National Preparedness Goal. December 2005 D R A F T

Transcription

1 National Preparedness Goal December 2005 D R A F T

2 PUBLISHED BY DEPARTMENT OF HOMELAND SECURITY WASHINGTON, DC

3 National Preparedness Goal December 2005

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5 PREFACE The President directed the development of a National Preparedness Goal (or Goal) in Homeland Security Presidential Directive (HSPD)-8. The Goal reorients how the Federal government proposes to strengthen the preparedness of the United States to prevent, protect against, respond to, and recover from terrorist attacks, major disasters, and other emergencies. The Goal establishes a vision, capabilities, and priorities for national preparedness. It should be utilized in conjunction with the three capabilities-based planning tools referenced in the Goal: the National Planning Scenarios, Universal Task List (UTL), and Target Capabilities List (TCL). Collectively, they identify key requirements that can help guide domestic all-hazards preparedness efforts. They can be viewed online at or Development of the Goal and the planning tools involved extensive coordination with other Federal departments and agencies and consultation with State, local, and tribal governments, the private sector, and non-governmental organizations. These documents are not micro-level plans that tell officials how to execute their assigned missions. They do not impose a specific array of assets on each community, or a specific funding formula on each program. Rather, these documents identify core capabilities we want to achieve and sustain as a Nation and therefore, will transform how the Federal government proposes to invest homeland security funding in order to achieve the highest possible readiness. Release of this document marks the formal establishment of the National Preparedness Goal, based on approval by the President through the Homeland Security Council. At this point, we must incorporate the tremendous work that has been completed to date into annual cycles for budget development and program implementation at all levels of government. To facilitate that effort, the National Preparedness Guidance issued in April 2005 will be replaced by a Letter of Instruction included within this Goal that provides guidance to Federal departments and agencies; State, local, and tribal governments; and private sector entities and non-governmental organizations, as appropriate, on how to ensure that their preparedness efforts are consistent with and support the Goal. We must also establish a structure and process for the ongoing management and maintenance of the Goal and the planning tools. We will continue to work closely with our partners to implement and refine these documents in order to help ensure the preparedness of the Nation in a changing strategic environment. I look forward to working with you as we begin the process to assess and report on the status of the Nation s overall level of preparedness. One team, one Goal. Michael Chertoff Secretary Department of Homeland Security iii

6 PARTNERS In order to build consensus on the Goal and the planning tools, the Department of Homeland Security (DHS) sought the involvement of hundreds of homeland security partners from Federal, State, local, and tribal governments, the private sector; and non-governmental organizations. DHS provided opportunities for involvement through steering committees, working groups, national conferences, and broad national reviews of multiple drafts of the Goal and the planning tools. DHS coordinated with the following Federal departments and agencies in the development of the Goal and the planning tools: Department of Agriculture Department of Commerce Department of Defense Department of Health and Human Services Department of Housing and Urban Development Department of Energy Department of Interior Department of Justice Department of Labor Department of State Department of Transportation Department of Treasury Department of Veterans Affairs Central Intelligence Agency Environmental Protection Agency Federal Bureau of Investigation National Aeronautics and Space Administration Nuclear Regulatory Commission Office of Personnel Management Small Business Administration United States Postal Service Executive Office of the President Homeland Security Council Office of Management and Budget DHS consulted with State, local, and tribal governments, private sector entities, and nongovernmental organizations in the development of the Goal and the planning tools. Representatives included practitioners from the emergency management, fire service, homeland security, law enforcement, public health, and public works disciplines. DHS also provided executives in the States and Territories with briefings on the Goal and the overall HSPD-8 effort, and gathered their feedback regarding issues and recommendations. DHS used electronic mail distribution lists including more than 1,500 individual points-of-contact for State, local, and tribal governments, and national associations to disseminate drafts for broad national review. Many of these points-of-contact forwarded the drafts to their organizational components and membership, making the final count of reviewers difficult to estimate. The Goal was submitted to the President through the Homeland Security Council for formal review and approval. The Domestic Threat Reduction and Incident Management Policy Coordinating Committee and the Deputies Committee of the Homeland Security Council approved the Goal, to include the vision, capabilities, and priorities. iv

