and submitting required forms, reports, documentation, and follow-up notations on immediate response communications ComC 4.1.1 Ensure that all critical communications networks are functioning ComC 4.3 Implement procedures to protect information facility and communication network systems Performance Measures Metric Time in which immediate dispatch information is provided to primary first responders during regular operations Within 60 seconds from call classification by dispatch Time in which Emergency Operations Centers (EOCs), first responders, and special resources acknowledge receipt and understanding of radio communications Within 30 seconds from the end of transmission Percent of communications sent and received that are completely understood without ambiguity by the sender or the intended receiver 90% Frequency with which communications back-up is provided (per COOP and/or incident plan process) during emergencies when the conventional mode of communications fail or become overloaded to assure continued service amidst incident Continuous Time in which alternate communications and/or dispatch center are staffed in the event of a catastrophic loss of the primary site Within 1 hour from the loss of primary site COOP is activated based upon nature and disruption of new failure Yes/No Recovery time per classification of failure is realistic and alternative recovery processes are in place for incident support Yes/No Percent (above normal peak traffic) of technical surge and back-up capabilities within communications and/or dispatch centers to process incoming calls effectively with the loss of any one communication or dispatch centers (assumes surge staffing will be available in 30 minutes) 200% COOP allows for maximum response per incident type and duration Yes/No 32 Target Capabilities List Activity: Provide Incident Command/First Responder/First Receiver/Interoperable Communications Definition: In response to notification of an incident, go to the scene to provide and receive interoperable voice data and video communications Critical Tasks ComC 4.2 Implement incident communications interoperability plans and protocols ComC 4.2.1 Communicate incident response information ComC 4.2.2 Coordinate incident site communications to be consistent with the National Incident Management System (NIMS) framework ComC 4.2.1.1 Use established common response communications language (i.e., plain English) to ensure information dissemination is timely, clear, acknowledged, and understood by all receivers ComC 4.2.3 Report and document the incident by completing and submitting required forms, reports, documentation, and follow-up notations on immediate response communications ComC 4.1.1 Ensure that all critical communications networks are functioning ComC 4.1 Establish and maintain response communications systems on-site ComC 4.3 Implement procedures to protect information facility and communication network systems Performance Measures Metric Frequency with which local first responders are provided with tactical communications with approved local delivery process specified to incident Continuous Frequency with which tactical communications are provided between local disciplines (i.e., law enforcement, fire, and EMS) and among local fire units operating in the disaster site with approved delivery process specific to incident Continuous Percent of communications sent and received that are completely understood without ambiguity by the sender or the intended receiver 90% Frequency with which communications back-up is provided during emergencies when the conventional mode of communications fail or become overloaded Continuous COOP and/or Incident Action Plan process assures continued service amidst incident Yes/No Time in which tactical communications are provided for regional first responders responding to the disaster site is within parameters of interoperability plans, as approved by governance structure/body Yes/No Percent of mobile communications coverage provided in rural areas affected by disaster 95% Percent of street-level hand-held communications coverage provided in urban/suburban areas affected by disaster 95% Percent of in-building hand-held communications coverage provided in central areas affected by disaster 95% Tactical communications are provided for large regional “task forces” providing recovery assistance to disasters and other emergencies within parameters of interoperability plan, as approved by the governance structure/body Yes/No Target Capabilities List 33 COMMON MISSION: COMMUNICATIONS COMMON MISSION: COMMUNICATIONS COMMON MISSION: COMMUNICATIONS Activity: Provide Emergency Operations Center Communications Support Definition: Upon notification, initiate interoperable system operations, in addition