# Presentation: 544532

## National Preparedness Goal

**National Preparedness Goal**
**Rollout Conference**

## Using Capabilities-Based Planning

**Chief, Policy and Planning Branch, Office of State and Local Government Coordination and Preparedness**

**Notes:**
All levels of government have a shared stake and a shared responsibility in homeland security.
An important part of that shared responsibility is national preparedness --collectively achieving and sustaining the capability to prevent terrorism, to protect against its effects, and to respond and recover effectively from attacks and natural disasters that do occur. 
A concerted effort is now underway to broaden the focus of preparedness efforts to a larger National Preparedness mission that encompasses prevention, protection, response and recovery.
National preparedness efforts and activities will focus on building core capabilities to manage a range of potential threats and meet identified national priorities in a resource-constrained environment.
The ongoing threat of terrorist attacks and natural disasters requires a national preparedness system in which Federal, State, local and tribal entities have requisite capabilities in place, communicate easily, and coordinate resources effectively.
A key concept for the development and sustainment of capabilities in a common approach is a process called capabilities-based planning.  Let me tell you all about it...

## The National Preparedness Goal

**A DESIRED END STATE – the Vision**
**A RISK-BASED LEVEL OF NATIONAL PREPAREDNESS – the Target Capabilities List**
**A FOCUS FOR THE NEAR TERM – the  National Priorities**

**Capabilities-Based Planning (CBP) provides a consistent method for entities to use to achieve the Goal.**

**Notes:**
The National Strategy for Homeland Security 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.” 
Building upon that strategic intent, the National Preparedness Goal is comprised of :
A vision – (where we want to go)
The Target Capabilities List (TCL) – (what level we want to achieve)
National Priorities – (how we want to sequence our activities)
In other words, the Goal enables us to define where we are headed in national preparedness, to measure our progress towards achieving our goal, and to set priorities accordingly.
The key point you need to know about the Goal is that it is about tradeoffs and priorities – since we cannot do it all and we certainly cannot do it all at once, we have make tradeoffs and prioritize our efforts

I will briefly discuss each of these components individually in the next several slides...

## The Vision

**To engage Federal, ****State, local, and tribal entities, their private and non-governmental 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.**

**Notes:**
The vision involves:
All of us (all stakeholders) collectively engaged
Achieving and sustaining 
Risk-based target levels of capability
Across all mission areas
To minimize the impact on lives, property, and the economy

“Risk-based” means making tradeoffs and prioritizing based on the combination of:
Threats
Vulnerability
Impact/Consequences

The vision provides the over-arching and driving thrust for our collective efforts

## The Target Capabilities

**Common**
**	****Planning**
**	****Interoperable Communications**
**Prevent Mission Area**
**	****Information Collection and Threat Detection**
**	****Intelligence Fusion and Analysis**
**	****Information Sharing and Collaboration**
**	****Terrorism Investigation and Apprehension**
**	****CBRNE Detection**
**Protect Mission Area**
**	****Risk Analysis**
**	****Critical Infrastructure Protection**
**	****Food and Agriculture Safety and Defense**
**	****Public Health Epidemiological Investigation and Testing**
**	****Citizen Preparedness and Participation**
**Respond Mission Area**
**	****On-Site Incident Management**
**	****Emergency Operations Center Management**
**	****Critical Resource Logistics and Distribution**
**	****Volunteer Management and Donations**
**	****Worker Health and Safety**
**	****Public Safety and Security Response**

**Respond Mission Area (cont)**
**	****Firefighting Operations/Support****	**
**	****WMD/Hazardous Material Response and Decontamination**
**	****Explosive Device Response Operations**
**	****Animal Health Emergency Support****	**
**	****Environmental Health and Vector Control**
**	****Citizen Protection: Evacuation and/or In-Place Protection**
**	****Isolation and Quarantine**
**	****Search and Rescue**
**	****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)**
**	****Fatality Management**
**Recover Mission Area**
**	****Structural Damage Assessment and Mitigation**
**	****Restoration of Lifelines**
**	****Economic and Community Recovery**
**	**

## Overarching Priorities
Implement the NIMS and NRP
Expand Regional Collaboration
Implement the National Infrastructure Protection Plan 

Capability-Specific Priorities
Strengthen Information Sharing and Collaboration Capabilities
Strengthen Interoperable Communications Capabilities
Strengthen CBRNE Detection, Response, and        Decontamination Capabilities
Strengthen Medical Surge and Mass Prophylaxis Capabilities

**Implement the NIMS and NRP**
**Expand Regional Collaboration**
**Implement the National Infrastructure Protection Plan**** **
_**Capability-Specific Priorities**_
**Strengthen Information Sharing and Collaboration Capabilities**
**Strengthen Interoperable Communications Capabilities**
**Strengthen CBRNE Detection, Response, and        Decontamination Capabilities**
**Strengthen Medical Surge and Mass Prophylaxis Capabilities**

- The National Priorities

**Notes:**
The Nation cannot immediately achieve all of the target capabilities identified for the Interim Goal.  
Accordingly, the Interim Goal provides National Priorities to guide the Nation’s preparedness efforts to meet the most urgent needs.  
DHS established the National Priorities in consultation with homeland security stakeholders, based on review of national strategies, HSPDs, and State and Urban Area Homeland Security Strategies.  
The priorities have been identified based on their relevance to national strategic objectives and their utility in terms of high payoff contributions to national readiness.  
The priorities fall into two categories:  
Overarching priorities that contribute to the development of multiple capabilities; and 
Capability-specific priorities that build selected capabilities from the TCL for which the Nation has the greatest need.
Each of the seven National Priorities can be tied to one or more of the target capabilities
By concentrating on the development of target capabilities linked to the National Priorities, government entities will be able to manage risk through a prioritization of efforts aimed at building capabilities that are most urgently needed. 

## A 10-Step National Process

** ****How prepared are we?**

** ****What should we prepare for?**

** ****What tasks need to be performed?**

** ****Which tasks are critical?**

** ****How do we share responsibility to develop and maintain capabilities?**

** ****What capabilities are needed to perform the critical tasks?**

** ****What capabilities are required?**

** ****Do we have adequate capabilities?**

** ****What level of capability is needed to perform critical tasks for all scenarios?**

**How should we allocate our resources to make the **
**greatest improvements in preparedness?**

**6**

**4**

**5**

**1**

**2**

**3**

**7**

**8**

**9**

**10**

**Defining Target Levels of Capability**

**Assessing Preparedness**

- A 10-Step _*National*_ Process

**Notes:**
CBP is defined as planning, under uncertainty, to provide capabilities suitable for a wide range of threats and hazards while working within an economic framework that necessitates prioritization and choice.  
It helps to inform and optimize decision making at all levels of government by linking resource allocation to the capabilities that are most urgently needed to perform a wide range of assigned missions and tasks. 
CBP involves a 10-step process, accomplished in three stages:  
A national effort to define readiness targets for the Nation; 
Individual efforts to determine where each level of government and each group of jurisdictions organized by Tier across the country stands against those national targets, and 
A national effort to assess preparedness, compile the assessment data into an annual report, and set national priorities. 

Each of the steps will be discussed in more detail in the following slides...

## What should we prepare for?
What tasks need to be performed?
What tasks are critical?
What capabilities are needed to perform the critical tasks?
What level of capability is needed to perform the critical tasks for all scenarios?
How do we share responsibility to develop and maintain capabilities?

***What tasks need to be performed?***
***What tasks are critical?***
***What capabilities are needed to perform the critical tasks?***
***What level of capability is needed to perform the critical tasks for all scenarios?***
***How do we share responsibility to develop and maintain capabilities?***

**National Planning Scenarios**
**Universal Task List (UTL)**
**UTL identifies critical tasks**
**Target Capabilities List (TCL)**
**TCL will define risk-based target levels of capability**
**TCL will apportion target levels among entities (Federal, State, and groups of jurisdictions)**

- Defining Target Levels of Capability

**Notes:**
The first stage of the Capabilities-Based Planning process is “Defining Target Levels of Capability”
It involves steps 1 – 6 in the 10-step CBP process
The steps included in this stage will be performed at a national level.  
DHS, as the coordination lead, will involve Federal, State, local, and tribal entities and their private and non-governmental partners and the general public in the iterative development of the planning tools, which include:
 National Planning Scenarios.
 Universal Task List (UTL).
 Target Capabilities List (TCL).  

## What capabilities are required?

Do we have adequate capabilities?

How should we allocate our resources to make the greatest improvements in preparedness?

***Do we have adequate capabilities?***
***How should we allocate ******our resources to make the greatest improvements in preparedness?***

- Achieving Target Levels of Capability

**The next three slides describe the full process that we are working toward for each step – with your input – and summarize the specific requirements for FY 2005**

**Notes:**
The second stage of the CBP process is “Achieving Target Levels of Capability”
It involves steps 7 – 9 in the CBP process
Federal, State, local, and tribal entities will perform these steps to determine what capabilities are required, what capabilities they currently have and need, and how to plan and allocate resources to build and maintain capability.