7 LETTER OF INSTRUCTION The National Preparedness Goal (or Goal) is formally established upon issuance and supersedes the Interim National Preparedness Goal issued on March 31, Requirements This section summarizes the tasking from the President to the Department of Homeland Security (DHS) and other Federal departments and agencies to support full implementation of the Goal. It also provides recommendations to State, local, and tribal governments; non-governmental organizations; the private sector; and citizens to support full implementation of the Goal. These recommendations will be supported by changes in requirements for receiving Federal preparedness assistance, annual Federal program guidance, and Federal regulations to the extent permitted by law. Department of Homeland Security As required by the President in HSPD-8, DHS will: Coordinate with other appropriate Federal departments and agencies and consult with State, local, and tribal governments to develop (and maintain) the Goal, including readiness priorities, targets, and metrics, and elements that support the Goal, including standards for preparedness assessments and strategies and a system for assessing the Nation s overall preparedness to respond to major events, especially those involving acts of terrorism. Coordinate with other appropriate Federal departments and agencies to establish a single point of access to Federal preparedness assistance program information. Submit through the Homeland Security Council recommendations of specific Federal department and agency programs to be part of the coordinated approach and fully implement a closely coordinated interagency grant process. Coordinate with other appropriate Federal departments and agencies to review and approve strategies submitted by the States. To the extent permitted by law, predicate Federal preparedness assistance at all levels of government on adoption of Statewide comprehensive all-hazards preparedness strategies that are consistent with the Goal, assess the most effective ways to enhance preparedness, address areas facing higher risk, especially to terrorism, and address local government concerns and Citizen Corps efforts. Base allocations of Federal preparedness assistance to the States on assessments of population concentrations, critical infrastructures, and other significant risk factors, particularly terrorism threats, to the extent permitted by law. Federal preparedness assistance will support State, local, and tribal entities' efforts including planning, training, exercises, interoperability, and equipment acquisition for major events as well as capacity building for prevention activities such as information gathering, detection, deterrence, and collaboration related to terrorist attacks. Such assistance is primarily intended to build capacity to address major events, especially terrorism. v

8 Coordinate with other appropriate Federal departments and agencies to ensure that first responder preparedness assistance supports and is consistent with the Goal. Collect reports annually from other appropriate Federal departments and agencies on the obligation, expenditure status, and the use of funds associated with Federal preparedness assistance programs. Coordinate with State, local, and tribal officials, first responder organizations, the private sector, and other Federal departments and agencies to establish and implement streamlined procedures for development and adoption of appropriate first responder equipment standards that support nationwide interoperability and other capabilities consistent with the Goal. Coordinate equipment programs with other appropriate Federal departments and agencies to ensure that, to the extent permitted by law, equipment purchased through Federal preparedness assistance for first responders conforms to the same standards. Coordinate with other appropriate Federal departments and agencies and consult with State, local, and tribal governments to develop plans to identify and address national first responder equipment research and development needs that support the Goal based upon assessments of current and future threats. Coordinate with other appropriate Federal departments and agencies and consult with State, local, and tribal governments to establish and maintain a comprehensive training program to meet the Goal; Coordinate with other appropriate Federal departments and agencies and collaborate with State, local, and tribal governments and appropriate private sector entities to establish and maintain a national exercise program to support the Goal. Develop and maintain a lessons learned information system to support the Goal. Collect information from other Federal departments and agencies and State, local, and tribal governments to the extent permitted by law. Undertake actions to support the Goal, including adoption of quantifiable performance measures for Federal preparedness in the areas of training, planning, equipment, and exercises, to the extent permitted by law. Maintain specialized Federal assets such as teams, stockpiles, and caches at levels consistent with the Goal for activities set forth in the National Response Plan and other appropriate documents. Ensure relevant Federal regulatory requirements are consistent with the Goal. Coordinate with other Federal civilian departments and agencies to develop and maintain a Federal response capability inventory that includes the performance parameters of the capability, the timeframe within which the capability can be brought to bear in an incident, and the readiness of the capability. Work with other appropriate Federal departments and agencies, State, local, and tribal governments, and the private sector to encourage active citizen participation and involvement in preparedness efforts and periodically review and identify best practices for integrating citizens into local preparedness efforts. Consult with other Federal departments and agencies, State, local, and tribal governments, and non-governmental organizations to develop a comprehensive plan to provide accurate and timely preparedness information to interested parties and mechanisms for coordination. vi

