National Preparedness

Guidelines

September 2007
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PREFACE

President Bush has led a committed effort to strengthen the Nation’s preparedness capabilities.

The national preparedness architecture encompasses the full spectrum of prevention, protection,

response, and recovery efforts to prepare the Nation for all hazards – whether terrorist attack or

natural disaster.

Homeland Security Presidential Directive-8 (HSPD-8) of December 17, 2003 (“National

Preparedness”) directed the Secretary of Homeland Security to develop a national domestic allhazards preparedness goal. As part of that effort, in March 2005 the Department of Homeland

Security (DHS) released the Interim National Preparedness Goal. Publication of the National

Preparedness Guidelines (Guidelines) finalizes development of the national goal and its related

preparedness tools.

The Guidelines, including the supporting Target Capabilities List, simultaneously published

online, supersedes the Interim National Preparedness Goal and defines what it means for the

Nation to be prepared for all hazards. There are four critical elements of the Guidelines:

(1) The National Preparedness Vision, which provides a concise statement of the core

preparedness goal for the Nation.

(2) The National Planning Scenarios, which depict a diverse set of high-consequence threat

scenarios of both potential terrorist attacks and natural disasters. Collectively, the 15

scenarios are designed to focus contingency planning for homeland security preparedness

work at all levels of government and with the private sector. The scenarios form the

basis for coordinated Federal planning, training, exercises, and grant investments needed

to prepare for emergencies of all types.

(3) The Universal Task List (UTL), which is a menu of some 1,600 unique tasks that can

facilitate efforts to prevent, protect against, respond to, and recover from the major events

that are represented by the National Planning Scenarios. It presents a common

vocabulary and identifies key tasks that support development of essential capabilities

among organizations at all levels. Of course, no entity will perform every task.

(4) The Target Capabilities List (TCL), which defines 37 specific capabilities that

communities, the private sector, and all levels of government should collectively possess

in order to respond effectively to disasters.

The Guidelines reinforce the fact that preparedness is a shared responsibility. They were

developed through an extensive process that involved more than 1,500 Federal, State, and local

officials and more than 120 national associations. They also integrate lessons learned following

Hurricane Katrina and a 2006 review of States’ and major cities’ emergency operations and

evacuation plans.

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Protecting America requires constant vigilance and innovation. These Guidelines will shape and

support preparedness activities in the months and years ahead, while growing and evolving with

the Nation as it strengthens preparedness at all levels of government and within the private sector.

-- Michael Chertoff

Secretary of Homeland Security

September 2007

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TABLE OF CONTENTS

PREFACE......................................................................................................iii

1.0 INTRODUCTION.................................................................................... 1

2.0 VISION................................................................................................. 1

2.1 The Guidelines Are the Umbrella for a Range of Readiness Initiatives........................ 2

2.2 The Guidelines Are All-Hazards....................................... ............................. 3

2.3 The Guidelines Are Risk-Based..................................................................... 3

2.4 The Guidelines Are a Call to Action................................................................ 3

3.0 CAPABILITIES....................................................................................... 4

4.0 PRIORITIES.......................................................................................... 11

4.1 Expand Regional Collaboration.................................................................... 12

4.2 Implement the National Incident Management System and National Response Plan...... 13

4.3 Implement the National Infrastructure Protection Plan......................................... 14

4.4 Strengthen Information Sharing and Collaboration Capabilities.............................. 15

4.5 Strengthen Interoperable and Operable Communications Capabilities....................... 17

4.6 Strengthen CBRNE Detection, Response, and Decontamination Capabilities.............. 18

4.7 Strengthen Medical Surge and Mass Prophylaxis Capabilities................................ 19

4.8 Community Preparedness: Strengthening Planning and Citizen Capabilities............... 20

5.0 A NATIONAL PREPAREDNESS SYSTEM SUPPORTS THE GUIDELINES........... 22

6.0 MANAGEMENT AND MAINTENANCE...................................................... 23

APPENDIX A— Letter of Instruction.................................................................... 26

APPENDIX B— Capabilities-Based Preparedness Overview......................................... 31

APPENDIX C— Terms and Definitions.................................................................. 41

APPENDIX D— Acronyms and Abbreviations.......................................................... 46

LIST OF FIGURES

Figure 1: The Guidelines in Context........................................................................2

Figure 2: Capabilities.........................................................................................4

Figure 3: Elements of Capability............................................................................ 5

Figure 4: Capabilities and Outcomes.......................................................................6

Figure 5: National Priorities and Associated Capabilities..............................................11

Figure 6: National Preparedness System................................................................. 22

Figure B-1: National Planning Scenarios..................................................................32

Figure B-2: Capabilities-Based Preparedness Process...................................................34

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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

Nebraska Avenue Complex

Washington, DC 20528

The National Preparedness Guidelines are available on the

Office for Domestic Preparedness (ODP) Secure Portal (https://odp.esportals.com)

and the Lessons Learned Information Sharing system (https://www.llis.dhs.gov).

For more information on HSPD-8 implementation, go to

http://www.ojp.usdoj.gov/odp/assessments/hspd8.htm

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1.0 INTRODUCTION

On December 17, 2003, the President issued HSPD-8. HSPD-8 established national policies to

strengthen the preparedness of the United States to prevent, protect against, respond to, and

recover from threatened or actual terrorist attacks, major disasters, and other emergencies within

the United States. HSPD-8 directed the Secretary of Homeland Security to develop a national

domestic all-hazards preparedness goal in coordination with the heads of other appropriate

Federal departments and agencies and in consultation with State, local, tribal, and territorial

governments. The National Preparedness Guidelines (Guidelines) finalize development of the

national preparedness goal and its related preparedness tools.

The purposes of the Guidelines are to:

Organize and synchronize national (including Federal, State, local, tribal, and territorial)

efforts to strengthen national preparedness;

Guide national investments in national preparedness;

Incorporate lessons learned from past disasters into national preparedness priorities;

Facilitate a capability-based and risk-based investment planning process; and

Establish readiness metrics to measure progress and a system for assessing the Nation’s

overall preparedness capability to respond to major events, especially those involving

acts of terrorism.

The Guidelines include a vision, capabilities, and priorities for national preparedness. In order to

support a consistent nationwide approach to implementation, the Guidelines establish three

capabilities-based preparedness tools and a National Preparedness System – all of which are

discussed in the sections that follow.

2.0 VISION

The vision for the National Preparedness Guidelines is:

A NATION PREPARED with coordinated capabilities to prevent, protect against,

respond to, and recover from all hazards in a way that balances risk with

resources and need.

This vision is far-reaching. It recognizes that preparedness requires a coordinated national effort

involving every level of government, as well as the private sector, nongovernmental

organizations, and individual citizens. It addresses capabilities-based preparedness for the full

range of homeland security missions, from prevention through recovery. States, communities,

and the Federal Government have worked together for decades to manage natural disasters and

technological emergencies, particularly with regard to response and recovery. However, they

have far less experience with terrorist attacks, particularly with regard to prevention and

protection. The Guidelines address all hazards and place heavy emphasis on events at the

catastrophic end of the risk continuum, especially terrorist attacks, which would require rapid

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and coordinated national action. The vision acknowledges that the Nation cannot achieve total

preparedness for every possible contingency and that no two jurisdictions possess identical

capability needs. We must weigh the relative risk of catastrophic events when determining the

resources available to address each contingency and the unique needs of each community,

determine how to best address needs in light of the risks, and thereby achieve optimal and

reasonable levels of preparedness.

2.1 The Are the Umbrella for a Range of Readiness Initiatives

HSPD-8 is one of several presidential directives that address how the Nation should prepare to

prevent, protect against, respond to, and recover from major incidents. Other presidential

directives address the evolving threats posed by terrorist attacks and natural disasters.

The Guidelines are umbrella documents that collate many plans, strategies, and systems into an

overarching framework, the National Preparedness System. Plans and systems will be

implemented and requirements will be matched with resources, consistent with applicable law

and subject to the availability of appropriations.

Figure 1: The Guidelines in Context

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2.2 The Are All-Hazards

As directed by the President in HSPD-8, the Guidelines adopt an all-hazards approach to

preparedness. An all-hazards approach addresses capabilities-based preparedness to prevent,

protect against, respond to, and recover from terrorist attacks, major disasters, and other

emergencies.

2.3 The Are Risk-Based

The Guidelines establish a risk-based approach to preparedness. Risk is a function of three

variables: threat, vulnerability, and consequence. Both threat and vulnerability are influenced by

the probabilities of events that are highly uncertain. In order to compensate for that uncertainty,

the Guidelines provide a set of National Planning Scenarios that represent a range of threats that

warrant national attention. The National Planning Scenarios establish common assumptions to

guide planning nationwide regarding potential vulnerabilities and consequences (or impacts) of

major incidents. Analysis of the range of potential impacts is essential for defining capabilities

in terms of both capacity (i.e., how many are needed) and proficiency (i.e., how well must they

be able to perform). These capabilities must be reflected in emergency operations plans (for the

near-term) and in preparedness strategies (for the long-term). Federal, State, local, tribal, and

territorial officials supplement this approach with risk assessments that provide additional data

on their specific threats, vulnerabilities, and consequences. As a result, officials can tailor their

approach according to differences in risk across the Nation.

2.4 The Are a Call to Action

Preparedness is the foundation of successful National Incident Management System (NIMS)

implementation. The NIMS places responsibility on individual Federal, State, local, tribal, and

territorial governments and agencies for establishing a preparedness cycle in advance of an

incident and for including the private sector, non-governmental organizations, and individual

citizens, as appropriate. The cycle of preparedness for prevention, protection, response, and

recovery missions may be summarized as follows:

Plan

Organize and Staff

Equip

Train

Exercise, Evaluate, and Improve

Preparedness is the responsibility of every level of government, every department, and every

agency consistent with its authorities. This includes coordinating preparedness activities among

partners operating within their jurisdictional borders, as well as across jurisdictional and

geographic borders when dictated by identified threats and risk assessments. Preparedness

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should be coordinated across the same multi-agency coordination entities as described in the

NIMS. This is the basis for implementing the Guidelines, particularly the national priority to

Expand Regional Collaboration (see Section 4.1).

Federal, State, local, tribal, and territorial governments, in cooperation with the private and nonprofit sectors, each have a unique role in supporting the preparedness framework established by

the Guidelines. All levels of government should integrate into their preparedness and response

plans the capacity of community, faith-based, and other nongovernmental organizations. This

integration includes engaging such organizations in the planning process, providing necessary

training and credentialing of their personnel, providing necessary resource support for

involvement in a joint response, and incorporating the organizations in training and exercises.

Of highest importance is the development of mechanisms for coordination of the volunteers,

goods, and services available through these organizations.

The Guidelines provide a national framework for a capabilities-based preparedness system and

are designed to be measurable so that progress can be determined and specific improvements can

be made. Specific metrics and standards are under development for jurisdictions to use when

conducting preparedness assessments. Additionally, a process is being established to measure

the Nation’s overall preparedness. (Guidance on institutionalizing the Guidelines is provided

within the Secretary’s Letter of Instruction in Appendix A.)

3.0 CAPABILITIES

The Guidelines establish a capabilities-based approach to preparedness. Simply put, a capability

provides the means to accomplish a mission. The Guidelines address preparedness for all

homeland security mission areas: prevention, protection, response, and recovery. Capabilities

are presented alphabetically below by mission area for ease of reference (see Figure 2). Some

capabilities cut across all mission areas and are therefore placed in a Common Mission Area.