## What capabilities are required?

**Identify groups of jurisdictions (“regions”)**
**See TCL for specific capabilities and levels of capability to develop and maintain**

**The final National Preparedness Goal will provide the specific levels of capability that Federal government, the States, and groups of jurisdictions will be expected to develop and maintain.**
**In FY 2005, entities are encouraged to participate in the development and review of the target levels.**
- -- National Preparedness Guidance, p. 9

- Achieving Target Levels of Capability

**Notes:**
ACHIEVING TARGET LEVELS OF CAPABILITY

 What Capabilities are Required?

State, local, and tribal officials will identify groups of jurisdictions (“regions”)
Entities (Federal, State, and “regions”) will refer to the TCL for guidance on the specific capabilities and levels of capability to develop and maintain

## Do we have adequate capabilities?

*Establish working groups to implement the CBP process*
*Conduct capability assessment*

**In FY 2005, the Capability Assessment will be conducted through a representative sampling of States and/or sub-State regions. This will allow the process to be tested and proven prior to a nationwide implementation.**
- -- National Preparedness Guidance, p. 40

- Achieving Target Levels of Capability

**Notes:**
ACHIEVING TARGET LEVELS OF CAPABILITY

8. Do we have Adequate Capabilities?
Entities (Federal, State, and “regions”) will establish working groups to implement the CBP process

Entities at all levels of government will compare their current capabilities to the target levels of capability identified in the TCL. 
These assessments will identify capability gaps and deficiencies and, therefore, risk. When these capability assessments are completed, they will provide a national assessment of net capacity, needs, and projections of strategic risk. 
As a result of performing the capabilities assessment, resource needs will be identified and quantified. 
States will then prioritize these needs based on various factors, including threats, vulnerabilities, consequences, risk, and cost/benefit analysis.

## How should we allocate our resources to make the greatest improvements in preparedness?

*Conduct needs assessment*
*Update State/Urban HLS Strategy*
*Map available resources and sources of assistance*
*Implement programs*

- Achieving Target Levels of Capability

**In their FY 2006 grant applications, States will explain how current and future funds will be applied to strengthen capabilities related to the National priorities. Detailed guidance will be issued separately.**
**In FY 2005, States and Urban Areas will validate and/or update their existing Homeland Security Strategies with an addendum.**
- -- National Preparedness Guidance, p. 42, 43

**Notes:**
ACHIEVING TARGET LEVELS OF CAPABILITY

9.  How Should We Allocate Our Resource to Make the Greatest Improvements in Preparedness?
Conduct needs assessment
Translate capability gaps, excesses, and deficiencies into specific requirements for capability elements (personnel, planning, organization and leadership, equipment and systems, training, exercises)
Set priorities, consistent with National Priorities
Assign responsibilities among partner entities represented on the working group (Federal, State, or “region”)
Update preparedness strategy
Map available resources and sources of assistance
Implement programs

## How prepared are we?

- Compiling and aggregating data from all assessments
- Data will be reported in a variety of formats for a variety of audiences (local to national)

- Assessing Preparedness

**DHS is responsible for submitting an annual status report to the President on the Nation’s overall level of preparedness.  Data submitted by other Federal departments and agencies, the States, and Urban Areas through a variety of established channels will be used to develop the first report due April 2006.**
- -- National Preparedness Guidance, p. 49

**Notes:**
ASSESSING PREPAREDNESS

 How Prepared Are We?
Involves assessment of:
Compliance (using checklists)
Capability and Needs (as described in steps 8 and 9 with emphasis on mutual aid)
Performance (using after action reports from exercises and operations)
Data will be collected through new or existing tools for self-assessment, peer-assessment, compliance monitoring, and independent evaluation, and compiled into overall preparedness assessments 
Data will be reported in a variety of formats for a variety of audiences (local to national)

## What’s in it for US?

- What’s in it for *US*?

**A streamlined process for determining needs and framing requests for assistance**
**A clearer voice for all stakeholders in shaping the system**
**A more realistic picture of where we now stand in terms of national preparedness, and where we need to go**

**Notes:**
There are substantial uncertainties about how prior preparations will translate into actual performance.  A key outcome of national preparedness is a reduction in the uncertainties of response...through a national system of preparedness involving training and exercises against a common set of tasks and capabilities and associated standards and performance outcomes.  
Should a WMD event occur, a reduction in uncertainty will translate into less loss of life, averted economic damages, and a speedier recovery
None of us individually have the time, money, or staff to effectively respond to major events – NYC did not; Arlington, VA did not; No one does.  
Through the national preparedness system, we can pool our resources, train and exercise with our neighbors, and build the command, control, communication, and coordination infrastructure – at the regional level – to ensure we are ready the next time someone chooses to attack our Nation
A nation prepared is a powerful deterrent to those wishing us harm

## National Preparedness Goal

**National Preparedness Goal**
**Rollout Conference**

## A Closer Look at the Capabilities-Based Planning Tools

**Pat Malak**
**Chief, Policy Analysis Branch, Office of State and Local Government Coordination and Preparedness**

## Capabilities-Based Planning

**Scenarios**
**15 National Planning Scenarios highlight the scope, range, and complexity of catastrophic terrorist attacks, disasters, and other emergencies**

**Tasks**
**The Universal Task List  (UTL) is a menu of tasks that may be performed in major events such as those detailed in the National Planning Scenarios**

**Capabilities**
**The Target Capabilities List (TCL) describes specific capabilities (and levels of capability) that federal, State, local, and tribal entities are expected to develop and maintain**

**Notes:**
 Talking Points
Lisa Weldon reviewed this graphic earlier, but I wanted to again place it in context of the Capabilities-Based planning tools.
The 15 National Planning Scenarios were also used to generate an integrated, cross-cutting menu of tasks that form the Universal Task List (UTL).
Tasks in the UTL have been organized according to the Mission Area in which they would be expected to be performed: Prevent, Protect, Respond, Recover, as well as those that are common to overall planning and preparedness efforts.
The Target Capabilities List (TCL) contains the 36 essential capabilities all jurisdictions need to begin building in order to perform the critical tasks identified in the UTL.

## National Planning Scenarios

**Fifteen all-hazard events that exceed the capabilities of any single jurisdiction.  The Scenarios:**
** **

**DEFINE THE PREPAREDNESS LANDSCAPE.  Describe the range and scope of incidents for which the Nation must prepare**
**GUIDE PLANNING. Help answer the question *****“How prepared do we need to be?”***
**SERVE AS A FOUNDATION.  Provide a basis for defining tasks and capabilities**

**Notes:**
Talking Points
The Planning Scenarios define catastrophic events that exceed the capabilities of any single jurisdiction.  
Thus, it is important for Federal, State, local, and tribal jurisdictions to use the Scenarios as a way to:
1) Ensure planning process includes all necessary plans and procedures to  address prevention, protection, response, and recovery aspects of all potential hazards and threats.
2) Aid in the development of a jurisdiction’s multi-year exercise plan.
3) Enhance and strengthen regional collaboration, mutual aid agreements, inter-jurisdictional and intergovernmental relationships, and interoperability of equipment and systems.

## Universal Task List (UTL)

**A detailed listing of tasks needed to prevent, protect against, respond to, and recover from major events**

**FOUR MISSION AREAS.  Tasks needed to prevent, protect, respond, and recover**
**ONE COMMON LANGUAGE.  A common language and reference system for all users **
**A COMPREHENSIVE REFERENCE. 1,600 tasks that need to be performed by all disciplines across all levels of government and the private sector  **

**No single jurisdiction or agency is expected to perform every task**

**Notes:**
Talking Points
Following the development of the Planning Scenarios, nationally representative stakeholder teams identified required tasks by individual scenario.  These tasks were then combined into an integrated menu called the Universal Task List (UTL).
The UTL lists “what” tasks need to be performed, while reserving the flexibility to determine “who” should perform them and “how.”
 The UTL:
Provides a common language and reference system for all users.  
Identifies approximately 1,600 unique tasks.
No single jurisdiction is expected to perform every task.  Rather, individual jurisdictions will need to assess and select the tasks based on their own specific roles, missions, and functions.