9 Provide to the President an annual status report of the Nation's level of preparedness, including State capabilities, readiness of Federal civil response assets, utilization of mutual aid, and effectiveness of how Federal preparedness assistance programs support the Goal. Other Federal Departments and Agencies As required by the President in HSPD-8, other Federal departments and agencies will: Coordinate with DHS to help develop (and maintain) the Goal, including readiness priorities, targets, and metrics, and elements that support the Goal, including standards for preparedness assessments and strategies and a system for assessing the Nation s overall preparedness to respond to major events, especially those involving acts of terrorism. Coordinate with DHS to help establish a single point of access to Federal preparedness assistance program information. Coordinate with DHS to help review and approve strategies submitted by the States. To the extent permitted by law, predicate Federal preparedness assistance at all levels of government on adoption of Statewide comprehensive all-hazards preparedness strategies that are consistent with the Goal, assess the most effective ways to enhance preparedness, address areas facing higher risk, especially to terrorism, and address local government concerns and Citizen Corps efforts. Base allocations of Federal preparedness assistance to the States on assessments of population concentrations, critical infrastructures, and other significant risk factors, particularly terrorism threats, to the extent permitted by law. Federal preparedness assistance will support State, local, and tribal entities' efforts including planning, training, exercises, interoperability, and equipment acquisition for major events as well as capacity building for prevention activities such as information gathering, detection, deterrence, and collaboration related to terrorist attacks. Such assistance is primarily intended to build capacity to address major events, especially terrorism. Coordinate with DHS to help ensure that first responder preparedness assistance supports and is consistent with the Goal. Provide reports annually to DHS on the obligation, expenditure status, and the use of funds associated with Federal preparedness assistance programs. Coordinate with DHS to help establish and implement streamlined procedures for development and adoption of appropriate first responder equipment standards that support nationwide interoperability and other capabilities consistent with the Goal. Coordinate equipment programs with DHS to help ensure that, to the extent permitted by law, equipment purchased through Federal preparedness assistance for first responders conforms to the same standards. Coordinate with DHS to help develop plans to identify and address national first responder equipment research and development needs that support the Goal based upon assessments of current and future threats. Coordinate with DHS to help establish and maintain a comprehensive training program to meet the Goal; vii

10 Coordinate with DHS to help establish and maintain a national exercise program to support the Goal. Provide lessons learned information to DHS to the extent permitted by law. Undertake actions to support the Goal, including adoption of quantifiable performance measures for Federal preparedness, in the areas of training, planning, equipment, and exercises, to the extent permitted by law. Maintain specialized Federal assets such as teams, stockpiles, and caches at levels consistent with the Goal for activities set forth in the National Response Plan and other appropriate documents. Ensure relevant Federal regulatory requirements are consistent with the Goal. Coordinate with DHS to help develop and maintain a Federal response capability inventory that includes the performance parameters of the capability, the timeframe within which the capability can be brought to bear in an incident, and the readiness of the capability. Work with DHS to help encourage active citizen participation and involvement in preparedness efforts and periodically review and identify best practices for integrating citizens into local preparedness efforts. Consult with DHS to help develop a comprehensive plan to provide accurate and timely preparedness information to interested parties and mechanisms for coordination. State, Local, and Tribal Governments and Non-Governmental Organizations As requested by the President in HSPD-8, State, local, and tribal governments and nongovernmental organizations are encouraged to: Consult with DHS to help develop (and maintain) the Goal, including readiness priorities, targets, and metrics, and elements that support the Goal, including standards for preparedness assessments and strategies and a system for assessing the Nation s overall preparedness to respond to major events, especially those involving acts of terrorism. Submit Statewide comprehensive all-hazards preparedness strategies to DHS that are consistent with the Goal, assess the most effective ways to enhance preparedness, address areas facing higher risk, especially to terrorism, and address local government concerns and Citizen Corps efforts. Coordinate with DHS to help establish and implement streamlined procedures for development and adoption of appropriate first responder equipment standards that support nationwide interoperability and other capabilities consistent with the Goal. Consult with DHS to help develop plans to identify and address national first responder equipment research and development needs that support the Goal based upon assessments of current and future threats. Consult with DHS to help establish and maintain a comprehensive training program to meet the Goal; Collaborate with DHS to help establish and maintain a national exercise program to support the Goal. Provide lessons learned information to DHS to the extent permitted by law. viii

11 Work with DHS to encourage active citizen participation and involvement in preparedness efforts and periodically review and identify best practices for integrating citizens into local preparedness efforts. Consult with DHS to help develop a comprehensive plan to provide accurate and timely preparedness information to interested parties and mechanisms for coordination. Private Sector As requested by the President in HSPD-8, appropriate private sector entities are encouraged (or in some cases required under law) to: Coordinate with DHS to help establish and implement streamlined procedures for development and adoption of appropriate first responder equipment standards that support nationwide interoperability and other capabilities consistent with the Goal. Collaborate with DHS to help establish and maintain a national exercise program to support the Goal. Comply with relevant Federal regulatory requirements that are consistent with the Goal. Work with DHS to help encourage active citizen participation and involvement in preparedness efforts and periodically review and identify best practices for integrating citizens into local preparedness efforts. Citizens As referenced by the President in HSPD-8, DHS coordinates Citizen Corps. Citizen Corps engages Federal departments and agencies, State, local, and tribal governments, nongovernmental organizations, and the private sector to: Conduct awareness and outreach campaigns to deliver the prepare, train, and volunteer message and motivate everyone in America to take action to reduce their vulnerability; Expand citizen training and volunteer opportunities; Promote all-hazards preparedness and identify key areas where citizens can assist local emergency responders; Focus on special needs populations, such as people with disabilities, language barriers, cultural differences, youth, and seniors; Develop standards, recognition incentives, and assessment and evaluation criteria for citizen preparedness and participation; Expand the role of the private sector as a community stakeholder and as a delivery mechanism for citizen education, training, and volunteer service opportunities; Share lessons learned and best practices from communities around the country; and Integrate and institutionalize citizen participation in homeland security efforts, including State strategies, emergency operations plans, exercises (from local to national), critical infrastructure protection, and transportation security. ix