Figure 2: Capabilities

Common Mission Area Respond Mission Area

Communications Animal Health Emergency Support

Community Preparedness and Participation Citizen Evacuation and Shelter-in-Place

Planning Critical Resource Logistics and Distribution

Risk Management Emergency Operations Center Management

Intelligence/Information Sharing and Dissemination Emergency Public Information and Warning

Prevent Mission Area Environmental Health

CBRNE Detection Explosive Device Response Operations

Information Gathering and Recognition of Indicators

and Warnings Fatality Management

Intelligence Analysis and Production Fire Incident Response Support

Counter-Terror Investigations and Law Enforcement Isolation and Quarantine

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Protect Mission Area Respond Mission Area (continued)

Critical Infrastructure Protection Mass Care (Sheltering, Feeding, and Related

Services)

Epidemiological Surveillance and Investigation Mass Prophylaxis

Food and Agriculture Safety and Defense Medical Supplies Management and Distribution

Laboratory Testing Medical Surge

Onsite Incident Management

Emergency Public Safety and Security

Response

Responder Safety and Health

Emergency Triage and Pre-Hospital Treatment

Search and Rescue (Land-Based)

Volunteer Management and Donations

WMD/Hazardous Materials Response and

Decontamination

Recover Mission Area

Economic and Community Recovery

Restoration of Lifelines

Structural Damage Assessment

Source: Target Capabilities List, as of September 2007

A capability consists of the combination of elements required to deliver the desired outcome.

Capability elements are consistent with the NIMS (see Figure 3).

Figure 3: Elements of Capability

Planning

Collection and analysis of intelligence and information, and development of

policies, plans, procedures, mutual aid agreements, strategies, and other

publications that comply with relevant laws, regulations, and guidance necessary

to perform assigned missions and tasks.

Organization and

Leadership

Individual teams, an overall organizational structure, and leadership at each level

in the structure that comply with relevant laws, regulations, and guidance

necessary to perform assigned missions and tasks.

Personnel Paid and volunteer staff who meet relevant qualification and certification

standards necessary to perform assigned missions and tasks.

Equipment and

Systems

Major items of equipment, supplies, facilities, and systems that comply with

relevant standards necessary to perform assigned missions and tasks.

Training Content and methods of delivery that comply with relevant training standards

necessary to perform assigned missions and tasks.

Exercises,

Evaluations, and

Corrective

Actions

Exercises, self-assessments, peer-assessments, outside reviews, compliance

monitoring, and actual major events that provide opportunities to demonstrate,

evaluate, and improve the combined capability and interoperability of the other

elements to perform assigned missions and tasks to standards necessary to

achieve successful outcomes.

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Any combination of elements that delivers the desired outcome is acceptable (see Figure 4).

Figure 4: Capabilities and Outcomes

(Listed in Alphabetical Order)

Common

Communications

Outcome: 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 the NIMS. In order to

accomplish that, the jurisdiction has a continuity of operations plan for public safety communications

including the consideration of critical components, networks, support systems, personnel, and an

appropriate level of redundant communications systems in the event of an emergency.

Community Preparedness and Participation

Outcome: There is a structure and a process for ongoing collaboration between government and

nongovernmental organizations at all levels; volunteers and nongovernmental resources are

incorporated in plans and exercises; the public is educated, trained, and aware; citizens participate in

volunteer programs and provide surge capacity support; nongovernmental resources are managed

effectively in disasters; and there is a process to evaluate progress.

Planning

Outcome: Plans incorporate an accurate threat analysis and risk assessment and ensure that

capabilities required to prevent, protect against, respond to, and recover from all-hazards events are

available when and where they are needed. Plans are vertically and horizontally integrated with

appropriate departments, agencies, and jurisdictions. Where appropriate, emergency plans

incorporate a mechanism for requesting State and Federal assistance and include a clearly

delineated process for seeking and requesting assistance from appropriate agency(ies).

Risk Management

Outcome: Federal, State, local, tribal, territorial, and private-sector entities identify and assess risks,

prioritize and select appropriate protection, prevention, and mitigation solutions based on reduction of

risk, monitor the outcomes of allocation decisions, and undertake corrective actions. Additionally,

Risk Management is integrated as a planning construct for effective prioritization and oversight of all

homeland security investments.

Intelligence/Information Sharing and Dissemination

Outcome: Effective and timely sharing of information and intelligence occurs across Federal, State,

local, tribal, territorial, regional, and private sector entities to achieve coordinated awareness of,

prevention of, protection against, and response to a threatened or actual domestic terrorist attack,

major disaster, or other emergency.

Prevent Mission Area

CBRNE Detection

Outcome: Chemical, biological, radiological, nuclear, and/or explosive (CBRNE) materials are rapidly

detected and characterized at borders and ports of entry, critical locations, events, and incidents.

Information Gathering and Recognition of Indicators and Warnings

Outcome: Locally generated threat and other criminal and/or terrorism-related information is

identified, gathered, entered into an appropriate data/retrieval system, and provided to appropriate

analysis centers.

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Intelligence Analysis and Production

Outcome: Timely, accurate, and actionable intelligence/information products are produced in support

of prevention, awareness, deterrence, response, and continuity planning operations.

Counter-Terror Investigations and Law Enforcement

Outcome: Suspects involved in criminal activities related to homeland security are successfully

deterred, detected, disrupted, investigated, and apprehended. All counterterrorism-related cases are

aggressively prosecuted.

Protect Mission Area

Critical Infrastructure Protection

Outcome: The risk to, vulnerability of, and consequence of an attack on critical infrastructure are

reduced through the identification of critical infrastructure; conduct, documentation, and

standardization of risk assessments; prioritization of assets; decisions regarding protective and

preventative programs; and implementation of protective and preventative plans.

Epidemiological Surveillance and Investigation

Outcome: Potential exposure to disease is identified rapidly by determining exposure and mode of

transmission and agent; interrupting transmission to contain the spread of the event; and reducing

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; and effective

mitigation measures are communicated to the public, providers, and relevant agencies, as

appropriate.

Food and Agriculture Safety and Defense

Outcome: Threats to food and agricultural safety are prevented, mitigated, and eradicated; affected

products are disposed of; affected facilities are decontaminated; public and plant health are

protected; notification of the event and instructions of appropriate actions are effectively

communicated with all stakeholders; trade in agricultural products is restored safely; and confidence

in the U.S. food supply is maintained.

Public Health Laboratory Testing

Outcome: Chemical, radiological, 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 network collaboration with other appropriate Federal,

State, and local laboratories. The public health laboratory, working in close partnership with public

health epidemiology, environmental health, law enforcement, agriculture and veterinary officials,

hospitals, and other appropriate agencies, produces timely and accurate data to support ongoing

public health investigations and the implementation of appropriate preventative or curative

countermeasures.

Respond Mission Area

Animal Disease Emergency Support

Outcome: Foreign animal disease is prevented from entering the United States by protecting the

related critical infrastructure and key assets. In the event of an incident, animal disease is detected

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as early as possible, exposure of livestock to foreign diseases is reduced, immediate and humane

actions to eradicate the outbreak are implemented, public and animal health and the environment are

protected, continuity of agriculture and related business is safely maintained and/or restored, and

economic damage is minimized. Trade in agricultural products and domestic and international

confidence in the U.S. food supply are safely maintained or restored.

Citizen Evacuation and Shelter-In-Place

Outcome: Affected and at-risk populations (and companion animals to the extent necessary to save

human lives) are safely sheltered-in-place or evacuated to safe refuge areas.

Critical Resource Logistics and Distribution

Outcome: Critical resources are available to incident managers and emergency responders upon

request for proper distribution and to aid disaster victims in a cost-effective and timely manner.

Emergency Operations Center Management

Outcome: The event is effectively managed through multi-agency coordination for a pre-planned or

no-notice event.

Emergency Public Information and Warning

Outcome: Government agencies and public and private sector entities receive and transmit

coordinated, prompt, useful, and reliable information regarding threats to their health, safety, and

property, through clear, consistent information-delivery systems. This information is updated

regularly and outlines protective measures that can be taken by individuals and their communities.

Environmental Health

Outcome: After the primary event, disease and injury are prevented through the quick identification of

associated environmental hazards, including exposure to infectious diseases that are secondary to

the primary event as well as secondary transmission modes. The at-risk population (i.e., exposed or

potentially exposed) receives the appropriate countermeasures, including treatment or protection, in a

timely manner. The rebuilding of the public health infrastructure, removal of environmental hazards,

and appropriate decontamination of the environment enable the safe re-entry and re-occupancy of

the impacted area. Continued monitoring occurs throughout the recovery process in order to identify

hazards and reduce exposure.

Explosive Device Response Operations

Outcome: Threat assessments are conducted, the explosive and/or hazardous devices are rendered

safe, and the area is cleared of hazards. Measures are implemented in the following priority order:

ensure public safety; safeguard the officers on the scene (including the bomb technician); collect and

preserve evidence; protect and preserve public and private property; and restore public services.

Fatality Management

Outcome: Complete documentation and recovery of human remains and items of evidence (except in

cases where the health risks posed to personnel outweigh the benefits of recovery of remains).

Remains receive surface decontamination (if indicated) and, unless catastrophic circumstances

dictate otherwise, are examined, identified, and released to the next-of-kin’s funeral home with a

complete certified death certificate. Reports of missing persons and ante mortem data are efficiently

collected. Victims’ family members receive updated information prior to the media release. All

hazardous material regulations are reviewed and any restrictions on the transportation and

disposition of remains are made clear by those with the authority and responsibility to establish the

standards. Law enforcement agencies are given all information needed to investigate and prosecute

the case successfully. Families are provided incident-specific support services.

Fire Incident Response Support

Outcome: Dispatch and safe arrival of the initial fire suppression resources occur within jurisdictional

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response time objectives. The first unit to arrive initiates the Incident Command System (ICS),

assesses the incident scene, communicates the situation, and requests appropriate resources

including any necessary mutual aid or cross-discipline support. Firefighting activities are conducted

safely and fire hazards are contained, controlled, extinguished, and investigated, and the incident is

managed in accordance with emergency response plans and procedures.

Isolation and Quarantine

Outcome: 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 monitored in order to limit the

spread of a newly introduced contagious disease (e.g., pandemic influenza). Legal authority for those

measures is clearly defined and communicated to all responding agencies and the public. Logistical

support is provided to maintain measures until danger of contagion has elapsed.

Mass Care (Sheltering, Feeding, and Related Services)

Outcome: Mass care services, including sheltering, feeding, and bulk distribution, are rapidly

provided for the population and companion animals within the affected area.

Mass Prophylaxis

Outcome: 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 on specific actions individuals can take to

protect their family, friends, and themselves.

Medical Supplies Management and Distribution

Outcome: Critical medical supplies and equipment are appropriately secured, managed, distributed,

and restocked in a timeframe appropriate to the incident.

Medical Surge

Outcome: Injured or ill from the event are rapidly and appropriately cared for. Continuity of care is

maintained for non-incident related illness or injury.

Onsite Incident Management

Outcome: The event is managed safely, effectively, and efficiently through the common framework of

the ICS.

Emergency Public Safety and Security Response

Outcome: The incident scene is assessed and secured; access is controlled; security support is

provided to other response operations (and related critical locations, facilities, and resources);

emergency public information is provided while protecting first responders and mitigating any further

public risks; and any crime/incident scene preservation issues are addressed.