## Target Capabilities List (TCL)

**A description of 36 target capabilities**

**THE CAPABILITIES THE NATION NEEDS.  Developed from scenario/task analysis, and stakeholder planning sessions**
**COVERING THE PREPAREDNESS SPECTRUM.  From  planning to incident management to search and rescue to economic recovery**
**TODAY -- VERSION 1.1.  Capability summaries with a broad description, desired outcome, capability elements, capability and performance measures**
**OCTOBER 1, 2005 – TARGET LEVELS.  Refined capability summaries with *****target levels***** apportioned by *****tier***** **

**Notes:**
Talking Points
36 Target Capabilities have been identified for version 2.1.
Target Capabilities provide the means to achieve a measurable outcome resulting from performance of one or more of the critical tasks.  
Capabilities are built through a combination of Personnel, Planning, Organization and Leadership, Equipment and Systems, Training, and Exercises, Evaluations, and Corrective actions.  
As with the UTL, no single jurisdiction or agency is expected to have sufficient levels of every capability needed for a major event.

## The Target Capabilities

**Common**
**	****Planning**
**	****Interoperable Communications**
**Prevent Mission Area**
**	****Information Collection and Threat Detection**
**	****Intelligence Fusion and Analysis**
**	****Information Sharing and Collaboration**
**	****Terrorism Investigation and Apprehension**
**	****CBRNE Detection**
**Protect Mission Area**
**	****Risk Analysis**
**	****Critical Infrastructure Protection**
**	****Food and Agriculture Safety and Defense**
**	****Public Health Epidemiological Investigation and Testing**
**	****Citizen Preparedness and Participation**
**Respond Mission Area**
**	****On-Site Incident Management**
**	****Emergency Operations Center Management**
**	****Critical Resource Logistics and Distribution**
**	****Volunteer Management and Donations**
**	****Worker Health and Safety**
**	****Public Safety and Security Response**

**Respond Mission Area (cont)**
**	****Firefighting Operations/Support****	**
**	****WMD/Hazardous Material Response and Decontamination**
**	****Explosive Device Response Operations**
**	****Animal Health Emergency Support****	**
**	****Environmental Health and Vector Control**
**	****Citizen Protection: Evacuation and/or In-Place Protection**
**	****Isolation and Quarantine**
**	****Search and Rescue**
**	****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)**
**	****Fatality Management**
**Recover Mission Area**
**	****Structural Damage Assessment and Mitigation**
**	****Restoration of Lifelines**
**	****Economic and Community Recovery**
**	**

**Notes:**
Talking Points
The Interim National Goal establishes seven National Priorities, four of which are “capability-specific.”  Capabilities that link to a National Priority have been notated with a star.
For FY05, jurisdictions should initially focus on assessing the capabilities that have been established as a National Priority.  For FY06, jurisdictions should prioritize resources towards these seven target capabilities

##   Using the TCL

-   Using the TCL

**Use the TCL as a planning tool:**
**Define *****your *****role in the national web of homeland security capabilities**
**Better understand current and emerging priorities **
**Establish priorities for use of limited resources**
**Develop mutual aid agreements **
**Refine your Homeland Security Strategy**

**Between now and October 1, 2005, familiarize yourself with the capability summaries, emphasizing those linked to a National Priority.  States and Urban Areas should utilize the summaries when developing an addendum to their FY06 Homeland Security Strategies.**

**Notes:**
Talking Points
Each of the 36 capabilities have a summary that contains a broad description, outcome, capability elements, capability measures, and performance measures.  Additionally, each summary lists the critical tasks, ESF Annex, linked capabilities, and references that were consulted to develop the capability.
 Entities should use the current TCL version as a planning tool to:
 Define roles and responsibilities in national network of homeland security capabilities
 Define required capabilities
 Establish priorities within a resource-constrained environment
 Develop mutual aid agreements
States and Urban Areas should familiarize themselves with the capability summaries between now and October 1, 2005, focusing on those seven that are identified in the National Priorities.
TCL should be specifically referenced when developing an addendum to FY06 homeland security strategies.

## Example:  Using the Planning Tools For FY 2005 Planning

**A CAPABILITY LINKED TO A NATIONAL PRIORITY.  The Explosive Device Response Operations capability is linked to the Strengthen CBRNE Detection, Response, and Decontamination Priority **
**NOT A NEW REQUIREMENT.  FY05 Grant Guidance already requires UASI grant recipients to begin developing a prevention and response exercise based on the IED Scenario**

**Example:  The Explosive Device Response Operations Capability**

## Example: Start With the Scenarios

| Casualties | 100 fatalities; 450
Hospitalizations |
| --- | --- |
| Infrastructure Damage | Structures affected by
blast and fire |
| Evacuations/
Displaced
Persons | Evacuation of immediate
area results in
approximately 5,000
people seeking shelter |
| Contamination | None |
| Economic
Impact | Millions of dollars |
| Potential for
Multiple Events | Yes |
| Recovery | Weeks to months |

**The Explosive Device Response Operations Capability was largely derived from Scenario 12: Bombing Using IEDs**

**Scenario consequences provide the parameters for: **
**Reviewing current plans and   procedures **
**Strengthening mutual aid and regional agreements **
**Validating tasks and capabilities**

## Example: Review the UTL

**The Explosive Device Response Operations Capability is linked to the Respond to Hazard Function Area in the UTL**

**Review the critical tasks identified for the Explosive Device Response Operations capability**
**Review existing plans to ensure that the tasks are addressed**
**What training requirements do you need to address?**
**What exercise objectives will you focus on?**

**Critical Tasks**
**Conduct terrorist weapon detection, defusing and disposal**
**Coordinate explosive device detection, defusing, and disposal operations**
**Provide support for explosive device (IED) detection, identification, render safe, and disposal operations**

**Steps in analysis**

## Example: Apply the TCL

**The Explosive Device Response Operations capability can provide useful insights for exercise development and planning**** **

**Steps to take**
**Review the Capability **** Summary, Capability Measures **** and Performance Measures**
**Review current Capability**** Elements**
**Assess your current capability   **** in light of these measures and **** elements; update your strategy **** as appropriate**

_**Capability Measure**_
** ****Number****	****Of personnel trained  ****	****	****and equipped for ****	****	****	****explosive detection ****	****	****and response**
_**Performance Measure**_
**Time****	****	****From requesting ****	****	****	****explosives ordnance ****	****	****operations resources****	****	****to the arrival of EOD ****	****	****teams on site**
_**Equipment and Systems Element**_
**Certification****	****Bomb squad ****	****	****	****equipment ****	****	****	****consistent with ****	****	****	****certification level**** **

## A Look Ahead: FY 2006

**	**
**Apportion responsibility to develop and maintain capabilities among levels of government**
**  **
**Apportion responsibility among groups of jurisdictions, organized by Tiers based on risk factors**
**Strengthen and refine Capability Measures and Performance Measures**
**Develop Conditions and Standards for critical tasks that apply to each capability**

**Version 2.0 of the TCL will:**

**Notes:**
Talking Points
Additional work is needed to meet the HSPD-8 requirement to 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.”
Version 2.0 of the TCL will be released on October 1, 2005:
 Target levels
 Tiers
 Measures and Elements
 Task Conditions and Standards

## Target Capabilities List - Timeline

**Early June 2005 **
**June-July **
**Late July **
**August  **
**October 1**

**Stakeholder Workshop to define requirements and process**

**Capability Work Groups to define capability target levels, tiers, measures, and elements**

**Stakeholder Workshop to provide recommendations from work groups**

**Broad stakeholder review and input**

**Release TCL: Version 2.0 **

## For More Information

**An HSPD-8 information website that includes drafts of the UTL and TCL has been posted at **_**http://www.ojp.usdoj.gov/odp/assessments/hspd8.htm**_** **
**The UTL and TCL is available on the ODP Secure Portal at **_**https://odp.esportals.com**_** and *****Lessons Learned Information Sharing *****at***** ***_**http://www.llis.gov**_
**Input on UTL and TCL can be sent to:**** ****utl@dhs.gov**

**Notes:**
Talking Points
I want to close by reiterating what my fellow panel members have conveyed this morning.  
HSPD-8 has dramatically transformed the way the Nation prepares to prevent, protect against, respond to, and recovers from major events.  The work completed thus far would not have been possible if not for the efforts of our State and local stakeholders.
As we move forward in developing the UTL and TCL, we will continue to make every effort to include our stakeholders throughout every step of the process and to incorporate the feedback, comments, and suggestions into the final documents.
I encourage you to use LLIS, the ODP Secure Portal, and the HSPD-8 information webpage as a method to keep up-to-date on the most recent drafts of the documents and as a way to provide feedback to us.

## National Preparedness Goal

**National Preparedness Goal**
**Rollout Conference**

## HSPD-8:  Standards for Assessments and Strategies

**David Kaufman**
**Deputy Director, Preparedness Programs Division, Office of State and Local Government Coordination and Preparedness**

**Notes:**
Good afternoon.  As you have heard this from our speakers this morning, HSPD-8 is changing the way in which we do business and how we build capabilities to increase the Nation’s overall level of preparedness.

This afternoon, I will be speaking to you about the specific HSPD-8 requirements relating to assessments and strategies.  