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13 TABLE OF CONTENTS PREFACE... iii PARTNERS...iv LETTER OF INSTRUCTION...v 1.0 INTRODUCTION VISION The Goal Uses NIMS and Supports the NRP and NIPP The Goal is Risk-Based and All-Hazards The Goal is Capabilities-Based PRIORITIES Implement the National Incident Management System and National Response Plan Expand Regional Collaboration Implement the National Infrastructure Protection Plan Strengthen Information Sharing and Collaboration Capabilities Strengthen Interoperable Communications Capabilities Strengthen CBRNE Detection, Response, and Decontamination Capabilities Strengthen Medical Surge and Mass Prophylaxis Capabilities ELEMENTS THAT SUPPORT THE GOAL Metrics and Standards A System for Assessing the Nation s Overall Preparedness Annual Status Reports GOAL MANAGEMENT AND MAINTENANCE...24 APPENDIX A Terms and Definitions...A-1 APPENDIX B Acronyms and Abbreviations...B-1 APPENDIX C Homeland Security Presidential Directive 8...C-1 APPENDIX D Capabilities-Based Planning Overview...D-1 LIST OF FIGURES Figure 1: The Goal in Context...2 Figure 2: Risk-Based All-Hazards Approach...3 Figure 3: Capabilities-Based Approach...5 Figure 4: Capabilities and Associated Outcomes from the TCL...8 Figure 5: National Priorities and Associated Capabilities...13 Figure 6: Preparedness Assessments Using the Capabilities-Based Approach...22 Figure D-1: National Planning Scenarios...D-2 Figure D-2: Capabilities-Based Planning Process...D-Error! Bookmark not defined. Figure D-3: Elements of Capability...D-Error! Bookmark not defined. xi

14 Questions, comments, and suggested improvements related to this document are encouraged. Inquiries, information, and requests for additional copies should be submitted to: U.S. Department of Homeland Security Office of State and Local Government Coordination and Preparedness (ATTN: Office for Policy, Initiatives, and Analysis) 810 7th Street, NW Washington, DC The National Preparedness Goal is available on the Office for Domestic Preparedness (ODP) Secure Portal ( and the Lessons Learned Information Sharing system ( For more information on HSPD-8 implementation, go to xii

15 1.0 INTRODUCTION On December 17, 2003, the President issued Homeland Security Presidential Directive (HSPD) 8: National Preparedness (see Appendix C). The purpose of HSPD-8 is to establish policies to strengthen the preparedness of the United States to prevent and respond to threatened or actual domestic terrorist attacks, major disasters, and other emergencies. HSPD-8 tasks the Secretary of Homeland Security, in coordination with the heads of other appropriate Federal departments and agencies and in consultation with State, local, and tribal governments to develop a national domestic all-hazards preparedness goal (or Goal). The Secretary of Homeland Security charged the Executive Director of the Office of State and Local Government Coordination and Preparedness (DHS/SLGCP) with responsibility to lead this effort on his behalf. The Goal establishes a vision, capabilities, and priorities to help guide efforts to strengthen national preparedness. Federal departments and agencies are required, and other partners are encouraged to review, the Goal and to coordinate with DHS/SLGCP to ensure that their preparedness activities are consistent with and support the Goal to the extent permitted by law. The Goal provides the means for the Nation to answer three fundamental questions: How prepared do we need to be? How prepared are we? How do we prioritize efforts to close the gap? 2.0 VISION The vision for the National Preparedness Goal is: To engage Federal, State, local, and tribal entities, their private and nongovernmental partners, and the general public to achieve and sustain risk-based target levels of capability to prevent, protect against, respond to, and recover from major events in order to minimize the impact on lives, property, and the economy. The vision recognizes that national preparedness is a shared responsibility. Each partner has a role to play, consistent with its authorities and resources. Governmental entities are responsible for leading efforts within their borders and involving the private sector, non-governmental organizations, and citizens as appropriate. The vision addresses preparedness for the four mission areas of prevention, protection, response, and recovery; mitigation activities are embedded in preparedness for all mission areas. 1 The vision emphasizes major events, which include terrorist attacks, major disasters, and other emergencies. Finally, the vision acknowledges that national preparedness involves not only achieving but also sustaining capability at target levels that reflect informed choices about how to best manage risk and reduce impact. 1 National Incident Management System (NIMS), page 34. 1