to maintaining, managing, and assuring protection of the interoperable communications systems until the EOC is ordered deactivated Critical Tasks ComC 4.2 Implement incident communications interoperability plans and protocols ComC 4.2.1 Communicate incident response information ComC 5.4.7 Inform staff and management of interoperable communications requirements ComC 5.4.5 Provide direction, information and/or support as appropriate to incident command (IC) or unified command (UC) and/or joint field office(s) ComC 5.3.1.2 Coordinate and provide telecommunications and information technology support to Federal, regional, State, tribal, and local officials and the private sector(s) ComC 5.2 Establish and ensure connectivity with EOC/MACC ComC 5.4 Coordinate communications policy and procedure across response entities ComC 4.1 Establish and maintain response communications systems on-site ComC 5.3 Establish and maintain interoperable information systems network within the EOC ComC 5.3.1.1 Coordinate placement of latest technology that is available to agencies participating in response ComC 5.3.3 Assure redundant communications circuits/channels are available for use ComC 4.1.1 Ensure that all critical communications networks are functioning ComC 4.2.1.1 Use established common response communications language (i.e., plain English) to ensure information dissemination is timely, clear, acknowledged, and understood by all receivers ComC 5.5 Maintain a common operating picture (COP) for real time sharing of information with all the participating entities to ensure all responder agencies are working from the same information ComC 4.2.3 Report and document the incident by completing and submitting required forms, reports, documentation, and follow-up notations on immediate response communications ComC 4.3 Implement procedures to protect information facility and communication network systems ComC 5.3.1.3 Coordinate and open State communications support/channels to local and tribal government and the private-sector to assist in awareness, prevention, response, and recovery communications activities Performance Measures Metric Percent of communications sent and received that are completely understood without ambiguity by the sender or the intended receiver 90% Frequency with which communications back-up is provided during emergencies when the conventional mode of communications fail or become overloaded Continuous COOP and/or Incident Action Plan process to assure continued service amidst incident is in place Yes/No Key officials are notified in the event of an incident using relevant tools and technologies (e.g., call down lists, SMS messages, etc.) Yes/No 34 Target Capabilities List Activity: Provide Federal Facilities, Task Force, and Recovery Assistance Interoperable Communications Definition: In response to an alert, make notification and provide communications management until the Incident Command and EOC are stood-up Critical Tasks ComC 4.2 Implement incident communications interoperability plans and protocols ComC 4.2.1.1 Use established common response communications language (i.e., plain English) to ensure information dissemination is timely, clear, acknowledged, and understood by all receivers ComC 4.2.3 Report and document the incident by completing and submitting required forms, reports, documentation, and follow-up notations on immediate response communications Performance Measures Metric Tactical communications are provided for large regional “task forces” providing recovery assistance to disasters and other emergencies within the parameters of interoperability plans, as approved by governance structure/body Yes/No Frequency with which communications back-up is provided during emergencies when the conventional modes of communication fail or become overloaded Continuous COOP and/or Incident Action Plan process assures continued service amidst incident Yes/No Percent of communications sent and received that are completely understood without ambiguity by the sender or the intended receiver 90% Communications policies and procedures are followed Yes/No Activity: Return to Normal Operations Definition: Initiate deactivation procedures for the interoperable communications system and return the system to a ready state Critical Tasks ComC 4.2.1.1 Use established common response communications language (i.e., plain English) to ensure information dissemination is timely, clear, acknowledged, and understood by all receivers ComC 4.2.3 Report and document the incident by completing and submitting required forms, reports, documentation, and follow-up notations on immediate response communications ComC 7.1.1 Develop communications section of the demobilization plan ComC 7.1 Initiate interoperable deactivation