Responder Safety and Health

Outcome: No illnesses or injury to any first responder, first receiver, medical facility staff member, or

other skilled support personnel as a result of preventable exposure to secondary trauma,

chemical/radiological release, infectious disease, or physical and emotional stress after the initial

incident or during decontamination and incident follow-up.

Emergency Triage and Pre-Hospital Treatment

Outcome: Emergency Medical Services (EMS) resources are effectively and appropriately

dispatched and 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.

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Search and Rescue (Land-Based)

Outcome: The greatest numbers of victims (human and, to the extent that no humans remain

endangered, animal) are rescued and transferred to medical or mass care capabilities, in the shortest

amount of time, while maintaining rescuer safety.

Volunteer Management and Donations

Outcome: The positive effect of using unaffiliated volunteers and unsolicited donations is maximized

and does not hinder response and recovery activities.

WMD/Hazardous Materials Response and Decontamination

Outcome: Any hazardous materials release is rapidly identified and mitigated; victims exposed to the

hazard are rescued, decontaminated, and treated; the impact of the release is limited; and

responders and at-risk populations are effectively protected.

Recover Mission Area

Economic and Community Recovery

Outcome: Economic impact is estimated; priorities are set for recovery activities; business disruption

is minimized; and individuals and families are provided with appropriate levels and types of relief with

minimal delay.

Restoration of Lifelines

Outcome: Lifelines to undertake sustainable emergency response and recovery activities are

established.

Structural Damage Assessment

Outcome: Accurate situation needs and damage assessments occur. The full range of engineering,

building inspection, and enforcement services are implemented, managed, and coordinated in a way

that maximizes the use of resources, aids emergency response, and implements recovery operations.

Mitigation projects to lessen the impact of similar future events are identified and prioritized.

Source: Target Capabilities List, as of September 2007

The challenge for government officials, working with the private sector, nongovernmental

organizations, and individual citizens, is to determine the best way to build capabilities for

bolstering preparedness and achieving the Guidelines. The “best way” will vary across the

Nation. In order to assist officials in that effort, the Guidelines establish a Capabilities-Based

Preparedness process and three planning tools: the National Planning Scenarios; the Target

Capabilities List (TCL); and the Universal Task List (UTL), which are discussed in detail in

Appendix B. The National Planning Scenarios are designed to identify the broad spectrum of

tasks and capabilities needed for all-hazards preparedness. The TCL is a comprehensive catalog

of capabilities to perform homeland security missions, including performance measures and

metrics for common tasks. The UTL is a library and hierarchy of tasks by homeland security

mission area. Capabilities-Based Preparedness encourages flexibility and requires collaboration.

More importantly, it helps to ensure that operations planners and program managers across the

Nation can use common tools and processes when making planning, training, equipment, and

other investments, and can produce measurable results. For more information on how the

Guidelines contribute to the development of specific homeland security capabilities, please refer

to Appendix B.

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4.0 PRIORITIES

HSPD-8 directs that the Guidelines establish measurable readiness priorities and targets. The

Guidelines include a series of national priorities to guide preparedness efforts that meet the

Nation’s most urgent needs (see Figure 5). The priorities reflect major themes and recurring

issues identified in national strategies, presidential directives, State and Urban Area Homeland

Security Strategies, the Hurricane Katrina Reports, and other lessons-learned reports. The

priorities will be updated or refined over time as we implement the Guidelines or encounter

changes in the homeland security strategic environment.

Figure 5: National Priorities and Associated Capabilities

National Priority Associated Capabilities

Expand Regional Collaboration Multiple capabilities

Implement the National Incident

Management System and National

Response Plan

Multiple capabilities

Implement the National Infrastructure

Protection Plan Multiple capabilities

Strengthen Information Sharing and

Collaboration Capabilities

Intelligence/Information Sharing and Dissemination

Counter-Terror Investigations and Law Enforcement

Strengthen Interoperable and Operable

Communications Capabilities

Communications

Emergency Public Information and Warning

Strengthen CBRNE Detection, Response,

and Decontamination Capabilities

CBRNE Detection

Explosive Device Response Operations

WMD/Hazardous Materials Response and Decontamination

Strengthen Medical Surge and Mass

Prophylaxis Capabilities

Medical Surge

Mass Prophylaxis

Strengthen Planning and Citizen

Preparedness Capabilities

Planning

Citizen Evacuation and Shelter-in-Place

Mass Care (Sheltering, Feeding, and Related Services)

Community Preparedness and Participation

Federal departments and agencies are required to review the national priorities periodically in

order to ensure that Federal preparedness programs and initiatives support their implementation.

They are also required to provide information on specific, concrete actions that will demonstrate

progress in achieving these priorities in their annual program guidance. A brief discussion of the

national priorities follows, including examples of major Federal programs that support each

priority.

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4.1 Expand Regional Collaboration

National Priority: Standardized structures and processes for regional collaboration enable

entities collectively to manage and coordinate activities for operations and preparedness

consistently and effectively.

Discussion: Regional collaboration is critical to improving preparedness and achieving the

tenets set forth in the Guidelines. As used in this document, a “region” generally refers to a

geographic area consisting of contiguous Federal, State, local, tribal, and territorial jurisdictions.

Major events often have regional impact; therefore, prevention, protection, response, and

recovery missions require extensive regional collaboration. It is vital to enhance efforts by

Federal, State, local, tribal, and territorial entities to communicate and coordinate with one

another, the private sector, nongovernmental organizations, and individual citizens. The intent is

to identify geographic regions that work best for achieving and sustaining coordinated

capabilities and mutual aid agreements. Federal departments and agencies should foster those

regional groupings through planning and Federal preparedness assistance. Formal arrangements

among geographic regions will enable the Federal Government, working with States, territories,

local, and tribal governments and other partners, to coordinate preparedness activities more

effectively, spread costs, pool resources, disburse risk, and thereby increase the overall return on

investment.

One example of an initiative that supports this priority is the Urban Areas Security Initiative

(UASI) managed by DHS. This initiative focuses on a limited number of high-threat urban areas.

The UASI also includes multi-jurisdictional metropolitan regions identified by States that do not

have a designated urban area. Another example is the Cities Readiness Initiative (CRI), led by

the Department of Health and Human Services (HHS) through the Centers for Disease Control

and Prevention (CDC) in collaboration with the United States Postal Service. This initiative

focuses on selected cities to help them prepare to provide life-saving interventions through the

timely delivery of medicines and medical supplies during a large-scale public health emergency.

The Emergency Management Assistance Compact (EMAC), a State-to-State partnership

coordinated by the National Emergency Management Association (NEMA), also supports this

priority. The EMAC was congressionally ratified in 1996 to provide a fast and flexible response

system through which States send requested personnel and equipment to help disaster relief

efforts in other States. All 50 States, the District of Columbia, Puerto Rico, and the U.S. Virgin

Islands have enacted legislation to become members of the EMAC. During Hurricane Katrina,

EMAC provided interstate mutual aid in the response effort by deploying more than 67,000

personnel to Louisiana and Mississippi.

Additional information on Homeland Security Grant Programs such as UASI can be found

online at: http://www.ojp.usdoj.gov/odp/grants_programs.htm

Additional information on the Cities Readiness Initiative can be found online at:

http://www.bt.cdc.gov/cri/

Additional information on the EMAC can be found online at: http://www.emacweb.org

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4.2 Implement the National Incident Management System and National Response Plan

National Priority: The National Incident Management System (NIMS) and National Response

Plan (NRP) are fully implemented nationwide and support the coordinated development of

capabilities.

Discussion: Homeland Security Presidential Directive-5 (HSPD-5) (“Management of Domestic

Incidents”) of February 28, 2003, mandated the development of the NIMS and the NRP. The

NIMS, released in March 2004, provides a consistent framework for government entities at all

levels to work together to manage domestic incidents, regardless of cause, size, or complexity.

The NIMS includes a core set of guidelines, standards, and protocols for command and

management, preparedness, resource management, communications and information

management, supporting technologies, and coordination and maintenance to promote

interoperability and compatibility among Federal, State, local, tribal, and territorial capabilities.

The NRP, using the template established by the NIMS, was released in December 2004. The

NRP is an all-discipline, all-hazards plan that establishes a single, comprehensive framework for

the management of domestic incidents. It provides the structure and mechanisms for evolving or

potential incidents requiring a coordinated Federal response. The NRP is always in effect.

However, the NRP coordinating structures and processes are flexible and scalable and can be

activated at different levels depending on the nature of the threat or incident. Actions range in

scope from ongoing situational reporting and analysis, through the implementation of NRP

Incident Annexes and other supplemental Federal contingency plans, to full implementation of

all relevant NRP coordination mechanisms.

In May 2006, DHS published a Notice of Change to the NRP in order to address a limited

number of issues requiring amendments prior to the official review of the NRP. The alterations,

or in some cases, clarifications, were based on lessons learned from exercises and real-world

events. The modifications in the Notice of Change strengthened national doctrine and operating

concepts for incidents requiring a coordinated Federal response. All Federal departments and

agencies, and other NRP signatories, are required to implement and operate under the concepts

of the NRP.

Since then, DHS has worked closely with stakeholders to revise the National Response Plan

(NRP). Because the issues are complex and require national-level policy decisions, DHS is

working on an updated document that addresses the roles and responsibilities of stakeholders and

incident management structures. DHS will release the new draft of the NRP once stakeholders

have been able to review and comment on the document. In the meantime, the structures and

mechanisms of the original NRP, with modifications from the May 2006 Notice of Change, are

still intact and should be used for any hazard or threat occurring prior to the approval and release

of the revised NRP.

Additional information on the NIMS can be found online at:

http://www.fema.gov/emergency/nims/

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Additional information on the NRP can be found online at:

http://www.dhs.gov/dhspublic/interapp/editorial/editorial_0566.xml

4.3 Implement the National Infrastructure Protection Plan

National Priority: The National Infrastructure Protection Plan (NIPP) is fully implemented

nationwide and supports the coordinated development of critical infrastructure protection

capabilities.

Discussion: The Homeland Security Act of 2002 directs DHS to ensure the protection of the

Nation’s critical infrastructure and key resources (CI/KR). Homeland Security Presidential

Directive-7 (HSPD-7) (“Critical Infrastructure Identification, Prioritization, and Protection”)

of December 17, 2003, directed the Secretary of Homeland Security to establish a national plan,

working closely with other Federal departments and agencies, State, local, tribal, and territorial

governments, and the private sector, to unify the Nation’s efforts to protect CI/KR. The NIPP

is the comprehensive risk management framework that clearly defines critical infrastructure

protection roles and responsibilities for all levels of government, private industry,

nongovernmental agencies, and tribal partners. The NIPP lays out the plan for setting

requirements for infrastructure protection, which will help ensure our government, economy,

and public services continue in the event of a terrorist attack or other disaster. The NIPP was

released on June 30, 2006. The purpose of the NIPP is to “build a safer, more secure, and more

resilient America by enhancing protection of the Nation’s CI/KR to prevent, deter, neutralize,

or mitigate the effects of deliberate efforts by terrorists to destroy, incapacitate, or exploit

them; and to strengthen national preparedness, timely response, and rapid recovery in the event

of an attack, natural disaster, or other emergency.”