16 2.1 The Goal Uses NIMS and Supports the NRP and NIPP HSPD-8 supports and complements two other presidential directives which provide context for the National Preparedness Goal (see Figure 1). HSPD-5, Management of Domestic Incidents, requires DHS to lead a coordinated national effort with other Federal departments and agencies and State, local, and tribal governments to establish the National Incident Management System (NIMS) and the National Response Plan (NRP). The Goal uses NIMS, particularly the NIMS component on preparedness. The Goal will help guide entities at all levels of government to develop and maintain the capabilities to prevent, respond to, and recover from major events (or Incidents of National Significance) as described in the NRP. HSPD-7, Critical Infrastructure Identification, Prioritization, and Protection, requires DHS to work closely with other Federal departments and agencies, State, local, and tribal governments, and the private sector to produce a National Infrastructure Protection Plan (NIPP). The Goal will help guide entities at all levels of government to develop and maintain the capabilities to identify, prioritize, and protect critical infrastructure and key resources against terrorist attacks as described in the NIPP. Figure 1: The Goal in Context Strategy Presidential Directives National Initiatives Results The National Strategy for Homeland Security Homeland Security Presidential Directive 5 Homeland Security Presidential Directive 7 Homeland Security Presidential Directive 8 National Incident Management System (NIMS) National Response Plan (NRP) National Infrastructure Protection Plan (NIPP) National Preparedness Goal Capabilities-Based Planning Tools National Planning Scenarios Universal Task List Target Capabilities List Common approach to national incident management: Prevention Protection Response Recovery Preparedness Grant Program Guidance 2

17 2.2 The Goal is Risk-Based and All-Hazards The National Preparedness Goal adopts a risk-based all-hazards approach (see Figure 2). A riskbased approach involves reorienting preparedness activities to enable officials to make informed choices that best manage risk and reduce impact. Risk is the product of threat, vulnerability, consequence, and likelihood of occurrence. While some of these risk factors can be managed to varying degrees, the likelihood of occurrence of an event is highly uncertain. The likelihood of terrorist attacks are even more uncertain than natural disasters and other kinds of emergencies. Figure 2: Risk-Based All-Hazards Approach Impact High Impact Terrorist attacks, natural disasters, and other emergencies National Interest Low Impact Terrorist attacks, natural disasters, and other emergencies Local Interest Likelihood (uncertain) Presidential policy has supported the national interest in a risk-based all-hazards approach for decades. In 1987, President Reagan issued National Security Decision Directive 259, which stated that: the civil defense program will continue to support all-hazards integrated emergency management at the State and local levels, to the extent that this is consistent with and contributes to preparedness of the Nation in the event of an attack, whether by nuclear or non-nuclear means. 3

18 In 1992, President George H.W. Bush issued National Security Directive 66, which stated that: the civil defense program will focus on the development, jointly with State and local governments, of the required capabilities common to all catastrophic emergencies and those unique to attack emergencies, thus ensuring that the use of civil defense funds is consistent with, contributes to, and does not detract from attack preparedness. In 2003, President George W. Bush issued HSPD-8, which stated that: Federal preparedness assistance will support State and local entities' efforts including planning, training, exercises, interoperability, and equipment acquisition for major events as well as capacity building for prevention activities such as information gathering, detection, deterrence, and collaboration related to terrorist attacks. Such assistance is not primarily intended to support existing capacity to address normal local first responder operations, but to build capacity to address major events, especially terrorism. While the terminology has changed over the years, the objective remains the same: to share responsibility to manage risk, recognizing the differences between national interests and local interests. The national interest focuses on high impact threats and hazards, while the local interest focuses on high likelihood threats and hazards. If likelihood is uncertain, then building capabilities to manage the impacts resulting from a wide range of potential threats and hazards becomes the primary consideration in a risk-based all-hazards approach. 2.3 The Goal is Capabilities-Based The National Preparedness Goal adopts a capabilities-based approach (see Figure 3). A capabilities-based approach involves reorienting preparedness activities to enable officials to make informed choices that best strengthen capabilities. A capability provides the means to achieve a measurable outcome. A capability consists of any combination of properly planned, organized, equipped, trained, and exercised personnel that achieves that outcome. Capabilities provide the basic building blocks that entities at all levels of government, working with their private and non-governmental partners and citizens as appropriate, can use to define, measure, and achieve outcomes. Capabilities provide a framework for development and maintenance of the National Preparedness Goal and implementation of the Goal through planning and resource allocation; training, exercises, and lessons learned; and assessment and reporting. For information on capabilities-based planning, please refer to Appendix D. 4

