National Capital Region: 2010 Strategic Plan is Generally Consistent with Characteristics of Effective Strategies
Published: 2011-12-07T00:00:00

Fast Facts:

Highlights:
section_title: Why GAO Did This Study
paragraphs: This testimony discusses the status of efforts to enhance emergency preparedness in the National Capital Region (NCR). The NCR is a partnership among the District of Columbia, the State of Maryland, the Commonwealth of Virginia, area local governments, the Department of Homeland Security's (DHS) Office for National Capital Region Coordination (NCRC) within the Federal Emergency Management Agency (FEMA), and nonprofit organizations and private sector interests. The partnership aims to help the region prepare for, prevent, protect against, respond to, and recover from "all-hazards" threats or events. Gridlock and hazardous conditions during recent events like the January 26, 2011, snow and ice storm and the August 23, 2011, earthquake demonstrate the importance of regional communication and coordination in the NCR and that challenges remain. Well-crafted and executed operational plans are critical for effective response to emergencies, but sound strategic planning is also important. A coordinated strategy to establish and monitor the achievement of regional goals and priorities is fundamental to enhancing emergency preparedness and response capabilities in the NCR. We reported on this issue repeatedly from 2004 through 2006. This testimony focuses on the extent to which strategic planning for NCR preparedness is consistent with characteristics we have previously identified as desirable for strategies for complex undertakings, such as NCR preparedness. This statement is based on work we recently completed for Congress.
section_title: What GAO Found
paragraphs: The 2010 NCR strategic plan, when accompanied by its supporting documents--investment plans, work plans, and a Performance Management Plan--collectively referred to in this statement as the NCR strategy, is largely consistent with the six characteristics of a strategy that we advocated for complex homeland-security undertakings where multiple organizations must act together to achieve goals and objectives. However, neither the Performance Management Plan nor the investment plans have yet been finalized; decisions remain regarding how the NCR will conduct future regional risk assessments; and it is not clear that NCR has systematic processes in place to identify the full range of resources available to support its goals. Finally, it is important to keep in mind that strategies themselves are not endpoints, but rather, starting points. As with any strategic planning effort, implementation is the key. The ultimate measure of the 2010 NCR strategy's value is how useful it is as guidance for policymakers and decisionmakers in allocating resources and balancing priorities.