Achieving that national priority requires meeting a series of objectives that include:

understanding and sharing information about terrorist threats and other hazards; building security

partnerships; implementing a long-term risk management program; and maximizing the efficient

use of resources. Measuring progress toward implementing the NIPP requires that CI/KR

security partners have the following:

Coordinated, risk-based CI/KR plans and programs in place addressing known and

potential threats;

Structures and processes that are flexible and adaptable, both to incorporate operational

lessons learned and effective practices, and also to adapt quickly to a changing threat or

incident environment;

Processes in place to identify and address dependencies and interdependencies to allow

for more timely and effective implementation of short-term protective actions and more

rapid response and recovery; and

Access to robust information-sharing networks that include relevant intelligence, threat

analysis, and real-time incident reporting.

The NIPP details actions to accomplish the following:

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Implement a risk management framework to guide CI/KR protection programs and

activities;

Strengthen linkages between physical and cyber, as well as domestic and international

CI/KR protection efforts;

Enhance and sustain information sharing and public-private sector coordination;

Integrate steady-state CI/KR protection programs in an all-hazards environment;

Integrate CI/KR protection as part of the homeland security mission;

Maximize efficient use of resources for CI/KR protection; and

Achieve an effective and efficient national CI/KR protection program over the longer

term.

Sector-Specific Plans (SSPs) detail each sector’s specific approach for executing the NIPP risk

management framework, including setting sector security supporting goals, inventorying assets,

assessing risks, prioritizing assets, implementing protective programs, and measuring progress

toward CI/KR protection.

For more information, the NIPP is available online at: www.dhs.gov/nipp

Comments and questions can be sent to: NIPP@dhs.gov

4.4 Strengthen Information Sharing and Collaboration Capabilities

National Priority: Information sharing and collaboration capabilities are developed to target

levels in the States, tribal areas, territories, and designated urban areas that are consistent with

measures and metrics established in the TCL.

Discussion: This national priority focuses on the Intelligence and Information Sharing and

Dissemination and the Counter-Terror Investigations and Law Enforcement capabilities outlined

in the TCL. It is also closely linked to the national priority to Strengthen Interoperable and

Operable Communications Capabilities (see Section 4.5). A common operating picture can only

be achieved through a national information management system supported by an operational

interoperable communications network.

The Intelligence and Information Sharing and Dissemination capability refers to the multijurisdictional, multidisciplinary exchange and dissemination of information and intelligence

among entities at all levels of government, as well as nongovernmental organizations, the private

sector, and citizens. Intelligence is derived by gathering, analyzing, and fusing relevant

information from a wide range of sources on a continual basis. Successful homeland security

efforts require a national information management system that provides an effective and

seamless capability to gather, analyze, disseminate, and use information regarding threats,

vulnerabilities, and consequences to support prevention and response efforts. As the response to

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Hurricane Katrina demonstrated, prompt and effective information sharing and reporting is

essential for response activities. Successful responses are dependent upon real-time, accurate

situational awareness of both the facts from the disaster area and ongoing response activities.

Strengthened information sharing and collaboration capabilities will enable a more accurate

situational awareness and allow development of a real-time common operating picture. To

support these efforts, government departments and agencies need a single reporting system (or

system of systems) to ensure critical information reaches the appropriate decision-makers and the

public in a timely manner. The Law Enforcement Investigation and Operations Counter-Terror

Investigations and Law Enforcement capability contributes to successful deterrence, detection,

disruption, investigation, and apprehension of suspects involved in terrorism and related criminal

activities. Law enforcement and other appropriate personnel must be partners in the Intelligence

and Information Sharing and Dissemination capability to conduct successful investigations.

The President and the Congress have directed the creation of an Information Sharing

Environment (ISE) to provide and facilitate the means for sharing terrorism information among

all appropriate Federal, State, local, tribal, and territorial governments, as well as private sector

entities, through the issuance of policy guidelines and technologies. A number of Federal

initiatives support this national priority, including the following:

Establishment of an ISE Program Manager position in the Office of the Director of

National Intelligence. On November 16, 2006, the Director of National Intelligence

delivered the ISE Implementation Plan to the Congress. The report provides a vision,

strategy, and roadmap for developing a comprehensive implementation plan and outlines

the activities to be undertaken by the ISE Program Manager, Federal departments and

agencies, State, local, tribal, and territorial governments, and private sector entities.

Establishment of the Information Sharing and Collaboration Office within DHS to serve

as the DHS focal point for information sharing policy, coordination, and implementation

both within DHS and with the Department’s partners to achieve effective information

sharing and collaboration.

Embedding intelligence and operational personnel from the DHS Office of Intelligence

and Analysis in State and local fusion centers. These deployed professionals will

facilitate the flow of timely, actionable, all-hazard information across State and local

governments as well as the national intelligence and law enforcement communities.

Expansion of the Homeland Security Information Network, managed by DHS, to

strengthen the real-time, collaborative information flow among homeland security

partners.

Establishment of the Law Enforcement Information Sharing Program, which provides

data exchange services that enhance the information-sharing capabilities of the

Department of Justice (DOJ). One component of that capability is provided by the Joint

Terrorism Task Forces (JTTF), led by the Federal Bureau of Investigation (FBI). The

JTTF enhances communication, coordination, and cooperation among agencies at all

levels of government representing intelligence, law enforcement, defense, diplomatic,

public safety, and homeland security disciplines by providing a point of fusion for

terrorism intelligence. Another component of this capability is provided by the Anti16
Terrorism Advisory Councils led by the U.S. Attorneys, which also facilitate information

sharing among law enforcement organizations at all levels of government.

Additional information on the Homeland Security Information Network can be found online at:

http://www.dhs.gov/xinfoshare/programs/gc_1156888108137.shtm

Additional information on FBI and related DOJ efforts in this area can be found online at:

http://www.fbi.gov/terrorinfo/counterrorism/waronterrorhome.htm

Additional information on the ISE can be found online at: http://www.ise.gov

4.5 Strengthen Interoperable and Operable Communications Capabilities

National Priority: Interoperable and operable communications capabilities are developed to

target levels in the States, tribal areas, territories, and designated urban areas that are consistent

with measures and metrics established in the TCL.

Discussion: This national priority focuses on the communications capability from the TCL.

Communications interoperability is the ability of public safety agencies (including police, fire,

EMS, etc.) and service agencies (including public works, transportation, hospitals, etc.) to talk

within and across agencies and jurisdictions via radio and associated communications systems;

exchange voice, data, and/or video with one another on demand; and do so in real time, when

needed, and when authorized.

Prior disasters and emergencies, as well as State and Urban Area Homeland Security Strategies

and status reports on interoperable communications, have shown persistent shortfalls in

achieving communications interoperability. These shortfalls demonstrate a need for a national

framework fostering the identification of communications requirements and definition of

technical standards. State and local authorities, working in partnership with DHS, need to

establish statewide interoperable communications plans and a national interoperability baseline

to assess the current state of communications interoperability. Achieving interoperable

communications and creating effective mechanisms for sharing information are long-term

projects that require Federal leadership and a collaborative approach to planning that involves all

levels of government as well as the private sector.

DHS recently established the Office of Emergency Communications (OEC) to integrate and

coordinate the Department's interoperable communications programs. OEC now manages the

Interoperable Communications Technical Assistance Program (ICTAP), the interoperable

communications policy development component of SAFECOM, and the Integrated Wireless

Network (IWN) program. ICTAP provides direct technical assistance to State, local, tribal, and

territorial emergency responders and public safety officials in coordination with the UASI grant

program (see section 4.1 above). ICTAP leverages and works with other Federal, State, local,

tribal, and territorial interoperability efforts to enhance the overall capacity for agencies and

individuals to communicate. SAFECOM promotes, coordinates, and provides assistance to the

efforts of Federal, State, local, tribal, and territorial public safety agencies to strengthen

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interoperable communications capabilities. SAFECOM emphasizes a practitioner-driven

approach in addressing communications interoperability. IWN is a collaborative effort by the

Departments of the Treasury, Justice, and Homeland Security, to provide a consolidated

nationwide Federal wireless communications system with integrated services (voice, data, and

multimedia) in support of first responder and homeland security missions.

The Nationwide Interoperable Communications Baseline Survey and Tactical Interoperable

Communications Plan initiatives confirm that successful interoperability lies in the development

of governance structures, standard operating procedures, training and exercises, and well-defined

usage of interoperable communications.

Additional information on SAFECOM can be found online at:

http://www.safecomprogram.gov/SAFECOM

Additional information on IWN can be found online at: http://www.usdoj.gov/jmd/iwn/

Additional information on TICP can be found online at:

http://www.ojp.usdoj.gov/odp/ta_ictap.htm

Additional information on the Nationwide Interoperable Communications Baseline Survey can

be found online at:

http://www.safecomprogram.gov/SAFECOM/library/background/1295_2006national.htm

4.6 Strengthen CBRNE Detection, Response, and Decontamination Capabilities

National Priority: Chemical, biological, radiological, nuclear, and explosive (CBRNE)

detection, response, and decontamination capabilities are developed to target levels in the States,

tribal areas, territories, and designated urban areas that are consistent with measures and metrics

established in the TCL.

Discussion: This national priority focuses on three capabilities from the TCL: CBRNE

Detection; Explosive Device Response Operations; and Weapons of Mass Destruction (WMD)

and Hazardous Materials Response and Decontamination. The National Security Strategy issued

in March 2006 notes that there are few threats greater than a terrorist attack with WMD.

CBRNE materials can be used as WMD to produce thousands of casualties in a single attack.

The Nation’s capability to detect and respond to such incidents is imperative. Because the

potential number of terrorist targets is large, and the threats and means of delivery are varied, the

Nation must develop a layered defense against WMD. An effective CBRNE detection

infrastructure will ensure CBRNE materials are rapidly detected, identified, and safely managed

at borders, critical locations, events, and incidents. By their nature, CBRNE materials differ in

detection and characterization methodologies. CBRNE response includes activities to address

the immediate and short-term actions to preserve life, property, and the environment, as well as

the social, economic, and political structure of the community, State, and Nation. It is critical

that all levels of government coordinate the development of interagency response protocols prior

to the deployment of detection technology. Additional response activities are required post18
release/detonation. The ability to rapidly decontaminate large numbers of affected persons is

critical in preventing injury or death.

This national priority leverages efforts throughout government to develop capabilities to detect,

neutralize, contain, dismantle, and dispose of CBRNE materials, and decontaminate exposed

personnel and property. State, local, tribal, and territorial agencies and their hazardous materials

response teams are key players in early detection, response, and decontamination. At the Federal

level, different departments and agencies are key players for aspects of CBRNE detection,

response, and decontamination. These include the following: the Departments of Defense,

Justice, Agriculture, Health and Human Services, Energy, and Homeland Security; the

Environmental Protection Agency; and the Nuclear Regulatory Commission.

Additional information on the NRP as it relates to CBRNE can be found online at:

http://www.dhs.gov/nationalresponseplan

4.7 Strengthen Medical Surge and Mass Prophylaxis Capabilities

National Priority: Medical surge and mass prophylaxis capabilities are developed to target

levels in the States, tribal areas, territories, and designated urban areas that are consistent with

measures and metrics established in the TCL.

Discussion: This national priority focuses on the Medical Surge and Mass Prophylaxis

capabilities outlined in the TCL. The Medical Surge and Mass Prophylaxis capabilities are the

first lines of response to bioterrorism, pandemic influenza, and other public health emergencies.