19 Figure 3: Capabilities-Based Approach National Preparedness Goal Planning and Resource Allocation (Balanced Investments) Training, Exercises, and Lessons Learned CAPABILITY Assessment and Reporting How prepared do we need to be? How prepared are we? How do we prioritize efforts to close the gap? Source: HSPD-8 Integrated Concept Teams, August DHS/SLGCP convened Integrated Concept Teams with representatives from Federal, State, local, and tribal entities and national associations for a ninety-day intensive effort in 2004 to develop documents to guide HSPD-8 implementation. HSPD-8 states that, to the extent permitted by law, Federal departments and agencies and the States should take action to make the following preparedness programs and activities consistent with and support the National Preparedness Goal: Statewide preparedness strategies, Federal first responder preparedness assistance for all levels of government, First responder equipment standards, Preparedness research and development activities, A comprehensive training program, A national exercise program and multi-year planning system, Performance measurements for Federal preparedness, Specialized Federal assets, and Relevant Federal regulatory requirements. Many of these programs and activities are already consistent with the Goal and simply need to be implemented in closer coordination using the capabilities-based approach. Nothing in HSPD- 8 alters or impedes the ability of Federal departments and agencies, or the States, to perform 5

20 their responsibilities under law. HSPD-8 is intended only to improve the way in which national preparedness is managed and coordinated. The National Strategy for Homeland Security, issued by the President in July 2002, states that the Nation must: develop interconnected and complementary homeland security systems that are reinforcing rather than duplicative and that ensure essential requirements are met [and] provide a framework to align the resources of the Federal budget directly to the task of securing the homeland. A capabilities-based approach will help guide efforts to develop interconnected and complementary systems and align resources on a national scale. 3.0 CAPABILITIES HSPD-8 states that the National Preparedness Goal will: establish measurable readiness targets...that appropriately balance the potential threat and magnitude of terrorist attacks, major disasters, and other emergencies with the resources required to prevent, respond to, and recover from them. It is difficult to establish measurable readiness targets that appropriately balance risk with resources in a national document when both the risk and resource base vary considerably across the Nation. To address that challenge, the National Preparedness Goal utilizes and references three capabilities-based planning tools: The National Planning Scenarios illustrates the potential threat and magnitude of terrorist attacks, major disasters, and other emergencies. The Universal Task List (UTL) provides the tasks to use to identify the resources required to prevent, respond to, and recover from them. And the Target Capabilities List (TCL) provides the capabilities and outcomes to use to identify measurable readiness targets. 6

21 The National Preparedness Goal incorporates the capabilities and associated outcomes from the TCL (see Figure 4). The companion TCL describes how to determine the risk-based target levels of capability called for in the vision for the National Preparedness Goal. Using the capabilities-based approach, a key policy question becomes: What is the best way to identify geographic areas across the Nation that share risk and should therefore engage in joint planning and share resources to establish, achieve, and sustain risk-based target levels for these capabilities? The intent is to identify standard geographic areas that support the capabilities-based approach and to strengthen relationships among entities within those areas for joint operations and preparedness purposes. States are encouraged to identify geographic areas or regions, in consultation with local and tribal governments and other partners. States will preserve flexibility to adjust the areas as necessary to best support the intent of the capabilities-based approach. DHS will facilitate efforts to identify interstate areas where appropriate. Areas will form working groups that consist of representatives of the member entities, including local and tribal governments and other partners as appropriate. Area working groups will determine risk-based target levels for each capability based on differences in significant risk factors that drive the demand for that capability, to include: population, population density, critical infrastructure, and threat. Using this approach, risk-based target levels can be customized for each capability and each geographic area across the Nation. A key feature of this approach is that the risk-based target levels apply to the geographic area as a whole based on the cumulative requirements for the entities within the area. It is up to the area working group to determine how to meet the target levels, decide where they should be built and maintained to enable all entities within the area to meet the performance objectives and establish joint priorities for the use of limited resources. Regional approaches support efforts to expand regional collaboration, which is an overarching national priority for the Goal. As explained in the Letter of Instruction, the Goal will be supported by changes in requirements for receiving Federal preparedness assistance, annual Federal program guidance, and Federal regulations to the extent permitted by law. 7