## HSPD-8 Requirements

**T****he National Preparedness Goal will establish “*****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.****”*

**As stated in HSPD-8...**

**Notes:**
In support of the National Preparedness Goal, HSPD-8 requires the development of “standards for preparedness assessments and strategies.”

HSPD-8 presents a major shift in how we think about preparedness nationally

Will help empower federal, state, and local decision-makers to make informed resource allocation decisions

Currently at the beginning of a long-term, iterative process

Keys to success in implementation:

Understanding the benefits that a common view of preparedness, goals, and milestones will bring

Using existing assessments and strategies as a bridge to HSPD-8 requirements

Maintaining collaborative working relationship between DHS, states, locals to help identify both challenges faced and potential solutions

## Assessments, Strategies, and HSPD-8

**End of FY05**
**Part of FY06 Grant Application**
**	**
** ****CY2005 Selective Sampling**
**	**
**FY 2006 and 2007**
**	**

**Guidance on FY05 and FY06 requirements is forthcoming**

** ****Updating Homeland Security Strategies**

-  **Capability/Needs Assessment**

-  **Capability/Needs Assessment**

-  **Performance Assessment**

**Notes:**
The National Preparedness Guidance includes requirements related to assessments and strategies that fall within 5 categories:

1. Updating existing State and Urban Area Homeland Security Strategies

2. Compliance Assessment – this assesses Federal, State, local, and tribal completion of the requirements included in the National Preparedness Guidance.  

3. Needs Assessment – this assessment identifies and prioritizes what resources are needed to fill capability gaps and deficiencies. 

4. Capability Assessment – this assesses current capabilities against target levels of capability to be defined in the Target Capability List. 

5.  Performance Assessment – this assessment evaluates the ability to perform the tasks associated with the capabilities. 

Will talk more in depth about all of these issues and the near/long term requirements.

KEY MESSAGE: intent is to put your mind at ease; tell you what we know for the near-term; and solicit your help for shaping the long-term solutions.

## Near-Term: Updating Strategies

**States and Urban Areas will align goals and objectives in homeland security strategies with the seven National Priorities**
**Due date: September 30, 2005**
**Element of iterative strategic planning process**
**SLGCP will release specific guidance on how to go about updating the strategies**
**In meantime, review Goal and Guidance to start drawing links between existing plans and National Priorities**

**Notes:**
Not a wholesale rewrite of your strategies

Take what you’ve already built and start to draw connections to the National Priorities

Strategic planning is an iterative process; no strategic plan is ever “done”; this step is just part of that ongoing process.

Build this requirement into the existing strategy evaluation process that you’re using to review and update your strategies.

More specific guidance explaining how States and Urban Areas should align their goals to the seven National Priorities will be released in May.

POTENTIAL ISSUES
Use the DCT to update the strategies; tool opened in summer 2005

## Near-Term: Compliance Assessment

**Show compliance with requirements included in the National Preparedness Guidance**
**Checklists consolidate all requirements into simple, easy-to-use list**
**Included as appendix to Guidance**
**Checklists will be submitted with FY 2006 grant applications**

**Notes:**
The HSPD-8 requirements for Year 1 are included in the National Preparedness Guidance.  

These requirements are all consolidated in checklists found in the Appendix of the Guidance.

Example categories in compliance checklist: Capabilities Based Planning;, each of the 7 National Priorities, and Preparedness Assessments and Strategies

Completing the compliance checklists will provide you with an understanding of your baseline.

They will also allow us to understand the status of implementation of HSPD-8 and where we can focus our efforts on helping you meet the requirements.

Checklists also serve as a roadmap for moving forward with implementation of HSPD-8 requirements

Compliance checklists will be submitted with FY 2006 HSGP applications.

Example question: Have State entities used the National Planning Scenarios as a reference to help them evaluate and improve their capabilities to perform their assigned missions and tasks in major events?

POTENTIAL ISSUES
Required component of FY 2006 application

## Near-Term: Needs Assessment

**Evaluation of capabilities and investments will be a requirement for FY 2006 grant applications**
**SLGCP will translate existing **capabilities** and **investment** information into new context of target capabilities for states**
**Use that data to frame an analysis of the current state of the homeland security program**
**States will make the business case for investments needed in FY 2006 to accomplish strategic goals and objectives**
**SLGCP will provide additional guidance and detailed instructions**

**Notes:**
Translating capabilities and investment data will allow states to see their existing information through the new HSPD-8 lens

Capabilities Assessment Data: States should review that information and consider areas not addressed in most recent assessment, e.g., prevention. States need to start filling in those blanks.

Investments: consider homeland security investments from all sources, not just SLGCP assistance

POTENTIAL ISSUES
Will have adequate time (ie, several months) to meet needs assessment submission deadline
This is not a full-blown reassessment, rather it is an updating and translation of existing data, viewed within a new framework
Needs assessment will be required component FY 2006 grant applications

## Long-Term: Capability Assessment

**Build a model process that incorporates peer review, onsite evaluation, and assessment of entire homeland security program**
**Test process in representative sample of States and Urban Areas during CY 2005**
**End product will fold tiers and target levels of capability into validated peer-review assessment process **

**Notes:**
As all the near-term requirements are unfolding, we will be working CONCURRENTLY to build out a robust national capability assessment process

Once target levels of capability have been defined, the Nation will assess its capabilities against these target levels to determine where it stands and what needs exist to fill capability gaps and deficiencies.

Testing process in CY 2005, and using test case data to help inform first annual report to the president

Will expand to national roll-out in the future as the centerpiece of the national assessment system

POTENTIAL ISSUES
No comprehensive capabilities assessment due in 2005
Will engage stakeholders in development and pilot process

## Long-Term: Performance Assessments

**Homeland Security Exercise and Evaluation Program (HSEEP) will form the foundation of performance assessment process**
**DHS updating HSEEP guidelines to integrate the Universal Task List and the Target Capabilities List**
**Performance Assessments will be used to help validate achievement of target capability levels**

**Notes:**
Performance Assessments will be combined with the Capability Assessment process to inform annual reports to the President 

BOTTOM LINE: Keep doing what you’re doing.  The burden is on DHS to link existing HSEEP doctrine to the TCL, UTL, etc.

## Conclusion

**National Preparedness Goal and National Preparedness Guidance have built the framework**
**Much work ahead to build out the national assessment system**
**SLGCP will continue to collaborate with State, local, and tribal stakeholders to create a successful system**
**Your assistance, feedback, and constructive criticism is crucial**

**Notes:**
In conclusion, we will be looking to you to help shape the HSPD-8 assessments and strategies going forward.  We will actively solicit your feedback and request your participation in working groups.  We look forward to continuing to work with you as we implement HSPD-8.   

Thank you.

## National Preparedness Goal

**National Preparedness Goal**
**Rollout Conference**

## Overarching Priorities:

- Implement the National Incident Management System and National Response Plan

**Carole Cameron**
**Executive Officer, NIMS Integration Center**

**Notes:**
Good afternoon.  As you have heard this from our speakers this morning, HSPD-8 is changing the way in which we do business and how we build capabilities to increase the Nation’s overall level of preparedness.

This afternoon, I will be speaking to you about the specific HSPD-8 requirements relating to assessments and strategies.  

## Implement the NIMS and NRP

**HSPD-5  &  HSPD-8 **
**Established national initiatives that develop a common approach to National Preparedness and Response**
**Complementary Presidential Directives that reinforce each other**
**Applicable to Federal, State, tribal, local governments, the private sector and nongovernmental organizations  **

## Implement the NIMS and NRP

**Represents core set of doctrines, concepts, terminologies**
**Consistent nationwide approach for Federal, State, tribal,  local governments, the private sector and nongovernmental organizations to prepare and respond**
**Uses framework of NIMS**
**Standardizes Federal incident management actions **

-  **NIMS:**

**NRP:**

## Implement the NIMS and NRP

**All 3 work together to define what needs to be done, how it should be done and how well it needs to be done.**
**Target Capabilities List (TCL)**
**Establish measurable priorities and targets **
**	****(*****Implement the NIMS and NRP - applies to all 36 Capabilities*****)**
**Strengthen preparedness capabilities of Federal, State, tribal, local governments, the private sector and nongovernmental organizations **

## Implement the NIMS and NRP

**NIMS Integration Center (NIC):**
**Strategic direction for and oversight of NIMS/NRP**
**Supports NIMS implementation through:**
**Standards Identification**
**Guidance and publications**
**Compliance and evaluation tools (NIMCAST)**
**Mutual aid, resource management, credentialing**
**National Standard Training Curriculum**