The Medical Surge capability is prioritized because of the urgent need to enable our healthcare

system, particularly hospitals, to handle large numbers of patients requiring immediate

hospitalization following any type of incident. The ability to triage and provide decontamination

when necessary is essential. Emergency-ready hospitals and other healthcare entities must be

able to work collectively to handle different types of injuries, including physical and

psychological trauma, burns, infections, bone marrow suppression, or other chemical- or

radiation-induced injuries. Finally, in anticipation of a mass casualty incident that exceeds the

aggregate surge capacity of local hospitals, the community of medical providers must have

provisions in place to immediately accommodate an influx of supplemental healthcare assets

from mutual-aid partners, States, and the Federal Government. The Mass Prophylaxis capability

requires public health departments to organize and direct a mass prophylaxis campaign within an

extremely short timeframe, should one be needed to prevent illness and/or death in the face of a

potential or actual mass casualty incident. A mass prophylaxis campaign would require more

staff than what is normally available at a public health department to fulfill all functional roles.

Therefore, it is critical to involve other staffing sources (e.g., first responders, nongovernmental

organizations, and volunteers) in the campaign. The Cities Readiness Initiative is a pilot project

to assist cities in increasing their capacity to deliver medicines and supplies for mass prophylaxis

during a large-scale public health emergency (see Section 4.1). HHS provides many Federal

programs that support this priority. Two of the 12 HHS readiness objectives for State and local

public health emergency preparedness support this priority. The Public Health Security and

Bioterrorism Preparedness and Response Act of 2002 addresses the need to enhance public

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health and healthcare readiness for bioterrorism and other public health emergencies. The

Nation needs emergency-ready public health and healthcare services in every community as a

first line of response to such threats.

Also, as envisioned in the NRP and “Biodefense for the 21st Century,” the Nation needs to

strengthen Federal capabilities (such as the National Disaster Medical System and the Strategic

National Stockpile) to assist and augment State, local, tribal, and territorial emergency response

efforts as necessary, especially in responding to mass casualty incidents. Within HHS, the

Office of the Secretary administers the National Bioterrorism Hospital Preparedness Program.

This program enhances the ability of the Nation’s hospitals and the healthcare system to prepare

for and respond to bioterrorism and other public health emergencies. The CDC administers the

Cooperative Agreement on Public Health Preparedness and Response for Bioterrorism. CDC

funds are intended to upgrade State and local public health jurisdictions’ preparedness for and

response to the priorities identified in authorizing legislation.

Additional information on HHS readiness priorities can be found online at:

http://www.hhs.gov/ophep/npgs.html

Additional information on Medical Surge can be found online at:

http://www.hrsa.gov/bioterrorism/

Additional information on Mass Prophylaxis can be found on the CDC Coordinating Office of

Terrorism Preparedness and Emergency Response website at: http://www.bt.cdc.gov

4.8 Community Preparedness: Strengthening Planning and Citizen Capabilities

National Priority: Planning and citizen preparedness capabilities are developed to target levels

in the States, tribal areas, territories, and designated urban areas that are consistent with measures

and metrics established in the TCL.

Discussion: This national priority focuses on the Planning, Citizen Evacuation and Shelter-inPlace, Mass Care (sheltering, feeding, and related services), and Community Preparedness and

Participation capabilities from the TCL. Hurricane Katrina demonstrated not only the need for

renewed emphasis on planning capabilities, especially emergency operations planning, but also

on citizen preparedness. In a speech from Jackson Square in New Orleans after Hurricane

Katrina, President Bush highlighted emergency planning as a “national security priority.” The

Nation’s homeland security system is highly complex, with multiple objectives, partners, and

needs. Plans help make sense of this complex homeland environment. Planning is a methodical

way to think through the entire life-cycle of a potential crisis. Good planning repays the

investment of time and effort in development and rehearsal by shortening the time required to

gain control over an incident and by providing favorable conditions for rapid and effective

exchange of information about a situation, its analysis, and alternative responses. Planning helps

Federal, State, local, tribal, and territorial governments reorient capabilities and resources to be

more agile and ensures organizational structures, processes, and procedures effectively support

the intended strategic direction. As stakeholders learn and practice their roles, they can reduce

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uncertainty, expedite response, and improve effectiveness during the critical initial stages after

an event. This effort is a key to success in protecting people and property in crises.

The DHS Appropriations Act of 2006 directed DHS to complete a comprehensive nationwide

review of catastrophic planning, including planning for mass evacuations, sheltering, and related

services. DHS completed the Nationwide Plan Review in June 2006. The first phase of the

effort included analysis and reporting from States, territories, and urban areas regarding the

status of their plans, including when their plans were last updated and their confidence in the

plans to manage a catastrophic event. The second phase involved a peer review, validation of the

self-assessments, determination of requirements for planning assistance, and identification of

initial conclusions for strengthening plans for catastrophic events. The Nationwide Plan Review

was an initial step in establishing a shared contingency planning process to develop sound plans

that describe in detail how Federal, State, and local governments will jointly accomplish their

respective missions and employ the full range of capabilities at their disposal to achieve overall

national objectives.

As uniformed emergency responders constitute less than one percent of the total U.S. population,

it is clear that citizens must be better prepared, trained, and practiced on how best to take care of

themselves and assist others in those first, crucial hours during and after a catastrophic

incident. Citizens can reduce the demand for emergency assistance during catastrophic incidents

through preparedness measures and actively contribute to the Nation’s response capability by

participating in response and recovery activities. A trained and involved public will provide the

Nation with a critical surge capacity to augment government efforts in a catastrophic

incident. During Hurricane Katrina, many citizens exercised appropriate precautionary and

response actions and many citizens volunteered to support the response and recovery efforts. In

February 2006, the White House released “The Federal Response to Hurricane Katrina: Lessons

Learned,” which emphasizes that “citizen and community preparedness are among the most

effective means of preventing terrorist attacks, as well as protecting against, mitigating,

responding to, and recovering from all hazards. . . .[i]f every family developed their own

emergency preparedness plan, they almost certainly would reduce the demand for outside

emergency resources.” Through the Ready Campaign and the nationwide network of State and

local Citizen Corps Councils, DHS will focus on strengthening citizen preparedness capabilities,

particularly for special needs and socially vulnerable populations.

Additional information on FEMA and Planning can be found online at:

http://www.fema.gov/plan/

Additional information on planning standards can be found online at:

www.nfpa.org/PDF/nfpa1600.pdf?src=nfpa

Additional information on Community Preparedness and Participation can be found online at:

http://www.citizencorps.gov/

Additional information on the Ready Campaign can be found online at: http://www.ready.gov/

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5.0 A NATIONAL PREPAREDNESS SYSTEM SUPPORTS THE GUIDELINES

“We must now translate [these National Preparedness Guidelines] into a robust preparedness

system that includes integrated plans, procedures, policies, training, and capabilities at all levels

of government. The System must also incorporate the private sector, nongovernmental

organizations, faith-based groups, and communities, including individual citizens.”

– The Federal Response to Hurricane Katrina, Lessons Learned, February 2006

The National Preparedness System provides a way to organize preparedness activities and

programs pursuant to the National Preparedness Guidelines (see Figure 6). The desired endstate of our National Preparedness System is to achieve and sustain coordinated capabilities to

prevent, protect against, respond to, and recover from all hazards in a way that balances risk with

resources.

Figure 6: National Preparedness System

The National Preparedness System provides opportunities for all levels of government, the

private sector, nongovernmental organizations, and individual citizens to work together to

achieve priorities and capabilities outlined in the Guidelines. Many actions will be concurrent.

They are described below in order of sequence:

Policy and Doctrine involves ongoing management and maintenance of national policy

and doctrine for operations and preparedness, such as the NIMS, NRP, NIPP, and the

Guidelines.

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Planning and Resource Allocation involves application of common planning processes

and tools by government officials, working with the private sector, nongovernmental

organizations, and individual citizens to identify requirements, allocate resources, and

build and maintain coordinated capabilities that are prioritized based upon risk.

Training, Exercises, and Lessons Learned involves delivery of training and exercises

and performance evaluation to identify lessons learned and share effective practices.

Assessment and Reporting involves assessments based on established readiness metrics

and reporting on progress and effectiveness of efforts to achieve the vision of the

Guidelines.

6.0 MANAGEMENT AND MAINTENANCE

Because the Guidelines will be implemented over time through a wide range of preparedness

programs and activities, they do not include specific implementation instructions (guidance on

institutionalizing the Guidelines is within the Letter of Instruction at Appendix A). Guidance on

Guidelines implementation will also be supported by changes in requirements for receiving

Federal preparedness assistance, annual Federal program guidance, and Federal regulations, to

the extent permitted by law. Many programs and activities are already consistent with the

Guidelines and simply need to be implemented in closer coordination. Other partners might

need to initiate or reorient programs and initiatives (along with measurable objectives) to

implement the Guidelines. Implementation and partner feedback will inform future refinements

to the Guidelines. DHS will coordinate the establishment of a national-level structure and

process for the ongoing management and maintenance of the Guidelines. This will be closely

coordinated with similar structures and processes for the NIMS, NRP, NIPP, and other elements

of the National Preparedness System in order to help ensure national policy and planning for

operations and preparedness are mutually supportive.

DHS is committed to working with its homeland security partners in updating and maintaining

the Guidelines and related documents as part of a unified National Preparedness System, which

will help ensure coordinated strategies, plans, procedures, policies, training, and capabilities at

all levels of government. Implementation of the National Preparedness System is well under

way. It is building on assessments of risk, development of management policies and strategies,

identification of specific missions and supporting tasks in comprehensive plans, and matching of

capabilities against requirements to execute these policies, strategies, and plans. Federal, State,

local, tribal, and territorial governments will participate in assessments of readiness on a regular

basis. The National Preparedness System will emphasize feedback and periodic reassessment to

ensure the current state of preparedness is based on readiness metrics and is used as the basis for

policy and programmatic decisions. HSPD-8 requires the Secretary of Homeland Security to

provide to the President annual status reports on the Nation’s level of preparedness, including

State capabilities, the readiness of Federal civil response assets, the utilization of mutual aid, and

an assessment of how Federal preparedness programs support the Guidelines. These reports will

contribute to updates of the Guidelines.

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APPENDIX A – LETTER OF INSTRUCTION

The National Preparedness Guidelines (Guidelines) are formally established upon issuance and

supersede the Interim National Preparedness Goal issued on March 31, 2005. The Guidelines

provide an overarching vision, tools, and priorities to shape national preparedness. The

Guidelines do not include an implementation plan; implementation will occur over time through

a wide range of Federal, State, local, tribal, and territorial preparedness programs and activities.

For example, Federal program offices will develop detailed plans that describe how their

programs support Guidelines implementation in consultation with their stakeholders. Those

details must be reflected in annual program guidance, in the form of measurable objectives and

requirements. DHS will monitor those efforts and advise program offices and DHS leadership

on progress and opportunities to improve synchronization. Implementation and feedback will

inform future refinement of the Guidelines.

Requirements

This section outlines roles and responsibilities of Federal, State, local, tribal, and territorial

governments, nongovernmental organizations, the private sector, and citizens in implementing

the preparedness framework outlined by the Guidelines. Specifically, this section provides

examples of potential activities for the purpose of outlining the way forward. Guidelines

implementation will also be supported by changes in requirements for receiving Federal

preparedness assistance, annual Federal program guidance, and Federal regulations to the extent

permitted by law. Many programs and activities are already consistent with the Guidelines and

simply need to be implemented in closer coordination. Nothing in HSPD-8 alters or impedes the

ability of government officials to perform their responsibilities under law.