procedures ComC 7.1.2 Monitor communications demobilization Performance Measures Metric Percent of communications sent and received that are completely understood without ambiguity by the sender or the intended receiver 90% Target Capabilities List 35 COMMON MISSION: COMMUNICATIONS COMMON MISSION: COMMUNICATIONS COMMON MISSION: COMMUNICATIONS Linked Capabilities Linked Capability Relationship All Prevent Capabilities Communications provides all Prevent capabilities with operable and interoperable communications All Protect Capabilities Communications provides all Protect capabilities with operable and interoperable communications All Respond Capabilities Communications provides all Respond capabilities with operable and interoperable communication All Recover Capabilities Communications provides all Recover capabilities with operable and interoperable communications. 36 Target Capabilities List COMMON MISSION: COMMUNICATIONS Target Capabilities List 37 COMMON MISSION: COMMUNICATIONS COMMON MISSION: COMMUNICATIONS Resource Element Description Resource Elements Components and Description Interoperability Communications A plan for a designated area that includes governance, standard operating Plan procedures, technology, training and exercises, and usage. An Interoperability Communications Plan is created for each designated participant area prior to an incident Governance Group Organization of agencies and jurisdictions who have entered governance agreements (i.e., memorandum of understanding/memorandum of agreement [MOU/MOA]) to coordinate decision making across agencies and jurisdictions. Technology—System of Systems Operable communication systems for the disciplines and jurisdiction as defined by the local requirements that allows for mutual aid components to connect in when authorized and as necessary. System-of-systems consists of local, State, and Federal components that can be connected through common interface standards. Element includes the following processes: Needs assessment; Evaluate current capability; Develop requirements; Perform gap analysis; System alternatives (with costs and types); Phase-in implementation; Define spectrum needs; Define security/encryption needs; Develop future upgrade plan and budget process. Interoperable Communications Technical Assistance Program (ICTAP) Teams Technical assistance team that implements the ICTAP, a program designed to enhance interoperable communications among local, State, and Federal emergency responders and public safety officials, and is associated with the Department of Homeland Security Office of Grants and Training’s (G&T) Urban Area Security Initiative (UASI) grant program. Each team provides technical assistance in four phases: Phase 1: Define Technical Assistance Requirements; Phase 2: Define Enhancements Needed; Phase 3: Implementation; Phase 4: Continued services as needed until local support is in place Public Safety Answering Point (PSAP) and Public Safety Communications Center Continuity of Operations Plan Plan that provides ability to have redundant and back-up systems in place during an emergency Planning Assumptions . This capability reaches across all 15 National Planning Scenarios and within each capability. All major incidents require communication and interoperability to facilitate management of an incident. Therefore, the target level of interoperability is independent of a specific scenario. Interoperability is a support function for all other responder capabilities, so this mission-critical capability must be in place to ensure the personnel who are providing the other capabilities have access to the information they need to respond appropriately. . Interoperability is the communication between disciplines and jurisdictions that permits real time exchanges of information on demand, with whoever needs it, when properly authorized, in conformance with the Incident Command System. . Communications is the transmission of thoughts, messages, or information. The ability to communicate is critical to effective emergency response and is one of the most difficult tasks that must be performed during an incident or event. Effective communication during an emergency 38 Target Capabilities List requires a system that is both interoperable and redundant. The ability to transmit thoughts, messages, and information can be accomplished through a multitude of ways. In emergency response, the mechanisms that assist personnel in communications can vary, but are largely made up of wireless voice (radio), voice and data telephone (wireless and landline), wireless data, and internet voice/data. . Communications interoperability is the ability of multiple entities to intermingle meaningful transmission of thoughts, messages, or information while using