## Implement the NIMS and NRP

**FY 2005 NIMS State-level Compliance:**
**Leverage grant funding to meet NIMS compliance**
**Institutionalize Incident Command System **
**Incorporate NIMS into EOPs **
**Incorporate NIMS into training, exercises**
**Promote Intrastate mutual aid agreements**
**Provide technical assistance to local govts.**
**Certification process under development**
**Strategy Update – builds on NIMS compliance; specific guidance coming this summer (ODP).**

## Implement the NIMS and NRP

**The NIMS Integration Center:**
**Gil Jamieson, Acting Director**
**Web Page: **_**www.fema.gov/nims**_
**E-Mail: **_**NIMS-Integration-Center@dhs.gov**_
**NIMS Training: **_**http://training.fema/emiweb/IS/is700.asp**_
**NRP Training: **_**http://training.fema/emiweb/IS/is800.asp**_
**Main Number: 202-646-3850**
**Mailing Address: NIMS Integration Center, 500 C Street SW,**
**                              ****Suite 706, Washington, DC 20472 **
** **

## National Preparedness Goal

**National Preparedness Goal**
**Rollout Conference**

## Overarching Priorities:Expanded Regional Collaboration

**David Kaufman**
**Deputy Director, Preparedness Programs Division, Office of State and Local Government Coordination and Preparedness**

## Why Expand Regional Collaboration?

**Discussion from the Interim Goal**
**Extensive regional collaboration required**
**Risk-based approach is necessary**
**Investment prioritization toward high-risk areas**
**Regional approaches increase return on investment**

**Notes:**
Why Expanded Regional Collaboration is a National Priority...
Major events will invariably have regional impact and prevention, protection, response and recovery missions will require extensive regional collaboration.

Our homeland security fundamentally depends on our commitment to secure those areas that are of the highest interest to our enemies and of the highest concern to our country.  

We must prioritize our investments so that those high-risk areas are as secure as we can make them as soon as possible.

Regional approaches increase return on investment by sharing resources and collaboratively building and supporting jointly needed capabilities.

## Requirements

**Overview**
**Requirements apply initially to UASI areas and at least 1 metropolitan area in States with no UASI area **
**Planning considerations provided, but no “one size fits all” requirements from DHS**
**Organize regionally based on potential effects and needed capabilities**
**Actions**
**Assess current jurisdictional / geographic makeup of region**
**Consider alternatives**
**Identify a preferred alternative**
**Adjust and update plans, strengthen mutual aid, and begin regional training and exercises**

**Notes:**
Background
Initial activities focus on expanding regional collaboration associated with UASI jurisdictions, as well as designated multi-jurisdictional metropolitan areas identified by those States with no UASIs
Initial activities are a first step in a larger process to expand regional collaboration in all US areas
This priority is a necessary precursor to the application of the Capabilities-Based Planning process (particularly the Tier System under development), and it facilitates effective planning, resource allocation, and execution of capabilities required for major events.
Many States have already sub-State regions of some sort. DHS strongly recommends that all States develop sub-State regions that collectively cover the entire geography of the State. 
States are initially required to lead an effort to assess the current geographic & jurisdictional composition of the regions associated with each designated UASI Urban Area as well as at least 1 designated multi-jurisdictional metropolitan area in States with no UASI
Each State is unique -- rather than mandating a single approach, National Preparedness Guidance provides certain planning considerations for States to guide the creation or strengthening of their sub-State regions.  
These planning factors should be guided by one overarching strategic factor – the effects of major events and the associated required capabilities necessary to prevent and respond to such events should drive the size and jurisdictional makeup of sub-State regions

Specific Requirements
Consider effects from major events and associated capabilities required and alternative regional options (i.e., current, MetroSA, radius)
Analyze alternatives (use factors such as total pop., pop. density, critical infra., location of response assets, etc.)
Select a preferred jurisdiction and geographic makeup for sub-State region
Adjust and update plans, strengthen mutual aid, and begin regional training and exercises
DHS will complete development of the Tier System and include specifics with the final version of the National Preparedness Goal

## How SLGCP Supports the Priority

**Grant Program Requirements & Management**
**Priorities align with FY05 HSGP Guidance**
**States and sub-grantees use FY05 HSGP funding to address priorities**
**Regional collaboration is a key tenet of our grant programs**
**Grant programs support planning and mutual aid development**
**State Assessments and Strategies**
**Comprehensive State and Urban Area Homeland Security Assessments and Strategies submitted by all States in 2003**
**Strategy addenda required by September 30, 2005 to align goals and objectives with the seven National Priorities outlined in the National Preparedness Goal**

**Notes:**
Grant Program Requirements & Management
Our grant programs (as well as our sister programs at HHS) – specifically UASI and the State formula program – support and encourage regional approaches
Our major grants specifically allow funding for planning as well as the development of mutual aid agreements

SHSAS Process
States and Urban Areas will develop addenda to update their homeland security strategies. 
Purpose is to align state/urban area strategies with the 7 National Priorities 
Strategy addenda due by September 30, 2005
Assessment and strategy requirements addressed in greater detail in separate presentation

## How the Priority Ties to the Goal and Target Capabilities

**Expanded Regional Collaboration is an overarching priority **
**Essential to success of preparedness initiatives**
**Critical for Capabilities-Based Planning Process**

**Notes:**
Expanded Regional Collaboration is a foundational, cross cutting priority that supports all 36 capabilities

Pre-event planning and operational integration and coordination at the regional level will help ensure more effective prevention and response activities

Addressing this priority will help achieve NIMS and NRP requirements

This priority is a necessary precursor to the application of the Capabilities-Based Planning process (particularly the Tier System), and facilitates effective planning, resource allocation, and execution of capabilities required for major events.

Once fully developed, the Tier System will require States to designate regional groupings of jurisdictions at the sub-State level that collectively cover the entire geography of the State. 

## National Preparedness Goal

**National Preparedness Goal**
**Rollout Conference**

## Overarching Priorities:Implement the Interim National Infrastructure Protection Plan

**Jim Caverly**
**Information Analysis and Infrastructure Protection Division**

- Overarching Priorities:Implement the Interim National Infrastructure Protection Plan

**Notes:**
All levels of government have a shared stake and a shared responsibility in homeland security.
An important part of that shared responsibility is national preparedness --collectively achieving and sustaining the capability to prevent terrorism, to protect against its effects, and to respond and recover effectively from attacks and natural disasters that do occur. 
A concerted effort is now underway to broaden the focus of preparedness efforts to a larger National Preparedness mission that encompasses prevention, protection, response and recovery.
National preparedness efforts and activities will focus on building core capabilities to manage a range of potential threats and meet identified national priorities in a resource-constrained environment.
The ongoing threat of terrorist attacks and natural disasters requires a national preparedness system in which Federal, State, local and tribal entities have requisite capabilities in place, communicate easily, and coordinate resources effectively.
A key concept for the development and sustainment of capabilities in a common approach is a process called capabilities-based planning.  Let me tell you all about it...

## Briefing Topics

**National Infrastructure Protection Plan Overview**
**National Infrastructure Protection Plan Framework**
**Sector Structure**
**Interim National Infrastructure Protection Plan**
**Relationship to National Preparedness Goal**
**Next Steps**

## NIPP Overview

**The President, under HSPD-7, directed the Department of Homeland Security to lead, integrate and coordinate a comprehensive **_***national plan***_** for critical infrastructure and key resources protection**
**DHS is working to engage a broad base of Federal, State, local, tribal and private sector partners on NIPP development**
**Critical infrastructure protection is a national effort requiring shared planning and responsibility between private sector and government**

## NIPP Framework

**The NIPP and supporting Sector-Specific Plans describe the *****processes***** undertaken in each sector to:**
**These activities are integrated across sectors and address the physical, human and cyber elements of critical infrastructure**
**DHS released the Interim NIPP on February 9, 2005 beginning a 270-day interim period to seek additional stakeholder involvement**
**DHS will continue to work with all stakeholders to further develop the NIPP and Sector-Specific Plans**

**Notes:**
NIPP is key requirement of HSPD-7

NIPP provides overall framework for coordination of the national CIP program led by DHS
Lays out roles and responsibilities
Describes DHS’s coordination of cross-sector interdependency analysis
Outlines the process for cross-sector prioritization of national critical infrastructure/key resources

17 Sector-Specific Plans have used the DHS-developed framework to describe processes to:
Identify critical infrastructure/key resource assets
Assess vulnerabilities
Prioritize assets
Develop and implement protective programs
Measure progress against metrics

## Sector Structure

**enhance protection across sectors**

**Federal Sector-Specific Agencies**

## The Interim NIPP provides the overall framework for a coordinated national CIP program:
National Goals, Framework and Actions – builds on the Homeland Security Act of 2002 and President’s National Strategies
Vulnerability Reduction Program – describes the use of the risk management framework in the absence of specific threat information
Threat-initiated Actions – describes the use of the framework in response to specific threat information
Roles and Responsibilities – describes key stakeholder roles and responsibilities for NIPP implementation and identifies information coordination and exchange mechanisms
Integration with Other Plans – describes NIPP relationships to the National Response Plan and other Federal plans