Department of Homeland Security

As the lead for implementation of the preparedness framework outlined by the Guidelines, DHS

shall do the following:

Coordinate the establishment of a management and maintenance structure and process for the

Guidelines, including the Capabilities-Based Preparedness tools and the assessment system;

As outlined in HSPD-8, coordinate consistency with the Guidelines among Federal

departments and agencies associated with the following:

- Federal preparedness assistance;

- First responder equipment standards;

- Preparedness research and development activities;

- Federal training programs;

- National Exercise Program;

- Interagency planning processes;

- Performance measurements for national preparedness;

- Relevant Federal regulatory requirements; and

- Federal assets in support of State, local, territorial, and tribal government operations.

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Address other HSPD-8 requirements, as appropriate.

State, Local, Tribal, and Territorial Governments and Nongovernmental Organizations

State, local, tribal, and territorial governments and nongovernmental organizations are

encouraged to do the following:

Participate in the development and implementation of the management and maintenance

structure and process for the Guidelines, including the Capabilities-Based Preparedness tools

and the assessment system;

Participate in Guidelines implementation by ascertaining their capability levels and their

respective requirements, and by consulting in the development of program plans and

guidance documents;

Adopt a step-by-step capability preparedness process similar to that described in Appendix B

to ensure that their respective homeland security programs are administered in a manner that

is consistent with the Guidelines and enhance the National Priorities;

Participate in regional initiatives to identify and synchronize the availability of existing and

future capabilities that may be accessible through mutual aid agreements;

Define appropriate support roles for employees to perform as emergency staff to fulfill

capabilities, and support the development and maintenance of an inventory of capabilities;

and

Address other HSPD-8 requirements as appropriate.

Private Sector

As stated in HSPD-8, appropriate private sector entities are encouraged to do the following:

Incorporate the safety and security of people and assets into business plans and corporate

strategies;

Participate in the development and implementation of the management and maintenance

structure and process for the Guidelines, including the Capabilities-Based Preparedness tools

and the assessment system;

Participate in Guidelines implementation by determining requirements and achieving

capabilities, and by consulting in the development of program plans and guidance

documents;

Participate in State, local, tribal, territorial, and regional planning and assessment processes

to comply with the Guidelines and TCL; and

Address other HSPD-8 requirements as appropriate.

As stated in HSPD-7, private sector entities are encouraged to do the following:

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Work with the relevant Sector-Specific Agencies to identify, prioritize, and coordinate the

protection of critical infrastructure and key resources in conformance with the National

Infrastructure Protection Plan; and

Share information about physical and cyber threats, vulnerabilities, incidents, potential

protective measures, and effective practices.

Federal Departments and Agencies

To support the Federal role in implementing the preparedness framework outlined in the

Guidelines, Federal departments and agencies (including DHS) shall do the following:

Support and participate in the management and maintenance structure and process developed

for the Guidelines, associated tools, and Capabilities-Based Preparedness process;

Initiate or re-orient programs and initiatives (along with measurable objectives) to implement

the Guidelines. The following step-by-step process is suggested for use by Federal

departments and agencies to ensure that their respective homeland security assistance

programs are administered in a manner that is consistent with the Guidelines and enhances

the National Priorities. This process description will be refined over time with user feedback

and supplemented with specific instructions, if necessary and if requested. This process is

not intended to substitute or impede department or agency autonomy for determining how

individual programs and initiatives will be modified to help implement the Guidelines:

o Step 1: Analyze the Guidelines and Identify Applicable Programs – Review the

Guidelines to understand the intent, direction, and requirements for national

preparedness. Identify preparedness programs – including initiatives to address

Hurricane Katrina Lessons Learned – that are applicable to the Guidelines. A program

or initiative is applicable to the Guidelines if its objectives support any of the National

Priorities or the capabilities identified in the TCL. Applicable programs and initiatives

may consist of grants, training, exercises, equipment, technical assistance, and response

capabilities to Federal, State, local, tribal, territorial, nongovernmental, or private sector

entities. Departments and agencies will periodically update and communicate to DHS

(as requested) this inventory of programs and initiatives, along with their status in

supporting the Guidelines. This information will be used for the Annual Report to the

President on National Preparedness;

o Step 2: Assess Program and Guidelines Consistency – Assess the services provided by

each applicable program or initiative to determine their consistency with the Guidelines.

Details on relevant programs and initiatives should be shared and coordinated with DHS

and the Homeland Security Council (HSC) to ensure an integrated approach and action

plan for Guidelines implementation. The HSC is responsible for coordinating the

development of national homeland security policy. DHS, with oversight from the HSC,

is responsible for coordinating the development and implementation of homeland

security program plans and annual program guidance among Federal departments and

agencies. Compliant Federal programs shall define interconnected and complementary

objectives, timelines, and requirements designed to synchronize with the Guidelines;

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o Step 3: Align Guidelines Implementation with Budget and Program Schedules – To the

greatest extent possible, Federal departments and agencies should modify applicable

program plans and policies to be consistent with the Guidelines. Federal departments

and agencies should notify DHS of program reforms that cannot be completed in the

upcoming budget cycle and should begin the process for implementing reforms in futureyear budget cycles in a manner that comports with their overall mission priorities;

o Step 4: Modify Applicable Programs – Each applicable program should conform its

operations to be consistent with the Guidelines. Conformance with the Guidelines may

warrant reforms to the administration, goals, objectives, accompanying guidance,

published materials, permitted uses, application process, award criteria, and other

components of the applicable program. Conformance will also necessitate the

integration of quantifiable preparedness and performance measures outlined in the TCL

within relevant applicable programs – including applications, award criteria, and project

evaluations – to monitor the progress of the program and its beneficiaries to advance the

Guidelines. Federal departments and agencies should modify application and award

processes to adopt the Capabilities-Based Preparedness process (See Appendix B) and to

monitor and report the application of applicable homeland security programs in

furtherance of the priorities and capabilities set forth in the Guidelines and TCL;

o Step 5: Notify Stakeholders – As soon as it is practicable, notify all appropriate partners

and beneficiaries of the applicable preparedness and response programs about the

reforms and their corresponding relationship to the Guidelines, TCL, and national

initiatives. Such notice may also include a solicitation of comments and suggestions for

future changes to the Guidelines and TCL;

o Step 6: Maintenance – Monitor the administration of the applicable programs to ensure

that they support the Guidelines. Participate in the DHS management and maintenance

process by submitting suggestions and comments to DHS. Comments may include any

function of reforming applicable programs to the Guidelines and should specifically

identify inconsistencies with other ongoing initiatives, implementation difficulties, and

recommended modifications to the TCL to ensure that it represents the most current

means of measuring national preparedness. Agencies should identify how relevant data

on program priorities, performance measures, and capability assessments will be

collected and integrated with national reporting efforts;

Support the development and maintenance of an inventory of Federal programs that support

capabilities outlined in the Guidelines; and

Address other HSPD-8 requirements as appropriate.

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Citizens

As directed in HSPD-8, DHS will work with all levels of government, nongovernmental

organizations, and the private sector to encourage active citizen participation and involvement in

preparedness. DHS along with Federal, State, local, tribal and territorial governments, and

private and nonprofit sectors should focus on efforts to accomplish the following:

Integrate and institutionalize citizen participation in all homeland security efforts nationwide;

Support a culture of preparedness by fostering collaboration and integration of all community

resources (citizens, nongovernmental organizations, private sector, and faith-based

organizations) with preparedness efforts at all levels of government through mechanisms,

such as Citizen Corps Councils, to conduct awareness and outreach campaigns to deliver the

message of personal responsibility to “prepare, train, and volunteer,” and to motivate all

Americans to take action to reduce their vulnerability and increase resilience;

Encourage citizen training and volunteer opportunities through programs such as Community

Emergency Response Teams, Medical Reserve Corps, Fire Corps, Volunteers in Police

Service, Neighborhood Watch, Citizens’ Academy, Ready Kids, and Ready Business;

Focus on special needs populations, such as people with disabilities, language and cultural

differences, economic barriers, and age-related issues and concerns;

Develop standards, recognition incentives, and assessment and evaluation criteria for citizen

preparedness and participation;

Share lessons learned and effective practices from communities around the country; and

Identify Cabinet Secretaries and other prominent public figures to serve as spokespersons to

promote citizen and community preparedness.

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APPENDIX B – CAPABILITIES-BASED PREPAREDNESS OVERVIEW

The National Preparedness Guidelines (Guidelines) are supported by a capabilities-based

approach to planning for major events. Capabilities-Based Preparedness is a form of all-hazards

planning. This Appendix provides an overview of Capabilities-Based Preparedness and outlines

a process that Federal, State, regional, and local preparedness programs can utilize as

Capabilities-Based Preparedness is adopted and institutionalized nationwide. It is organized into

three sections:

1. Definition

2. Planning Tools Referenced in the Guidelines

3. Capabilities-Based Preparedness Process

1. Definition

Capabilities-Based Preparedness is defined as:

...preparing, under uncertainty, to provide capabilities suitable for a wide range

of challenges while working within an economic framework that necessitates

prioritization and choice.

Capabilities-Based Preparedness is a way to make informed choices about how to manage the

risk and reduce the impact posed by potential threats. It focuses decision making on building

and maintaining capabilities to prevent and protect against challenges (e.g., intelligence analysis,

critical infrastructure protection, etc.) and to respond and recover when events occur (e.g., onsite

incident management, medical surge, emergency public information, and economic recovery).

The process rests on a foundation of multi-disciplinary, cross-governmental, and regional

collaboration to determine measurable capability targets, to assess current levels of capabilities,

and to find ways to close the gaps. As entities make choices in preparedness programs and

activities, they will be able to improve their own preparedness, focus available assistance on

areas of greatest need, and collaborate with others using a common reference framework.

Capabilities are defined as providing:

...the means to accomplish a mission or function and achieve desired outcomes by

performing critical tasks, under specified conditions, to target levels of performance.

The 37 capabilities referenced in the Guidelines span the full spectrum of homeland security

missions. While the listing does not yet encompass every function that must be accomplished to

prevent, protect against, respond to, or recover from a major event, it nonetheless offers a

comprehensive starting point for planning. Each capability is described in detail in the Target

Capabilities List (TCL), which accompanies the Guidelines. The description includes a

definition, outcome, preparedness and performance activities, tasks, and measures.

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2. Planning Tools Referenced in the Guidelines

The National Preparedness Guidelines utilize and reference three Capabilities-Based

Preparedness tools: the National Planning Scenarios, the TCL, and the Universal Task List

(UTL).

National Planning Scenarios

While preparedness applies across the all-hazards spectrum, the 2002 National Strategy for

Homeland Security attaches special emphasis to preparing for catastrophic threats with “the

greatest risk of mass casualties, massive property loss, and immense social disruption.” To

illustrate the potential scope, magnitude, and complexity of a range of major events, the

Homeland Security Council—in partnership with the Department of Homeland Security (DHS),

other Federal departments and agencies, and State, local, tribal, and territorial governments—

developed the National Planning Scenarios. The 15 Scenarios include terrorist attacks, major

disasters, and other emergencies. They are listed in Figure B-1.

Figure B-1: National Planning Scenarios

National Planning Scenarios

Improvised Nuclear Device Major Earthquake

Aerosol Anthrax Major Hurricane

Pandemic Influenza Radiological Dispersal Device

Plague Improvised Explosive Device

Blister Agent Food Contamination

Toxic Industrial Chemicals Foreign Animal Disease

Nerve Agent Cyber Attack

Chlorine Tank Explosion

All levels of government can use the National Planning Scenarios as a reference to explore the

potential consequences of major events and to evaluate and improve their capabilities to perform

their assigned missions and tasks. Planners are not precluded from developing their own

scenarios to supplement the National Planning Scenarios. DHS will maintain a National

Planning Scenario portfolio and update it periodically based on changes in the homeland security

strategic environment. The current version is available on the Office of Domestic Preparedness

(ODP) Secure Portal (https://odp.esportals.com) and the Lessons Learned Information Sharing

system (https://www.llis.dhs.gov). Use of specific National Planning Scenarios in federally

funded training and exercises will be addressed in program guidance.