similar or dissimilar communications systems. A redundant communications system is a duplication of communications systems that can be accessed by personnel for the purpose of responding to, and/or mitigating and recovering from an incident or event. . One of the major issues facing public safety and service agencies is the inability to communicate with one another when the need arises. Effective and efficient emergency response requires coordination, communication, and sharing of vital information among numerous public safety agencies. As the National Strategy for the Physical Protection of Critical Infrastructures and Key Assets observes, “most systems supporting emergency response personnel have been specifically developed and implemented with respect to the unique needs of each agency.” . Public Safety Answering Point (PSAP), Public Safety Communication Centers, and Emergency Operation Centers (EOCs) must be in place and competently operational with the resources, and operational integrity to perform during an incident. . Agencies must be “operable,” meaning they must have sufficient public safety and service agency communications capabilities to meet their everyday internal requirements before they place value on being “interoperable,” meaning being able to work with other disciplines and agencies. They need to improve those systems first but this improvement planning needs to include a vision for improved interoperability with other disciplines and agencies. At a time when more attention is being paid to interoperability among different disciplines and jurisdictions within the community, there still exists fundamental communication deficiencies within disciplines and jurisdictions as practitioners strive to perform the most routine and basic elements of their job functions. . These deficiencies result in daily communication challenges for those working on the front lines in public safety and service agencies. The Interoperability Continuum (see reference link below) outlines critical elements for the planning and implementation of successful public safety and service agencies’ communications and interoperability solutions. These elements include governance, standard operating procedures, technology, training and exercises, and usage of interoperable communications. To drive progress along the five elements of the continuum and improve interoperability, public safety and service agency practitioners should observe the following principles: . Gain leadership commitment from all public safety and services agencies. . Foster collaboration across all public safety and services agencies for planning and implementation. . Work with policy makers to gain leadership commitment and resource support for interoperability. . Plan and budget for ongoing updates to systems, procedures, and documentation. . Use interoperability solutions on a regular basis. . Interoperability is a support function for all other responder capabilities, so this mission critical capability must be in place to ensure the other capabilities have access to the information they need to respond. . Existing Continuity of Operations Plans (COOPs) for public safety and service agency communications systems are in place. COMMON MISSION: COMMUNICATIONS Target Capabilities List 39 COMMON MISSION: COMMUNICATIONS COMMON MISSION: COMMUNICATIONS . Individual agencies and jurisdictional systems must be operable and functioning before mutual aid can come in and connect to interoperate. . Spectrum management should be coordinated to allow adequate allocation across all disciplines and jurisdictions. . Critical infrastructure protective actions have been implemented to ensure communications systems remain operable. Planning Factors from an In-Depth Analysis of a Scenario with Significant Demand for the Capability Resource Organization Estimated Capacity Scenario Requirement Values Quantity of Resources Needed Interoperability Communications Plan One plan supports each designated participating area All appropriate planning has been done prior to an incident One per designated participant area Governance Group One governance group supports each participating area All appropriate interactions, decisions and agreements have been made prior to incident to ensure effective response at the incident One governance group per participating area as designated by local responder requirements Technology- System of Systems System that is appropriately connected to achieve interoperability when authorized and as necessary One operable communication system for each individual agency Interoperable Communications Technical Assistance Program (ICTAP) Teams Needed prior to incident to ensure appropriate planning and engineering support is in place during an incident 20 ICTAP teams for technical engineering and planning as requested by the participating area Approaches for Large-Scale Events Because interoperability refers to the coordination and communication of command level or other authorized staff at the operational level, all large-scale events and the 15 National Planning Scenarios require plans that provide for established interoperability infrastructure before the incident occurs. Planning should include the ability to reconstitute normal communications systems that have been saturated, disrupted, or destroyed during an event. 