_**National Goals, Framework and Actions**_** – builds on the Homeland Security Act of 2002 and President’s National Strategies**
_**Vulnerability Reduction Program**_** – describes the use of the risk management framework in the absence of specific threat information**
_**Threat-initiated Actions**_** – describes the use of the framework in response to specific threat information**
_**Roles and Responsibilities**_** – describes key stakeholder roles and responsibilities for NIPP implementation and identifies information coordination and exchange mechanisms**
_**Integration with Other Plans**_** – describes NIPP relationships to the National Response Plan and other Federal plans**

- Interim NIPP

**Notes:**
NIPP is key requirement of HSPD-7

NIPP provides overall framework for coordination of the national CIP program led by DHS
Lays out roles and responsibilities
Describes DHS’s coordination of cross-sector interdependency analysis
Outlines the process for cross-sector prioritization of national critical infrastructure/key resources

17 Sector-Specific Plans have used the DHS-developed framework to describe processes to:
Identify critical infrastructure/key resource assets
Assess vulnerabilities
Prioritize assets
Develop and implement protective programs
Measure progress against metrics

## Critical Infrastructure Protection is a key component of the National Preparedness Goal:

NIPP implementation is one of the seven “National Priorities” 

Critical Infrastructure Protection is one of the 36 Critical Capabilities 

Going forward, Critical Infrastructure Protection will be crucial in determining the levels of capability needed to achieve the national preparedness goal

**NIPP implementation is one of the seven “National Priorities” **
**Critical Infrastructure Protection is one of the 36 Critical Capabilities **
**Going forward, Critical Infrastructure Protection will be crucial in determining the levels of capability needed to achieve the national preparedness goal**

- Relationship to the Goal

**Notes:**
NIPP is key requirement of HSPD-7

NIPP provides overall framework for coordination of the national CIP program led by DHS
Lays out roles and responsibilities
Describes DHS’s coordination of cross-sector interdependency analysis
Outlines the process for cross-sector prioritization of national critical infrastructure/key resources

17 Sector-Specific Plans have used the DHS-developed framework to describe processes to:
Identify critical infrastructure/key resource assets
Assess vulnerabilities
Prioritize assets
Develop and implement protective programs
Measure progress against metrics

## Conduct stakeholder outreach and coordination:
To seek broader engagement with private owners and operators, State and local, and Federal agencies of infrastructure on the Interim NIPP
Further develop and finalize the NIPP and Sector-Specific Plans
Implement and measure progress and performance efforts

**To seek broader engagement with private owners and operators, State and local, and Federal agencies of infrastructure on the Interim NIPP**
**Further develop and finalize the NIPP and Sector-Specific Plans**
**Implement and measure progress and performance efforts**

-  Next Steps

## If you have a sector of particular importance, contact your State Homeland Security Director

Participate – As councils are developed and the NIPP is finalized

**Participate – As councils are developed and the NIPP is finalized**

-  Next Steps

## National Preparedness Goal

**National Preparedness Goal**
**Rollout Conference**

## Capability-Specific Priorities:Strengthen Information Sharing and Collaboration Capabilities

**Scott Kelberg**
**Acting Division Director, Technical Assistance Division, Office of State and Local Government Coordination and Preparedness**

## Based on the Information Sharing and Collaboration capability from the Task Capabilities List
Two year time frame directed by the President and Congress 
Facilitate horizontal and vertical information sharing and collaboration activities

**Two year time frame directed by the President and Congress **
**Facilitate horizontal and vertical information sharing and collaboration activities**

- Capability Overview

***Strengthen information sharing and collaboration capabilities to enable effective prevention, protection, response, and recovery activities***

## Capability Overview

**This information will serve as a guide for efforts to:**
** ****Rapidly identify both immediate and long-term as well ****  as emerging threats**
** ****Identify persons involved in terrorism-related activities**
** ****Guide implementation of information-driven and risk-****  based prevention, response, and continuity planning ****  efforts**

## Federal Initiatives

**Homeland Security Information Network (HSIN)**
**Department of Justice (DOJ) Law Enforcement Information Sharing Program (LEISP)**
**National Joint Terrorism Task Force (NJTTF)**
**Multi-jurisdictional Prevention and Response Plan (MPRP) Development**

## Multi-jurisdictional Prevention and Response Plan (MPRP) Development 

**FY05 Homeland Security Grant Program (HSGP) requirement for urban/metropolitan areas**
**Develop or modify prevention and response plan based on the Homeland Security Council National Planning Scenario for Improvised Explosive Devices (IED)**

## MPRP Implementation

_***Guidance***_
** ****Stand-alone tool-kit enabling jurisdictions to develop or ****  update individual prevention and response plans **
** ****Identify requirements that materially assist in preventing and ****  responding to incidents involving IEDs**
_***Technical Assistance (TA)***_
** ****TA will be available to all interested jurisdictions to assist in ****  guidance implementation**
_***Assessment***_
** ****Each jurisdiction will receive a detailed blueprint for ****  increasing prevention and response capabilities **
** ****Assists urban areas in actively tracking progress toward the ****  capability specific priorities, tasks, and capabilities**

## MPRP Timeline

**MPRP Guidance will be released in May 2005**
**Technical assistance will be available**
**Jurisdictions will have one year from the release of the MPRP Guidance to develop their plan**

## National Preparedness Goal

**National Preparedness Goal**
**Rollout Conference**

## Capability Specific Priorities:Strengthen Interoperable Communications Capabilities

**Juan Otero**
**Deputy Director, OIC and SAFECOM, Science and Technology Directorate**

**Notes:**
Good afternoon

The reason we have come here today is to discuss interoperable communications, and I will be able to specifically discuss wireless communications interoperability.

Wireless interoperability is the ability of public safety service and support providers to talk with each other via voice and data:
On demand 
In real time 
When needed
When authorized
Improves the ability of public safety practitioners to reduce the loss of life and property in emergency situations
Facilitates rapid and efficient interaction among all public safety organizations
Provides immediate and coordinated assistance in day-to-day missions, task force operations, and mass-casualty incidents

## What is Interoperable Communications?

**on demand **
**in real time **
**when needed**
**when authorized**

**Notes:**
Wireless interoperability is necessary to—
Improve the ability of public safety officers to save lives and property
Facilitate rapid and efficient interaction among all public safety organizations
Provide immediate and coordinated assistance in day-to-day missions, task force operations, and mass-casualty incidents

## Lack of Interoperability Impacts Communities

**Notes:**
The distributed nature of Public Safety in the U.S. makes it difficult to effectively  plan, coordinate, and share communications resources, resources that historically have been perceived as unique to each individual agency.
Each Chief of Police is Chairman of Joint Staff/Each fire chief disagrees
85% of fire personnel, nearly as many EMTs are volunteers with elected leadership
Procurement rules vary by jurisdiction/FCC licenses

## Five Key Challenges

**Notes:**
It is important to understand that the process of achieving national interoperability cannot be completed overnight, but important interim measures that establish frameworks for achieving that goal are already in place through the Office for Interoperability and Compatibility (OIC)

## Office for Interoperability and Compatibility (OIC)

**The Office for Interoperability and Compatibility (OIC) was established to serve as the overarching office within DHS to strengthen and integrate interoperability efforts to improve local, tribal, state and federal public safety preparedness and response. OIC, as a practitioner-driven office, is strengthening public safety’s ability to work together to protect lives and property. Three areas of focus:**
**Communications (SAFECOM)**
**Training **
**Equipment**

**Notes:**
OIC is the first practitioner-driven, national office designed to coordinate and standardize all interoperability efforts for the public safety community across all levels of government.
OIC Responsibilities:
Support the creation of interoperability standards
Establish a comprehensive research, development, testing, and evaluation (RDT&E) program
Identify and certify all DHS programs that address interoperability issues
Integrate coordinated grant guidance 
Oversee the development and implementation of technical assistance 
Conduct pilot demonstrations/technology transfer
Create an interagency interoperability coordination council (IICC) 
Establish an effective outreach program

SAFECOM, a program within the DHS Science and Technology Directorate, Office for Interoperability and Compatibility (DHS/S&T/OIC), is the umbrella program within the Federal government that coordinates the efforts of Federal, State, local, and tribal public safety agencies to improve public safety response through more effective, efficient, interoperable wireless communications.  SAFECOM encourages a collaborative planning process to facilitate the development of other statewide strategic plans because it builds support at all levels of government.