Target Capabilities List

The TCL identifies and defines capabilities that the Nation may need to achieve and sustain,

depending on relevant risks and threats, in order to be prepared. A capability may be delivered

with any combination of properly planned, organized, equipped, trained, and exercised personnel

that achieves the desired outcome. Entities are expected to develop and maintain capabilities at

levels that reflect the differing risk and needs across the country.

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Each capability includes a description of the major activities performed within the capability and

the critical tasks and measures associated with the activity. Critical tasks are those tasks that

must be performed during a major event in order to minimize the impact on lives, property, and

the economy. Critical tasks may require coordination among Federal, State, local, tribal,

territorial, private sector, and/or nongovernmental entities during their execution. They are

essential to achieving the desired outcome and to the success of a homeland security mission.

The critical tasks are derived from the tasks found in the UTL. Critical tasks, when linked to

operating conditions and performance standards, provide the primary source of learning

objectives for training and exercises and provide input to planning and performance evaluation.

Operating conditions are variables of the environment, such as the terrain, weather, presence of

an adversary, and complexity of multi-agency relationships, that may affect performance. The

TCL includes measures and metrics that are quantitative or qualitative levels against which

achievement of a task or capability outcome can be assessed.

Planners at all levels of government can use the TCL as a reference to help them design plans,

procedures, training, and exercises that develop capacity and proficiency to perform their

assigned missions and tasks in major events. The TCL was developed with Federal, State, and

local subject-matter experts and drew on existing sources wherever possible. It will be updated

periodically in conjunction with the UTL. The current version is available on the ODP secure

portal (https://odp.esportals.com) and the Lessons Learned Information Sharing system

(https://www.llis.dhs.gov).

Universal Task List

The UTL provides a menu of tasks required to prevent, protect against, respond to, and recover

from major events represented by the National Planning Scenarios. Most tasks are common to

many, if not all, of the Scenarios, as well as other events not covered by the Scenarios. The UTL

serves as a common language and reference system that will support efforts to describe

operational tasks, so that personnel from across the Nation can work together effectively when

required. No single entity is expected to perform every task.

The UTL was developed with Federal, State, local, tribal, territorial, private sector, and

nongovernmental subject-matter experts and drew on existing sources wherever possible. The

UTL will be updated periodically in conjunction with the TCL. The current version is available

on the ODP secure portal (https://odp.esportals.com) and the Lessons Learned Information

Sharing system (https://www.llis.dhs.gov).

3. Capabilities-Based Preparedness Process

The Capabilities-Based Preparedness process (see Figure B-2) involves homeland security

partners in a systematic and prioritized effort to accomplish the following:

Convene working groups;

Determine capability requirements;

Assess current capability levels;

Identify, analyze, and choose options;

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Update plans and strategies;

Allocate funds;

Update and execute program plans; and

Assess and report.

The process emphasizes collaboration to identify, achieve, and sustain target levels of capability

that will contribute to enhancing overall national levels of preparedness. This simple, step-bystep sequence illustrates how processes and tools are combined to identify and prioritize

measurable preparedness targets in assessing current capabilities, then allocating available

resources and emphasis to the most urgently needed capabilities based on risk. DHS will refine

this description over time with user feedback and supplement it with specific instructions in

annual program guidance.

Figure B-2: Capabilities-Based Preparedness Process

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Step 1: Convene Working Group

The preparedness process should begin with formation of a chartered, representative working

group. It is strongly encouraged that, wherever possible, previously established working groups

be used for this process. The working group should be multi-disciplinary, multi-agency, and

multi-jurisdictional. Where appropriate, working groups should include the private sector and

nongovernmental partners. The intent is to bring together regional practitioners from across

disciplines so that they can be effective advisors to the senior decision-makers who formulate

strategies, set priorities, and allocate funds.

Step 2: Determine Capability Targets

The working group will determine risk-based target levels for each capability by reviewing the

TCL and conducting risk analysis. Such target levels must balance risk with resources – both

resources that are currently available and those that can realistically be acquired through regional

collaboration.

The TCL provides a series of examples of how capabilities may apply to jurisdictions of

different sizes. These examples are intended to provide guidance on how the target levels listed

in individual capabilities vary based on the region and implementing agency. It is important to

keep in mind that any combination of elements (or resources) that delivers the desired outcome is

acceptable. The TCL is not intended to direct specific resource requirements for every agency or

jurisdiction for each year, nor is it descriptive of all of the resources necessary for every type of

scenario.

Step 3: Assess Current Capability Levels

The core of the Capabilities-Based Preparedness approach is the comparison of current

capabilities with risk-based target capability levels. The working group will coordinate an

assessment of the current levels of capability. Capability assessments measure the current level

of capability against the target levels of capability from the TCL applicable to the respective

level of government. Comparisons will reveal “gaps” (implying outcomes cannot be

accomplished with current capabilities), “excesses” (unnecessary redundancies or no longer

needed capabilities), and “deficiencies” (an existing capability that is insufficient to provide a

reasonable assurance of success against a specified scenario). Some of the required capabilities

and expertise will not be present in the State or jurisdiction. Many will be secured through

regional multi-agency coordination (i.e., mutual aid, acquisition through contracting, and

resources from nongovernmental and private sector partners).

Step 4: Identify, Analyze, and Choose Options

Capabilities-Based Preparedness also involves selecting methods to address capability gaps and

deficiencies. This step involves translating a capability gap or deficiency into specific needs and

determining a combination of resources to fulfill the need. Analytical processes using

comparative, trade-off, and risk analyses are applied in this step. Recognizing that there is

usually more than one resource combination that can address a capability gap or deficiency, the

analysis includes identifying, analyzing, and choosing options, using the recommended resources

identified in the TCL as a guide. This analysis provides senior decision-makers with alternative

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combinations of resources or solution sets for each capability gap or deficiency. Analysis

components are described below.

Identify Options. The range of options identified should be kept to a manageable number, but

solutions should be framed in terms of the elements required to implement a capability. A

capability may be delivered with any combination of properly planned, organized, equipped,

trained, and exercised personnel that achieves the desired outcome. In reviewing options, the

effectiveness of applying mutual aid among geographic regions and levels of government should

be considered.

Analyze Options. Once a range of options has been identified, each option should be analyzed

and prioritized against a standard set of criteria. The analysis will determine the combination of

resources that could provide the desired capability or capabilities and will appropriately address

risk. Examples of criteria include the following:

Ability of the identified approaches to provide the desired capability. Due to prior

investments, it may not be necessary to invest in all six elements (see Figure 3 on page 5

of the Guidelines) at one time in order to achieve a capability;

Ability of the approaches to deliver the total capability. If an approach cannot deliver the

total capability, evaluate how much of the capability can be met;

Delivery time frame;

Relative improvement in capability level provided by the approaches as compared to the

existing capability; and

Cost to develop, procure, and sustain the approaches versus the cost to sustain the existing

capability.

Choose Options. The results of the analysis are presented to senior decision-makers for

consideration. Risk determinations are embedded in the decision-making process. Risk

determinations will consider the range of capability gaps, excesses, and deficiencies; issues

identified during analysis (as identified in the analyze options component criteria); and strategic

concerns and implications. Risk determinations will also consider the following:

Can the capability outcome be accomplished and provide a reasonable assurance of

success?

What are the potential costs compared to other options? Are the costs and time required

appropriate for the benefit gained?

What is the impact on planning? Is the solution compatible with other solutions available

through assistance programs, and can mutual aid be applied to meet the requirement?

By applying known constraints and examining all capabilities, a preferred solution set can be

selected. The results can then be consolidated into a prioritized, balanced portfolio across all

relevant capabilities.

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Step 5: Update Plans and Strategies

Once options are chosen, working groups can update their emergency operations plans and

preparedness strategies. The strategies should be aligned with the National Preparedness

Guidelines and support and facilitate regional cooperation and mutual aid. Strategies are multiyear planning vehicles supported by specific annual work plans that describe each year’s

approach to meeting the longer term strategy. Regional mutual aid agreements should be

updated or revised, funding requests should identify prioritized resource needs, and existing

resources should be reallocated, as appropriate, to close capability gaps.

Step 6: Allocate Resources

Decision-makers will lead a review of budgets, existing resources, and funding requests and map

these to current or potential sources of funding. Using Capabilities-Based Preparedness, their

aim is to produce an effective and regionally coordinated preparedness portfolio within each

jurisdiction and, as a consequence, across the Nation. Ultimately, balancing the preparedness

portfolio will contribute to a more prepared Nation by accomplishing the following:

Maximizing the return on preparedness investments and resources in compliance with

homeland security strategies and in coordination with the National Preparedness

Guidelines;

Providing clarity in resource allocation decisions based on consistently applied criteria

and decision-making frameworks; and

Encouraging a regional and/or mutual aid partner approach to national preparedness.

Step 7: Update and Execute Program Plans

The strategies and plans previously developed and/or updated are implemented through the

execution step. All relevant stakeholders carry out annual work plans. Execution focuses on the

following:

Administering programs;

Conducting planning and coordination;

Purchasing equipment in accordance with documented needs and specified standards, as

well as preparing and maintaining such equipment to be readily available as needed;

Developing and conducting training to fill capability gaps; and

Developing and conducting exercises to demonstrate performance.

The following example describes how Step 7 applies to Training and Exercises.

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Capabilities-Based Preparedness for Training and Exercises

Review relevant strategy and policy to identify priority TCL capabilities to

be trained for and exercised against

Develop a Multi-Year Training and Exercise Plan and Schedule for intended

training and exercise activities

Per the Multi-Year Schedule, carry out planned training activities oriented

toward augmenting priority TCL capabilities

Conduct exercises that apply and evaluate the priority TCL capabilities

developed through training

Use a “building-block cycle” of escalating exercise complexity (e.g.,

tabletop exercise, followed by a drill, followed by a full-scale exercise) to

incrementally build priority TCL capability levels

Evaluate capabilities tested in exercises using Homeland Security Exercise

and Evaluation Program Exercise Evaluation Guides linked to each TCL

capability

Update Multi-Year Plan annually to reflect new priority capabilities and

lessons learned from exercises

For more on Capabilities-Based Preparedness Planning for training and

exercises, see Homeland Security Exercise and Evaluation Program Volume I:

Overview and Exercise Program Management (http://hseep.dhs.gov).

Step 8: Assess and Report

An assessment process provides a continuously validated baseline for preparedness. Capability,

compliance, and performance assessments provide the basis to determine preparedness of

individual partners and levels of government, the synthesis of which produces a national

assessment of preparedness. Capability assessments are discussed in Step 3. Other types of

assessments include performance and compliance assessments. Performance and compliance

assessments serve to validate levels of capability. Compliance assessments will provide insight

into conformance with requirements (e.g., NIMS and other national programs). Performance

assessments are conducted through exercise programs.

Assessments are performed on a regular basis. Information from these assessments provides

comprehensive indicators for how effectively capabilities are achieved and maintained within the

assessed region. The results of these assessments will be presented to relevant decision-makers

for use as a mechanism to develop subsequent guidance. Analysis from assessments will enable

37
relevant decision-makers to ensure the appropriate balance of resources allocated to strengthen

specific capabilities.