40 Target Capabilities List Target Capability Preparedness Level Resource Element Unit Type of Element Number of Units Unit Measure (number per x) Lead Capability Activity supported by Element Interoperability Communications Plan Plan 1 Per State/Territory State All Activities Interoperability Communications Plan Plan 1 Per intrastate Region Local (Intrastate region) All Activities Interoperability Communications Plan Plan 1 Per UASI city Local (City) All Activities Governance Group Organization and Leadership 1 Per State State All Activities Governance group Organization and Leadership 1 Per intrastate Region Local (Intrastate region) All Activities Technology— System of Systems Resource Organization 1 Nationally Federal/State/ Local All Activities References 1. Homeland Security Presidential Directive/HSPD–8: National Preparedness. December 2003. http://www.whitehouse.gov/news/releases/2003/12/20031217-6.html. 2. National Response Plan. U.S. Department of Homeland Security. December 2004. 3. National Incident Management System. U.S. Department of Homeland Security. March 2004. http://www.dhs.gov/xlibrary/assets/NIMS-90-web.pdf. 4. Emergency Management Accreditation Program (EMAP) Standards. September 2004. http://www.emaponline.org/index.cfm. 5. Federal Leadership Needed to Facilitate Interoperable Communications Between First Responders. U.S. Government Accountability Office. September 2004. http://www.mipt.org/pdf/gao041057t.pdf. 6. The State and Local Role in Domestic Defense. Policy Briefing. Cohen, John D., and Hurson, John A. Progressive Policy Institute. January 2002. http://www.ppionline.org/documents/local_home_d.pdf. 7. Resource Definitions: 120 Resources. National Mutual Aid and Resource Management Initiative, U.S. Department of Homeland Security, Federal Emergency Management Agency. September 2004. http://www.nimsonline.com/docs/Resource_Typing_Definitions_II.pdf. 8. National Association for Amateur Radio. http://www.arrl.org/ 9. NFPA 1221—Standard for the Installation, Maintenance and Use of Emergency Services Communications Systems. National Fire Protection Association. 2002 Edition. http://www.nfpa.org/aboutthecodes/AboutTheCodes.asp?DocNum=1221. 10. NFPA 1561—Standard on Emergency Services Incident Management Systems. National Fire Protection Association. 2005 Edition. http://www.nfpa.org/aboutthecodes/AboutTheCodes.asp?DocNum=1561. Target Capabilities List 41 COMMON MISSION: COMMUNICATIONS COMMON MISSION: COMMUNICATIONS 11. Plan for Accelerating the Development of National Voluntary Consensus Standards for Public Safety Interoperable Communications. Report to Congress in Response to House Report 108-796 to the Fiscal Year 2005 Department of Homeland Security Intelligence Reform Bill. March 2005. 12. Tactical Interoperable Communications Planning Guide. U.S. Department of Homeland Security, Office for Domestic Preparedness, Interoperable Communications Technical Assistance Program. April 2004. 13. Statement of Requirements for Public Safety Wireless Communications and Interoperability Version 1.0. U.S. Department of Homeland Security, Office for Interoperability and Compatibility, SAFECOM Program. March 10, 2004 http://www.safecomprogram.gov/NR/rdonlyres/3FFFBFBA-DC53-440E-B2EFABD391F13075/ 0/SAFECOM_Statement_of_Requirements_v1.pdf.. 14. Interoperability Continuum. U.S. Department of Homeland Security, Office for Interoperability and Compatibility, SAFECOM Program. April 2005. http://www.safecomprogram.gov/NR/rdonlyres/54F0C2DEFA70- 48DD-A56E-3A72A8F35066/0/ContinuumBrochure.pdf. 15. Operational Guide for the Interoperability Continuum: Lessons Learned from RapidCom. U.S. Department of Homeland Security, Office for Interoperability and Compatibility, SAFECOM Program. Summer 2005. 