## Supporting the Interoperability Priority

**OIC interim frameworks that support the priority include:**
**Interoperability Continuum**
**Interoperability Baseline Initiative**
**Common Federal Grant Guidance**
**Statement of Requirements (SoR)**
**Acceleration of Standards Process**
**Statewide Communications Interoperability Planning (SCIP) Methodology**

**Notes:**
 SAFECOM has promoted the following frameworks which I will discuss in further detail:
Interoperability Continuum
Interoperability Baseline Initiative
Common Federal Grant Guidance
Statement of Requirements (SoR)
Acceleration of Standards Process
Statewide Communications Interoperability Planning (SCIP) Methodology

## Interoperability Continuum

**Notes:**
As you see, the Continuum identifies five critical elements of success that must be addressed to develop a sophisticated interoperability solution. 
governance, 
standard operating procedures, 
technology, 
training and exercises, 
and usage of interoperable communications

Making progress in all aspects of interoperability is essential, since the elements are interdependent.  Therefore, to gain a true picture of a region’s interoperability, progress along all five elements of the Continuum must be considered together.  For example, when a region procures new equipment, that region should also plan training and conduct exercises to make the best use of that equipment.  

The brochure you have in your packets provides even greater detail on each of the key elements.

It is available our website at www.safecomprogram.gov.

## Interoperability Baseline Initiative

**Notes:**
To get a snapshot of the where the nation is along the five elements of the Continuum, SAFECOM has initiated the Interoperability Baseline.

This initiative was started February of this year, we are currently in Phase 2.  We have drafted a descriptive and measurable definition for public safety interoperability and we will be presenting to regional focus over the next couple of months for validation and upgrades.

Once we have completed this project we will have a tool that communities across the nation can use to measure their interoperability capabilities.

## Guidance for Interoperability

**Grant Guidance**
**SAFECOM has provided common grant guidance to Federal agencies to assist in planning and implementing the community’s interoperability solutions.  Grant guidance provides Federal grant dollar criteria to avert the creation of public safety communications systems stovepipes at the local and state levels.**

**Notes:**
Grant guidance - provides Federal grant dollar criteria to avert the creation of public safety communications systems stovepipes at the local and state levels

ODP Tactical Interoperable Communications Plan – Tactical Interoperable Communications is defined as “rapid provision of on-scene incident based mission critical voice communications among all first responder agencies.
The template is divided into six sections, most of which coincide with the elements of the Interoperability Continuum.

## Statement of Requirements (SoR)

**Created to identify a basic set of functional and technological interoperable communications requirements **
**Focus is initially on public safety first responders, i.e. Law Enforcement, Fire, EMS.**
**Future versions will engage other stakeholders, i.e. Tribal, Federal, supplemental responders, and other agencies**
**Currently working on v1.1 to include additional functional requirements**

**Notes:**
Public Safety Statement of Requirements v.1.0
Focus is initially on public safety first responders, i.e. Law Enforcement, Fire, EMS.
Future versions will engage other stakeholders, i.e. Tribal, Federal, supplemental responders, and other agencies
Currently working on v1.1 to include additional functional requirements

## Acceleration of Standards Process

**Lifecycle Approach to Standards Development:**

**Notes:**
SAFECOM utilizes a structured lifecycle approach to standards development that employs continuously evolving common grant guidance to assist communities in planning and implementing their interoperability solutions

Stage 1. Define Public Safety Requirements:  define the operational and functional requirements for public safety practitioners 
Stage 2. Create Public Safety Architecture Framework (PSAF):  framework provides rules and guidance for developing and presenting architecture descriptions.
Stage 3. Identify Interface Specifications and Standards:  Once the PSAF is developed, the interface specifications and standards necessary for interoperability can be identified. 
Stage 4. Conduct Gap Analysis:  After thoroughly documenting public safety operational requirements, developing the PSAF, and reviewing the available standards, it will become apparent that pieces of the solution are still missing and need to be addressed.
Stage 5. Test and Evaluate:  As standards are identified and developed, it is prudent to test and evaluate (T&E) the configuration of interface specifications to determine if the best choices have been made and to mitigate risks associated with impractical or costly choices. 
Stage 6. Revalidate Requirements:  After an initial set of standards are outlined it is necessary to revalidate the requirements. 
Stage 7.  Implement Standards:  The set of standards developed through this approach allows architectures to be developed and deployed 
Finally, at each stage, the lessons developed will be applied as appropriate to the SAFECOM grant guidance, so that it can help move the Nation in the same direction the standards process is going.

## SCIP Methodology

**SAFECOM recently released the Statewide Communications Interoperability Planning (SCIP) Methodology, a tool that outlines a step-by-step planning process for developing a locally-driven, statewide strategic plan to enhance communications interoperability.  The SCIP methodology is the result of a collaboration between SAFECOM and the Commonwealth of Virginia in its development of a strategic plan for improving statewide interoperable communications.**

- Image fills this entire area
- (OR originates at the upperleft corner of the area outlined and is sized to the full width or height of this bounding box.)

**Notes:**
Using SAFECOM’s bottom-up approach, the Virginia planning process was driven by local and state public safety officials
Regional Focus Groups
Strategic Planning Session

Result: A collaborative, actionable plan that addresses the needs and challenges of Virginia’s public safety community as identified by Virginia’s public safety community. 

## National Preparedness Goal

**National Preparedness Goal**
**Rollout Conference**

## Capability-Specific Priorities:Strengthen Interoperable Communications Capabilities

- Capability-Specific Priorities:Strengthen Interoperable Communications Capabilities

**Dave Brannegan**
**Technical Assistance Division, Office of State and Local Government Coordination and Preparedness**

## Objectives

**Tactical Interoperable Communications Plan (TICP) Overview**
**Timeframe**
**HSGP requirements for a TICP for UASI locations and States**** **
**Metropolitan Areas**** **
**Helping these locations assess existing interoperable communications planning they have already undertaken or completed for incorporation into their TICPs**
**Interoperable Communications Technical Assistance Program (ICTAP)**
**Advising and supporting the locations, as request, on the interoperable communications aspects required in an exercise scenario for an IED incident**

## Tactical Interoperable Comms. Plan

***Defined as the rapid provision of on-scene, incident-based mission critical voice communications among all emergency responder (EMS, fire, and law enforcement) agencies, as appropriate for the incident, and in support of Incident Command and Operations Section personnel as defined in the NIMS model***
**Objective is to develop and test a plan to achieve adequate communication between incident commanders within an hour of an incident**
**Released in concert with the National Preparedness Guidance on April 1, 2005**
**Developed in coordination with the SAFECOM program**

## Timeframe

**Each urban area receiving FY05 UASI funds must develop a plan to achieve tactical interoperable communications across jurisdictions in the urban area and test the plan through the exercise activity required for the IED scenario. Each urban area has:**
**Six months to develop tactical interoperable communications plan**
**One year following plan submission to test it through multi-jurisdictional exercises**
**RapidCom 9/30 participants with previously developed plans need to submit and validate the plan through the exercise requirement**

## Metropolitan Areas

**If a state does not have a designated urban area, then it must identify a metropolitan area to develop and test the plan**
**Metropolitan area should be the same area tasked with developing a Multi-jurisdictional Prevention and Response Plan **
**Part of the HSPD-8 Implementation required by the FY05 HSGP guidance**

## Interoperable Communications Technical Assistance Program (ICTAP)

**Designed to enhance interoperable communications between local, state, and federal emergency responders and public safety officials**
**Goal is enable local public safety agencies to communicate as they prevent or respond to a CBRNE terrorist attack**
**Leverages other federal, state, and local interoperability efforts whenever possible to enhance state capacity for communication**
**All grantees are encouraged to request support through ICTAP**

## ICTAP Assistance Designated for TICP

**Three one-day regional training workshops on TICP Guidance in conjunction with the Office of Community Oriented Policing Services (COPS) Interoperable Communications Technology Program Workshop Series:**
**Western Region: April 13 in Denver, Colorado**
**Central Region: June 3 in Columbus, Ohio**
**Eastern Region: July 14 in Charlotte, North Carolina**
**ICTAP is available on a first-come, first serve basis to provide TA at no cost to States and Urban Areas**
**ICTAP staff available to assist in both the development and implementation of the TICP (policy, technical and operational) **
**Upon completion of TICP further assistance can be requested through ODP to support validation of the plan**
** **

## National Preparedness Goal

**National Preparedness Goal**
**Rollout Conference**

## Capability-Specific Priorities:Strengthen CBRNE Detection, Response, & Decontamination Capabilities

**Teresa Lustig**
**Chemical/Biological Countermeasures, Science and Technology Directorate**
**Mike Carter**
**Chief Scientist, Domestic Nuclear Detection Office**

## CBRNE Detection Goal

- Detection** .... **must deploy systems that are** ****cost-effective, robust, highly sensitive, specific, and integrated into a concept of operations**** ....**
**...**must include systems for both** ****rapid detection and rapid authentication and verification**** **of the identity and quantity of CBRNE materials.
**...**important to** ****ensure consistency of procedures** in training, interoperability, and where appropriate, information sharing to ensure timely and effective action, reach back, and use of information .....