22 Figure 4: Capabilities and Associated Outcomes from the TCL Capability Outcome Common Planning Communications Risk Management Citizen Preparedness and Participation Prevent Mission Area Information Gathering and Recognition of Indicators and Warnings Intelligence Analysis and Production Intelligence / Information Sharing and Dissemination Law Enforcement Investigation and Operations Plans incorporate an accurate hazard analysis and risk assessment and ensure the ability to prevent, protect against, respond to, and recover from acts of terrorism, natural disasters, and other emergencies. A continuous flow of critical information is maintained as needed among multi-jurisdictional and multi-disciplinary emergency responders, command posts, agencies, and governmental officials for the duration of the emergency response operation in compliance with National Incident Management System (NIMS). To accomplish this, the jurisdiction has a continuity of operations plan for public safety communications to include the consideration of critical components, networks, support systems, personnel, and an appropriate level of redundant communications systems in the event of emergency. Federal, state, local, tribal and private sector entities have the ability to identify and assess risks, prioritize and select appropriate protection, prevention, and mitigation solutions based on reduction of risk, and monitor the outcomes of allocation decisions and undertake corrective actions. The American people have the capability (i.e., the necessary information, knowledge, skills, and abilities) to help prevent, protect against, respond to, and recover from all threats and hazards. Through collaboration among all levels of government, emergency responders, the private sector, civic organizations, faith-based groups, NGOs, schools, and the general public, the public is educated in the four mission areas of preparedness; citizens are trained in life saving first aid, response skills, and surge capacity roles; and citizens participate in exercises, volunteer programs, and surge capacity support. Locally generated threat and other criminal and/or terrorism-related information is identified, gathered, entered into an appropriate data/retrieval base, and provided to appropriate analysis centers. This capability should produce timely, accurate, and actionable intelligence/information products in support of prevention, awareness, deterrence, response, and continuity planning operations. Effective and timely sharing of information and intelligence occurs across Federal, State, local, tribal, regional, and private sector entities to achieve coordinated awareness of, preparedness for, protection against, prevention of, and response to a threatened or actual domestic terrorist attack, major disaster, or other emergency. Suspects involved in criminal activities related to homeland security are successfully deterred, detected, disrupted, investigated, and apprehended. All counterterrorism-related cases, including not only primary cases, but also secondary, tertiary, and obtusely-related cases are aggressively prosecuted. 8

23 Capability CBRNE Detection Protect Mission Area Critical Infrastructure Protection Food and Agriculture Safety and Defense Public Health Epidemiological Investigation Public Health Laboratory Testing Respond Mission Area Onsite Incident Management Outcome Chemical, biological, radiological, nuclear, and/or ex;plosive (CBRNE) materials are rapidly detected, identified, and safely managed at borders, critical locations, events, and incidents Critical infrastructure is identified; risk assessments are conducted, documented, and standardized; assets are prioritized; decisions are made regarding protective and preventive programs; protective and preventive plans are implemented; and the risk to, vulnerability of, and consequence of attack to critical infrastructure is reduced. Threats to food and agriculture safety are prevented, mitigated, and eradicated, trade in agriculture products is restored, affected products are dispose of, affected facilities are decontaminated, confidence in the U.S. food supply is maintained, and public, animal, and plant health are protected and effectively communicate with all stakeholders. Potential exposure and disease is identified rapidly (determine exposure, mode of transmission and agent, and interrupt transmission to contain the spread of the event and reduce number of cases). Confirmed cases are reported immediately to all relevant public health, food regulatory, environmental regulatory and law enforcement agencies. Suspected cases are investigated promptly, reported to relevant public health authorities, and accurately confirmed to ensure appropriate preventive or curative countermeasures are implemented. An outbreak is defined and characterized; new suspect cases are identified and characterized based on case definitions on an ongoing basis; relevant clinical specimens are obtained and transported for confirmatory laboratory testing; the source of exposure is tracked; methods of transmission identified; effective mitigation measures to the public, providers and relevant agencies are recommended, as appropriate. Chemical, radiochemical, and biological agents causing, or having the potential to cause, widespread illness or death are rapidly detected and accurately identified by the public health laboratory within the jurisdiction or through nrtwork collaboration with other appropriate loca, State, and Federal laboratories. The public health laboratory, working in close partnership with public health epidemiology, environmental health, law enforcement, agriculture and veterinary officials, produce timely, accurate data to support ongoing public health investigations and the implementation of appropriate preventative or curative counter-measures. Public health laboratory activities will also be coordinated with public safety, law enforcement, hospitals, and other appropriate agencies. Establish system to manage incident effectively, integrating the facilities, resources (personnel, equipment, supplies, and communications), and procedures using a common organizational structure, or ICS. 9