16. Recommended Federal Grants Guidance: Public Safety Communications & Interoperability Grants. U.S. Department of Homeland Security, Office for Interoperability and Compatibility, SAFECOM Program. November 2004. http://www.safecomprogram.gov/SAFECOM/library/grant/1017_recommendedfederal.htm. 17. Statewide Communications Interoperability Planning (SCIP) Methodology. U.S. Department of Homeland Security, Office for Interoperability and Compatibility, SAFECOM Program. http://www.safecomprogram.gov/SAFECOM/library/interoperabilitycasestudies/1223_statewidecommunication s.htm 18. Why Can’t We Talk? Working Together To Bridge the Communications Gap to Save Lives. National Task Force for Interoperability guide. National Institute of Justice. February 2003. http://www.ojp.usdoj.gov/nij/pubssum/ 204348.htm 19. Technical Assistance Catalog. See assistance related to the Interoperable Communications Technical Assistance Program (ICTAP): CBRNE Terrorism Prevention #103 (PREV-103), CBRNE Terrorism Response # 214 (RESP-214), and CBRNE Terrorism Recovery #304 (RECV-304). U.S. Department of Homeland Security, Homeland Security Preparedness Technical Assistance Program. http://www.ojp.usdoj.gov/odp/docs/ODP_TA_Catalog.pdf 42 Target Capabilities List RISK MANAGEMENT Capability Definition Risk Management is defined by the Government Accountability Office (GAO) as “A continuous process of managing—through a series of mitigating actions that permeate an entity’s activities—the likelihood of an adverse event and its negative impact.” Risk Management is founded in the capacity for all levels of government to identify and measure risk prior to an event, based on credible threats/hazards, vulnerabilities, and consequences, and to manage the exposure to that risk through the prioritization and implementation of risk-reduction strategies. The actions to perform Risk Management may well vary among government entities; however, the foundation of Risk Management is constant. Currently there are a variety of tools, processes, and offerings in practice and under development to serve the capability of Risk Management. As with the distribution of the National Infrastructure Protection Plan, the Department of Homeland Security has outlined core requirements for the management of risk, and will continue to serve this capability through additional technical assistance. As communities mature their Risk Management capability they are encouraged to look to DHS for continued guidance and updates to Threat information from the aforementioned Homeland Infrastructure Threat and Risk Analysis Center (HITRAC) office as well as guidance on the further development of a risk analysis methodology for critical asset protection. Outcome Federal, State, local, tribal and private sector entities identify and assess risks, prioritize and select appropriate protection, prevention, and mitigation solutions based on reduction of risk, monitor the outcomes of allocation decisions, and undertake corrective actions. Additionally, Risk Management is integrated as a planning construct for effective prioritization and oversight of all homeland security investments. Relationship to National Response Plan Emergency Support Function (ESF)/Annex This capability supports the following Emergency Support Functions (ESFs): ESF #1: Transportation ESF #3: Public Works and Engineering ESF #4: Firefighting ESF #5: Emergency Management ESF #6: Mass Care, Housing, and Human Services ESF #8: Public Health and Medical Services ESF #9: Search and Rescue (Land-Based) ESF #10: Oil and Hazardous Materials Response ESF #12: Energy ESF #13: Public Safety and Security ESF # 14: Long-Term Community Recovery and Mitigation COMMON MISSION: RISK MANAGEMENT Target Capabilities List 43 COMMON MISSION: RISK MANAGEMENT COMMON MISSION: RISK MANAGEMENT Preparedness Tasks and Measures/Metrics Activity: Develop Risk Framework Definition: Develop a framework for how risk assessments and risk analysis will serve the business process of managing “risks” and a process for stakeholder buy in. Establish a comprehensive stakeholder governing process to oversee an all-encompassing ongoing perspective of the risks posed onto the respective community. This body should include public administrators, the owners and operators of critical infrastructure and key assets within the given community, as well as key stakeholders and decision makers. Furthermore, the “framework” must consider the functional as well as spatial relationships of assets as they are often interrelated. Critical Tasks ComE 1.1 Ensure senior leadership communicates in writing the risk framework and intent to use risk analysis to all stakeholders ComE 1.2 Develop actionable risk management strategy with short, medium, and long-term objectives ComE 1.3 Develop risk analysis and risk management plans and procedures ComE 1.3.1 Develop standards and guidelines to guide risk assessment activities ComE 1.4 Develop and implement risk analysis training programs for state, local, and private entities ComE 1.4.1 Conduct training in modeling and the use of analytical tools ComE 1.4.2 Conduct risk management training for security, response, and recovery managers ComE 1.5 Develop and