##   Biological Monitoring Systems

-   Biological Monitoring Systems

**Wide area monitoring (detect-to-treat)**
** ****Phase 1 BioWatch, Phase 2 BioWatch increased sampling, to ****  networked sensors**
**Facility monitoring (detect-to-warn)**
** ****Simple triggers/low regret responses, to improved detect-to-****  warn sensors, to improved design of new facilities**
**Coordination with other national programs**
** ****With DoD force protection, with USPS Biohazard Detection ****  System, with EPA and DoD building protection programs**

**Wide Area**

##    Chemical Detection Systems

**Facility/Area monitoring**
** ****PROTECT for Transit/Facilities,  Autonomous Rapid Facility ****  Chemical Agent Monitor, Deployable Detection System (Special ****  Events)**
**Portable Detection Devices**
** ****Light-weight Autonomous Chemical ID system, Low volatility ****  Agent Surface Contamination Monitor**
**Development of other systems**
** ****Chemical Laboratory Response Network, Mobile Lab**

**+**

**Notes:**
PHILIS - Portable High-throughput Integrated Laboratory ID System

## Deployment &Transition of Systems

***Development (DHS S&T):***
-  HS Advanced Research Projects Agency (HSARPA) 	www.hsarpabaa.com
***Biological Urban Monitoring (BioWatch):***
-  Federally Funded and Deployed
-  Locally Operated and Reported
***Chemical Monitoring (PROTECT):***
-  Developed in collaboration w/ end user (Transit, Rspders)
-  UASI Transit System Security Grant Program

## Enhancing Defense Against the Nuclear & Radiological Threat

**CSI/Megaports**

**Coast Guard ****inspection**

- .

- .

- .

- .

- .

- .

- .

- .

**CONUS entry**
**Borders, airports and seaports**

**Perimeter protection**

**Second Line of **
**Defense**

**CSI**

**Intra-modal ****detection**

**Proliferation Security Initiative**

**Materials Protection, **
**Control & Accountability **

**Notes:**
The consequences of nuclear and rad terrorism are immense & catastrophic 
Emphasis must be placed on prevention
To defend against this threat, we must develop a robust layered defense
Overseas the emphasis must be on reducing and protecting existing stocks of materials & weapons, and preventing illicit movement
Domestically we must enhance detection and interdiction efforts

## The Domestic Nuclear Detection Office (DNDO) has been established to reduce the risk

**The DNDO will be a *****jointly-staffed*****, *****national***** office established to develop the global nuclear detection architecture, and acquire, and support the deployment of the domestic detection system to detect and report attempts to import or transport a nuclear device or fissile or radiological material intended for illicit use.**

## DNDO Strategic Objectives

**Create a well-integrated detection and reporting system for interdicting nuclear and radiological materials (domestic and international)**
**Enhance current detection capabilities to improve probability of detection and interdiction**
**Integrate and deploy current technologies**
**Continuously improve technology through near-term enhancements and transformational research and development**
**Expand detection capabilities at the State and local level**
**Develop the global detection architecture and ensure linkages across Federal, State and local agencies**
**Establish standards, response protocols and training across the Federal, State, and local levels to ensure that detection leads to timely response actions**

**Notes:**
Prevention and detection of CBRNE materials and weapons is a national responsibility involving Federal, State, local, and Tribal governments.
DNDO is currently developing a State/ Local / Tribal / Territory engagement strategy
Partnership with State, Local, Tribal, Territorial governments is essential in developing DNDO programs
We are planning significant stakeholder steering initiatives throughout program development and implementation 

## National Preparedness Goal

**National Preparedness Goal**
**Rollout Conference**

## Department of Health and Human Services (DHHS) 

- Capability-Specific Priorities:Strengthen Medical Surge and Mass Prophylaxis CapabilitiesDHHS’ Support of the Interim National Preparedness Goal
**Brad Austin, MPH, CHE**
**Senior Public Health Analyst **
**Office of Public Health Emergency Preparedness**

## Office of Public Health Emergency Preparedness (OPHEP) 

- To ensure sustained public health and medical readiness for our communities and our nation against:
- Bioterrorism
- Infectious disease outbreaks
- Other public health threats and emergencies

*Overall Goal of the **DHHS Public Health Emergency Preparedness Program*

## CDC’s Cooperative Agreement on Public Health Preparedness and Response for Bioterrorism

-  CDC Cooperative Agreement
- Preparedness Planning/Readiness Assessment
- Surveillance and Epidemiological Capacity
- Biological Laboratory Capacity
- Chemical Laboratory Capacity
- Communications and Information Technology
- Risk Communication
- Education and Training

**Notes:**
General Description
The CDC program focuses on a number of critical aspects of public health infrastructure and systems. It seeks to improve disease surveillance and epidemiology, assure readiness at the state and local level for distribution of pharmaceuticals and vaccines, expand laboratory capacity, strengthen the Health Alert Network and risk communication and enhance education and training programs to the public health workforce. 

Seven Major Focus Areas for Public Health Emergency Preparedness with Associated Critical Capacities and Benchmarks.  In addition, other major inititatives are also wrapped up in this cooperative agreements: The Cities Readiness Inititative, the CHEMPACK Program, and a cross-border early warning infectious disease surveillance initiative.  

## HRSA’s National Bioterrorism Hospital Preparedness Program

- .

- HRSA Cooperative Agreement

** **Regional Hospital Surge Capacity
-  Beds, Personnel, Equipment
-  Isolation capacity
-  Mental health services
-  Trauma/burn care
-  Emergency Medical Services
-  Linkages to Public Health
-  Hospital Laboratories
-  Surveillance & Patient Tracking
-  Education and Preparedness Training
-  Exercises

**Notes:**
General Description    
    The HRSA program seeks to substantially expand our healthcare system's capacity to respond to a bioterrorism event, infectious diseases, and natural disasters that may cause mass casualties.  Hospitals and healthcare systems will use these funds to provide for surge capacity during a large-scale event, increase isolation and decontamination capacity, providing behavioral health services and trauma and burn care, buying communications equipment and personal protective gear, provide education and training to the hospital and healthcare workforce and provide for hospital-based pharmaceutical caches

Six Major Priority Areas with Associated Critical Benchmarks, Minimal Levels of Readiness and Sentinel Indicators

Administration
Surge Capacity
Emergency Medical Services
Linkages to Public Health Departments
Education and Preparedness Training
Terrorism Preparedness Exercises

Emergency System for Advanced Registration of Volunteer Health Professionals (ESAR-VHP)

## Public Health and Hospital Preparedness and Response for Bioterrorism Cooperative Agreements 

- CDC/HRSA Historical Breakdown of Funds
- Combined Allocations since September 11, 2001
- FY02 ~ $1.07 billion
- FY03 ~ $1.53 billion
- FY04 ~ $1.34 billion
- FY05 ~ $1.42 billion
- FY02-05 Grand-total ~ $5.36 billion

## Capability Specific National Priority in the Interim National Preparedness Goal 

- Target Capabilities
- Eight target capabilities identify health and medical capabilities
- Fatality Management
- Isolation and Quarantine
**Mass Prophylaxis**
- Medical Supplies Management and Distribution
**Medical Surge**
- Public Health Epidemiological Investigation and Laboratory Testing
- Triage and Pre-hospital Treatment
- Worker Health and Safety
- Sixteen additional target capabilities have public health embedded

**Notes:**
24 of the 36 capabilities are either directly health and medical capabilities or have public health tasks embedded within their capability elements or associated tasks.  All of these tasks, as well as their capability elements and associated tasks, are drawn from the CDC and HRSA cooperative agreements.

Two of the public health and medical tasks, underlined above, are highlighted as national priorities.

## Capability Specific National Priority: Strengthen Medical Surge and Mass Prophylaxis Capabilities 

- Medical Surge and Mass Prophylaxis Target Capabilities
- Medical Surge
-     	Hospitals must be able to collectively handle a mass casualty
- Mass Prophylaxis
-     	Emergency-ready public health departments need to be ready to 	organize and direct mass campaigns

**Notes:**
These two capabilites are highlighted in the Interim National Preparedness Goal.

Medical Surge

## Department of Health and Human Services Resources

- Resources
- CDC Cooperative Agreement Guidance
- http://www.bt.cdc.gov/planning/continuationguidance/index.asp
- HRSA Cooperative Agreement Guidance
- http://www.hrsa.gov/bioterrorism/cooperative/index.htm
- Interim Public Health and Healthcare Supplement to the National Performance Goal
- http://www.hhs.gov/ophep/index.html

## National Preparedness Goal

**National Preparedness Goal**
**Rollout Conference**