24 Capability Emergency Operations Center Management Critical Resource Logistics and Distribution Volunteer Management and Donations Responder Safety and Health Public Safety and Security Response Animal Health Emergency Support Environmental Health and Vector Control Explosive Device Response Operations Outcome The EOC is activated, staffed, and managed for a pre-planned or nonotice event; multi/interagency activities, such as communications (including direct and indirect voice and data interoperability), resource management, and mutual aid, are coordinated; incident action planning activities within the EOC are conducted at regular periodic intervals. Situation reports are produced at regular periodic intervals. The EOC could be deactivated as the emergency transitions into the recovery phase. Critical resources are inventoried and tracked, available to incident managers and emergency responders upon request for proper distribution and to aid disaster victims in a cost-effective and timely manner, and are demobilized as necessary. The value of volunteers and charitable donations is maximized and does not hinder the response and recovery activities. No additional illnesses or injury to any first responder, first receiver, medical facility staff member, or other skilled support personnel result from a preventable exposure to secondary trauma, chemical/radiological release, infectious disease, or physical and emotional stress after the initial incident or during decontamination and incident followup. The incident and coordination of public safety resources needed to secure the incident scene are assessed, access control is managed, security support is provided to other response operations (and related critical locations, facilities, and resources), and emergency public information is aided, while protecting first responders and mitigating any further effect to the public at risk. Foreign animal disease is prevented from entering the US by protecting our critical infrastructure and key assets. In the event of an incident, animal disease is detected as early as possible, exposure of livestock to foreign diseases is reduced, immediate and humane actions to eradicate the outbreak are implemented, continuity of agriculture and related business is maintained, economic damage is limited, and public and animal health and the environment are protected. Trade in agriculture products and domestic and international confidence in the US food supply are maintained and/or restored. Agricultural industries are returned to their prior productivity, to include replenishment of the domestic livestock and other domesticated animals. After the first event, new cases due to preventable exposure to disease or contamination including exposure from communicable diseases that are secondary to the primary event are minimized. The at-risk population (e.g., exposed or potentially exposed) receives the appropriate protection (countermeasures) in a timely manner. In the event of exposure to contamination (e.g., in the case of radiation exposure), the amount of exposure subsequent to the event is minimized. Threat assessments are conducted and the area is rendered safe. Measures are implemented in priority order for the following considerations, which are prioritized in rank order: 1. Safeguard public safety 2. Safeguard the officers on scene (including the bomb technician) 3. Protect and preserve public and private property 4. Collect and preserve evidence 5. Accommodate the public/restore services 10

25 Capability Firefighting Operations/Support WMD/Hazardous Materials Response and Decontamination Citizen Protection: Evacuation and/or In- Place Protection Isolation and Quarantine Urban Search & Rescue (US&R) Emergency Public Information and Warning Triage and Pre-Hospital Treatment Medical Surge Medical Supplies Management and Distribution Mass Prophylaxis Mass Care (Sheltering, Feeding, and Related Services) Outcome Dispatch of the initial alarm assignment occurs within the response time objectives designed by the jurisdictional authority. The initial arriving unit initiates the ICS, assesses the incident scene, communicates the situation, and requests appropriate resources. Firefighting activities are conducted safely and fires are contained, controlled, and managed in accordance with emergency response plans and procedures. Hazardous materials (Hazmat) release is rapidly identified, contained, and mitigated; victims exposed to the hazard are rescued, decontaminated, and treated; the impact of the release is limited; the affected area is restored; and responders and at-risk populations are effectively protected. Affected and at-risk populations are safely sheltered-in-place and/or relocated to safe refuge areas, provided shelter and essential services, and effectively and safely reentered into the affected area (if appropriate). Individuals who are ill, exposed, or likely to be exposed are separated, movement is restricted, basic necessities of life are available, and their health is monitoried in order to limit the spread of a newly introduced contagious disease (pandemic influenza). Legal authority for these measures is clearly defined and communicated to the public. Logistical support is provided to maintain measures until danger of contagion has elapsed. The greatest numbers of victims are rescued, in the shortest amount of time, while maintaining rescuer safety. Members of the public receive prompt, accurate and useful information regarding threats to their health, safety and property, and receive clear, consistent information and periodic updates outlining protective measures that can be taken by individuals and their communities. EMS resources are effectively and appropriately dispatched and are able to provide pre-hospital triage, treatment, transport, tracking of patients, and documentation of care appropriate for the incident, while maintaining the capabilities of the EMS system for continued operations. Injured or ill from the initial event are cared for and new cases that arise from initial illness or injury and new illnesses or injuries or exacerbation of pre-existing illness or injury due to disease, contamination or injury including exposure from communicable diseases and/or injuries which are secondary to the primary event are minimized. The at-risk population receives the appropriate protection (countermeasures) and treatment in a timely manner. Critical medical supplies and equipment are appropriately secured, managed, distributed, and restocked in a timeframe appropriate to the incident. Appropriate drug prophylaxis and vaccination strategies are implemented in a timely manner upon the onset of an event to prevent the development of disease in exposed individuals. Public information strategies include recommendations about specific actions individuals can take to protect their family, friends, and themselves. Mass care services for the affected general population, services for special needs populations, and services for animals within the affected area are rapidly provided. 11