implement programs to assess changes in risk and effectiveness of risk management ComE 1.5.1 Develop system for collecting and sharing lessons learned regarding risk management Preparedness Measures Metric An actionable risk management strategy that includes short, medium, and long term objectives is in place Yes/No Risk analysis and risk management plans are in place Yes/No A strategy to mitigate current risk profile has been implemented Yes/No Schedule and capability for updating risk analysis and risk management plans is in place Yes/No State, local, and private entities have been trained to conduct risk analysis Yes/No Monitoring program to detect changes in risk is in place Yes/No Program to assess program/security measures implementation is in place Yes/No Activity: Assess Risks Definition: Assess potential targets within given system of governance as well as in relation to other systems. Identify functional as well as spatial relationships of assets and systems infrastructure and assets. This activity may be applied to assets (power generation), systems 44 Target Capabilities List (power supply grids), Sectors (power industry) and geographic areas (metropolitan areas). Risk management includes risks from both man made events and acts of nature. Critical Tasks ComE 2.1 Conduct criticality analysis (also known as screening) to identify potential targets ComE 2.2 Conduct vulnerability assessments to assess vulnerability of potential targets to identified threats ComE 2.3 Conduct consequence analysis of critical assets ComE 2.4 Conduct threat assessment of potential targets ComE 2.4.1 Conduct or obtain intelligence community threat/hazard analysis through State or local Interagency Working Groups (Joint Terrorism Task Force) to identify threats to potential targets ComE 2.4.2 Obtain intelligence reporting and the receipt of the threat data through the Department of Homeland Security’s Homeland Infrastructure Threat and Risk Analysis Center (HITRAC) ComE 2.5 Calculate risk to potential targets based on threat, vulnerability, and consequence ComE 2.6 Establish relative order of priorities for risk mitigation among risk portfolio ComE 2.7 Conduct response and recovery capabilities analysis to determine capability to respond to and recover from the occurrence of identified risks Performance Measures Metrics Criticality results were used to identify potential targets Yes/No Threat, vulnerability, and consequence results were used to assess risk for potential targets Yes/No A comprehensive risk assessment has been completed for potential targets identified Yes/No Risk assessment plans and procedures were implemented Yes/No Activity: Prioritize Risks Definition: Rate and/or rank criticality of potential targets to mitigate or transfer associated risk (if possible) as related to given target within a system of targets Critical Tasks ComE 3.1 Identify potential protection, prevention, and mitigation strategies for high-risk targets ComE 3.2 Prioritize identified strategies by risk reduction expected outcomes appreciating the various threat, vulnerabilities, and consequences that affect that community, system or asset Performance Measures Metrics Risk and risk reduction results were used to prioritize risk-reduction strategies Yes/No Integration of a schedule and strategy to implement risk reduction strategies, including milestones, funding strategies, and opportunity costs where possible has been completed Yes/No Integration of a schedule and strategy for reducing the greatest risk posed to the respective stakeholder has been completed Yes/No Target Capabilities List 45 COMMON MISSION: RISK MANAGEMENT COMMON MISSION: RISK MANAGEMENT COMMON MISSION: RISK MANAGEMENT Activity: Develop Business Case Definition: Develop cost-benefit/cost-effectiveness analysis for consideration of applicable prescribed measures required to mitigate associated risks to an asset or system of assets; consider opportunity costs associated to one measure versus another Critical Tasks ComE 4.1 Develop or select methodology for cost-benefit/cost-effectiveness analysis of risk reduction solutions ComE 4.2 Select risk reduction solutions for implementation based on risk reduction strategies ComE 4.3 Allocate resources to support risk reduction solutions Performance Measures Metrics Funding priorities reflect risk assessment and prioritization of risk-reduction strategies Yes/No Solutions were selected and resources allocated Yes/No Resources were allocated and measures established to shift to a new risk reduction target Yes/No Activity: Manage Risk Definition: Manage and monitor risk through continued assessment and analysis. Continuous consideration should be given to refresh the given threat, emerging vulnerabilities, and changing consequen