The synthesis of analyses will help to develop a comprehensive “snapshot” of preparedness. In

addition to State and local efforts, overall progress towards increasing the national level of

preparedness will be documented and communicated through a national reporting cycle and

Annual Status Report.

The desired end-state is to implement the vision of preparedness defined in the National

Preparedness Guidelines and to coordinate homeland security capabilities across jurisdictions

and disciplines. Information from Capabilities-Based Preparedness will be used by preparedness

programs at all levels of government to refine program structures and strategies. This requires

understanding capability needs at the national level through analysis of data collected nationwide.

Results will be used to update the national priorities in the Guidelines and to provide enhanced

strategic direction for the Nation.

Achieving national preparedness hinges on using a flexible, all-hazards process that provides

common objectives, priorities, and standards. Capabilities-Based Preparedness provides the

means to address a wide range of challenges by leveraging appropriate homeland security

programs to reach our destination – A Nation Prepared.

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APPENDIX C – TERMS AND DEFINITIONS

All-Hazards Preparedness. Refers to preparedness for terrorist attacks, major disasters, and

other emergencies within the United States. (Source: HSPD-8, December 17, 2003)

Capability. A capability provides the means to accomplish a mission or function resulting from

the performance of one or more critical tasks, under specified conditions, to target levels of

performance. A capability may be delivered with any combination of properly planned,

organized, equipped, trained, and exercised personnel that achieves the desired outcome.

Critical Infrastructure. Critical infrastructure is defined as systems and assets, whether

physical or virtual, so vital to the United States that the incapacity or destruction of such systems

and assets would have a debilitating impact on any combination of national security, national

economic security, or national public health or safety. (Source: USA PATRIOT Act of 2001 and

Homeland Security Act of 2002, 6 U.S.C. § 101 et seq.)

Critical Tasks. Critical tasks are those tasks essential to achieving success in a homeland

security mission for a major event to prevent an occurrence, to minimize loss of life and serious

injuries, or to mitigate significant property damage.

Emergency. As defined by the Robert T. Stafford Disaster Relief and Emergency Assistance Act

(42 U.S.C. § 5121 et seq.), an emergency means any occasion or instance for which, in the

determination of the President, Federal assistance is needed to supplement State and local efforts

and capabilities to save lives and to protect property and public health and safety or to lessen or

avert the threat of a catastrophe in any part of the United States. (Source: NRP, December 2004)

Federal Departments and Agencies. Those executive departments enumerated in 5 U.S.C.

101; independent establishments as defined by 5 U.S.C. § 104(1); government corporations as

defined by 5 U.S.C. § 103(1); and the United States Postal Service. (Source: HSPD-8, December

17, 2003)

First Responder. Local and nongovernmental police, fire, and other emergency personnel who,

in the early stages of an incident, are responsible for the protection and preservation of life,

property, evidence, and the environment. This includes emergency response providers as

defined in section 2 of the Homeland Security Act of 2002, as well as emergency management,

public health, clinical care, public works, and other skilled support personnel (such as equipment

operators) who provide immediate support services during prevention, response, and recovery

operations. First responders may include personnel from Federal, State, local, tribal, territorial,

or nongovernmental organizations. (Source: NRP, December 2004)

Jurisdiction. A range or sphere of authority. Public agencies have jurisdiction at an incident

related to their legal responsibilities and authority. Jurisdictional authority at an incident can be

political or geographic (e.g., city, county, territorial, tribal, State, or Federal boundary lines) or

functional (e.g., law enforcement, public health). (Source: NIMS, March 2004)

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Key Resources. Key resources are defined as “publicly or privately controlled resources

essential to the minimal operations of the economy and government.” (Source: Homeland

Security Act of 2002)

Local Government. Local is defined as “(A) a county, municipality, city, town, township, local

public authority, school district, special district, intrastate district, council of governments

(regardless of whether the council of governments is incorporated as a nonprofit corporation

under State law), regional or interstate government entity, or agency or instrumentality of a local

government; (B) an Indian tribe or authorized tribal organization, or in Alaska a Native village or

Alaska Regional Native Corporation; and (C) a rural community, unincorporated town or village,

or other public entity.” (Source: Homeland Security Act of 2002)

Major Disaster. As defined under the Robert T. Stafford Disaster Relief and Emergency

Assistance Act (42 U.S.C. 5122), a major disaster is any natural catastrophe (including any

hurricane, tornado, storm, high water, wind-driven water, tidal wave, tsunami, earthquake,

volcanic eruption, landslide, mudslide, snowstorm, or drought) or, regardless of cause, any fire,

flood, or explosion, in any part of the United States, which in the determination of the President

causes damage of sufficient severity and magnitude to warrant major disaster assistance under

this act to supplement the efforts and available resources of States, local governments, and

disaster relief organizations to alleviate the damage, loss, hardship, or suffering caused thereby.

(Source: NIMS, March 2004)

Major Event. Refers to terrorist attacks, major disasters, and other emergencies within the

United States. (Source: HSPD-8, December 17, 2003)

Mass Prophylaxis. The process by which an entire community is to receive prophylactic drugs

and vaccines over a defined period of time in response to possible exposure to a biological agent.

(Source: Community-Based Mass Prophylaxis – A Planning Guide for Public Health

Preparedness, Agency for Healthcare Research and Quality, August 2004)

Measures and Metrics. Performance measures of quantitative or qualitative levels against

which achievement of a task or capability outcome can be assessed. They describe how much,

how well, and/or how quickly an action should be performed and are typically expressed in way

that can be observed during an exercise or real event. The measures and metrics are not

standards. They serve as guides for planning, training, and exercise activities. However,

nationally accepted standards of performance, benchmarks, and guidelines are reflected, if

applicable. (Source: Target Capabilities List, March 2007)

Mitigation. The activities designed to reduce or eliminate risks to persons or property or to

lessen the actual or potential effects or consequences of an incident. Mitigation measures may be

implemented prior to, during, or after an incident. Mitigation measures are often informed by

lessons learned from prior incidents. Mitigation involves ongoing actions that reduce exposure

to, probability of, or potential loss from hazards. Measures may include zoning and building

codes, floodplain buyouts, and analysis of hazard-related data to determine where it is safe to

build or locate temporary facilities. Mitigation can include efforts to educate governments,

41
businesses, and the public on measures they can take to reduce loss and injury. (Source: NIMS,

March 2004)

National. Of a nationwide character, including the Federal, State, local, tribal, and territorial

aspects of governance and policy. (Source: NIMS, March 2004)

Preparedness. The range of deliberate, critical tasks and activities necessary to build, sustain,

and improve the operational capability to prevent, protect against, respond to, and recover from

domestic incidents. Preparedness is a continuous process. Preparedness involves efforts at all

levels of government and coordination among government, private-sector, and nongovernmental

organizations to identify threats, determine vulnerabilities, and identify required resources.

Within the NIMS, preparedness is operationally focused on establishing guidelines, protocols,

and standards for planning, training and exercises, personnel qualification and certification,

equipment certification, and publication management. (Source: NIMS, March 2004)

Prevention. Actions to avoid an incident or to intervene to stop an incident from occurring.

Prevention involves actions taken to protect lives and property. It involves applying intelligence

and other information to a range of activities that may include such countermeasures as

deterrence operations; heightened inspections; improved surveillance and security operations;

investigations to determine the full nature and source of the threat; public health and agricultural

surveillance and testing processes; immunizations, isolation, or quarantine; and, as appropriate,

specific law enforcement operations aimed at deterring, preempting, interdicting, or disrupting

illegal activity and apprehending potential perpetrators and bringing them to justice. Under

HSPD-8, the National Preparedness Guidelines do not address more general and broader

prevention efforts to deter, disrupt, or thwart terrorism by Federal law enforcement, defense, and

intelligence agencies. (Source: NIMS, March 2004; HSPD-8, December 17, 2003)

Protection. Actions to reduce the vulnerability of critical infrastructure or key resources in

order to deter, mitigate, or neutralize terrorist attacks, major disasters, and other emergencies. It

requires coordinated action on the part of Federal, State, and local governments, the private

sector, and concerned citizens across the country. Protection also includes continuity of

government and operations planning; awareness elevation and understanding of threats and

vulnerabilities to their critical facilities, systems, and functions; identification and promotion of

effective sector-specific protection practices and methodologies; and expansion of voluntary

security-related information sharing among private entities within the sector as well as between

government and private entities. (Source: HSPD-7, December 17, 2003).

Recovery. The development, coordination, and execution of service and site restoration plans;

the reconstitution of government operations and services; individual, private-sector,

nongovernmental, and public assistance programs to provide housing and promote restoration;

long-term care and treatment of affected persons; additional measures for social, political,

environmental, and economic restoration; evaluation of the incident to identify lessons learned;

post-incident reporting; and development of initiatives to mitigate the effects of future incidents.

(Source: NIMS, March 2004)

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Region. Generally refers to a geographic area consisting of contiguous Federal, State, local,

territorial, and tribal entities.

Response. Activities that address the short-term, direct effects of an incident. Response

includes immediate actions to save lives, protect property, and meet basic human needs.

Response also includes the execution of emergency operations plans and of mitigation activities

designed to limit the loss of life, personal injury, property damage, and other unfavorable

outcomes. As indicated by the situation, response activities include applying intelligence and

other information to lessen the effects or consequences of an incident; increased security

operations; continuing investigations into the nature and source of the threat; ongoing public

health and agricultural surveillance and testing processes; immunizations, isolation, or

quarantine; and specific law enforcement operations aimed at preempting, interdicting, or

disrupting illegal activity, apprehending actual perpetrators, and bringing them to justice.

(Source: NIMS, March 2004)

Risk. Risk is a function of three variables: threat, vulnerability, and consequence. (Source:

“Discussion of the FY 2006 Risk Methodology and the Urban Areas Security Initiative,”

November 2005, www.ojp.usdoj.gov/odp/docs/FY_2006_UASI_Program_

Explanation_Paper_011805.doc)

State Government. The governing body of any State of the United States, the District of

Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, the

Commonwealth of the Northern Mariana Islands, and any possession of the United States.

(Source: Homeland Security Act of 2002)

Volunteer. Any individual accepted to perform services by an agency that has the authority to

accept volunteer services, if that individual performs services without promise, expectation, or

receipt of compensation for services performed. (Source: NIMS, March 2004)

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APPENDIX D – ACRONYMS AND ABBREVIATIONS

CBRNE Chemical, Biological, Radiological, Nuclear, and Explosive

CDC Centers for Disease Control and Prevention

CI/KR Critical Infrastructure/Key Resources

CRI Cities Readiness Initiative

DHS Department of Homeland Security

DOJ Department of Justice

EEG Exercise Evaluation Guide

EMAC Emergency Management Assistance Compact

EMS Emergency Medical Services

FBI Federal Bureau of Investigation

HHS Department of Health and Human Services

HSPD Homeland Security Presidential Directive

ICS Incident Command System

IWN Integrated Wireless Network

ISE Information Sharing Environment

JTTF Joint Terrorism Task Force

NEMA National Emergency Management Association

NIMS National Incident Management System

NIPP National Infrastructure Protection Plan

NRP National Response Plan

ODP Office for Domestic Preparedness

SSP Sector-Specific Plan

TCL Target Capabilities List

UASI Urban Areas Security Initiative

UTL Universal Task List

WMD Weapons of Mass Destruction

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