section_title: Letter
paragraphs: I appreciate the opportunity to participate in today’s hearing on the status  of efforts to enhance emergency preparedness in the National Capital  Region (NCR). The NCR is a partnership among the District of Columbia,  the State of Maryland, the Commonwealth of Virginia, area local  governments, the Department of Homeland Security’s (DHS) Office for  National Capital Region Coordination (NCRC) within the Federal  Emergency Management Agency (FEMA), and nonprofit organizations  and private sector interests. The partnership aims to help the region  prepare for, prevent, protect against, respond to, and recover from “all- hazards” threats or events. Gridlock and hazardous conditions during  recent events like the January 26, 2011, snow and ice storm and the  August 23, 2011, earthquake demonstrate the importance of regional  communication and coordination in the NCR and that challenges remain.  Well-crafted and executed operational plans are critical for effective  response to emergencies, but sound strategic planning is also important.As I have previously testified, a coordinated strategy to establish and  monitor the achievement of regional goals and priorities is fundamental to  enhancing emergency preparedness and response capabilities in the  NCR.
We reported on this issue repeatedly from 2004 through 2006, and I  testified most recently on the NCR’s preparedness before the  Subcommittee on Oversight of Government Management, the Federal  Workforce and the District of Columbia, Committee on Homeland Security  and Governmental Affairs, U.S. Senate, in September 2006. My remarks  today focus on the extent to which strategic planning for NCR  preparedness is consistent with characteristics we have previously  identified as desirable for strategies for complex undertakings, such as  NCR preparedness. This statement is based on work we recently  completed for you. To conduct this work, we compared the 2010  strategic-plan update with six characteristics of an effective homeland- security strategy we previously identified.strategic plan and associated documents—such as investment plans— but we did not evaluate whether and how well NCR has fostered,  implemented, and executed coordinated capability efforts. We have  recently initiated a review of NCR preparedness efforts for these  subcommittees and expect to issue a report late next year.
We reviewed the content of the  We conducted this work from November 2011 through December 2011 in  accordance with generally accepted government auditing standards.  Those standards require that we plan and perform the audit to obtain  sufficient, appropriate evidence to provide a reasonable basis for our  findings and conclusions based on our audit objectives. We believe the  evidence provides a reasonable basis for our findings and conclusions  based on our audit objectives.
In summary, the 2010 NCR strategic plan, when accompanied by its  supporting documents—investment plans, work plans, and a  Performance Management Plan—collectively referred to in this statement  as the NCR strategy, is largely consistent with the six characteristics of a  strategy that we advocated for complex homeland-security undertakings  where multiple organizations must act together to achieve goals and   However, neither the Performance Management Plan nor the  objectives.investment plans have yet been finalized; decisions remain regarding how  the NCR will conduct future regional risk assessments; and it is not clear  that NCR has systematic processes in place to identify the full range of  resources available to support its goals.mind that strategies themselves are not endpoints, but rather, starting  points. As with any strategic planning effort, implementation is the key.  The ultimate measure of the 2010 NCR strategy’s value is how useful it is  as guidance for policymakers and decisionmakers in allocating resources  and balancing priorities.
subsections: section_title: Background
paragraphs: The NCR is a unique regional partnership, in that it is the only region that  has a statutorily created and federally funded office devoted solely to  supporting coordination and cooperation within the region. Appendix I  provides more information about the region and the organizations  responsible for supporting preparedness coordination.
We have reported in the past on preparedness efforts for the NCR. Our  past work for Congress has tracked the evolution and development of  increasingly effective efforts to develop a coordinated NCR preparedness  strategy, along with some opportunities for continuing improvement in  strategy-related efforts. See appendix II for more information about our  past NCR work.
section_title: The 2010 NCR Strategy Is Largely Consistent with Desirable Characteristics for Effective Strategies
paragraphs: We have previously identified six characteristics of effective strategies  that could be applied to the NCR. We noted that these six characteristics  would help to enable its implementers to effectively shape policies,  programs, priorities, resource allocations, and standards and enable  relevant stakeholders to achieve intended results. These characteristics  call for strategies to include (1) purpose, scope, and methodology; (2)  problem definition and risk assessment; (3) goals, subordinate objectives,  activities, and performance measures; (4) resources, investments, and  risk management; (5) organizational roles, responsibilities, and  coordination; and (6) integration and implementation.
More information  about the six desirable strategy characteristics and their application to a  regional preparedness strategy appears in appendix III.
subsections: section_title: Purpose, Scope, and Methodology
paragraphs: The 2010 NCR strategy addresses why the strategy was produced, the  scope of its coverage, and the process by which it was developed. The  introduction to the plan specifies that it was produced to help identify the  capabilities needed to strengthen the region’s homeland security efforts  and to define the framework for achieving those capabilities. The scope of  the plan, as outlined in the introduction, is strategic investment in new and  existing capabilities to help all localities in the NCR prepare for, prevent,  protect against, respond to, and recover from all-hazards threats and  events. Specifically, the plan’s goals and objectives are designed to build  new and expanded capabilities and to ensure maintenance of previous  investments. Additionally, the aim of these capabilities, according to the  plan, is to help support the localities in the NCR as they execute their  operational plans in all phases of homeland security. The plan’s  methodology appendix specifies that the effort to produce the 2010 plan  started with an NCR partner-led assessment of progress under the 2006  NCR Strategic Plan and stakeholder recommendations on how best to  update the goals to reflect current priorities of the NCR. As part of this  effort, subject-matter experts identified priority capabilities from the 2010  UASI Investment Justifications that serve as the foundation for the plan’s  goals and objectives. Additionally, the appendix outlines how the NCR  partners (1) accounted for legislative, policy, and economic factors; (2)  facilitated stakeholder engagement; (3) drew on capabilities-based  analysis to identify priorities; and (4) designed capability initiatives to be  specific and measurable.
section_title: Problem Definition and Risk Assessment
paragraphs: The 2010 NCR strategy generally addresses the particular problems and  threats the strategy is directed towards, and the NCR has undertaken  efforts to assess threats, vulnerabilities, and consequences. In our  September 2006 statement on NCR strategic planning, we noted that an  ongoing risk-assessment methodology is important to help ensure  identification of emerging risks. It is not clear from the strategy how the  NCR plans to update risk information, but according to responsible NCR  officials, a regional risk assessment will be conducted every 2-4 years,  and during this fiscal year the NCR will be making decisions about the  timing and methodology for the next regional risk assessment. In addition,  the officials said risk information can enter prioritization decisions as  subject matter experts bring to bear their knowledge of critical- infrastructure sector-specific risk assessments and lessons learned from  regional and worldwide incidents.
The 2010 NCR Strategic Plan includes a profile of the region that details  how particular social, economic, and critical-infrastructure factors in the  region serve to increase both the threat and consequence components of  its profile. For example, the plan’s profile explains that the NCR has more  than 340,000 federal workers; 2,000 political, social, and humanitarian  nonprofit organizations; more than 20 million tourists per year; 4,000  diplomats at more than 170 embassies; and some of the most important  symbols of national sovereignty and democratic heritage. The plan notes  that the region needs to be prepared for a variety of threats and  challenges. The region has historically experienced, and in some cases  routinely experiences, natural events such as ice, snowstorms, and  flooding; special events such as international summits, inaugurations, and  parades; and human-caused threats such as terrorist attacks.
The plan identifies previously conducted risk-assessment efforts that,  along with other information, helped inform the identification of priority  goals, objectives, and activities. First, the NCR’s Hazard Information and  Risk Assessment, conducted in 2006, was used to identify threats and  vulnerabilities and then to consider consequences of various incidents.  Second, NCRC conducted another assessment—the NCR Strategic  Hazards Identification Evaluation for Leadership Decisions (SHIELD)—in  2008. NCRC developed SHIELD with input from federal, state, local, and  private-sector partners and in collaboration with DHS’s Office of Risk  Management and Analysis. SHIELD’s analysis ranks potential critical- infrastructure hazards and provides options for risk reduction, with a focus  on probable scenarios for the region.
section_title: Goals, Subordinate Objectives, Activities, and Performance Measures
paragraphs: The 2010 NCR strategy addresses what the strategy is trying to achieve,  and steps to achieve those results in the next 3 to 5 years; however, the  Performance Management Plan to help monitor progress toward those  results is not expected to be finalized until December 31, 2011. The  strategy clearly identifies updated and prioritized goals from the previous  version of the strategy. Each of these four goals is accompanied by  supporting objectives, which in turn, are supported by more targeted  initiatives. According to the strategy, the goals, objectives, and initiatives  were developed by multiple stakeholders, including emergency  managers, first responders, health-care officials, and information- technology specialists, among others, and focus on developing and  sustaining key capabilities in the region. (A full description of the goals,  objectives, and initiatives identified in the 2010 NCR strategy appears in  appendix IV.)
In our work on desirable strategy characteristics, we reported that  identification of priorities, milestones, and performance measures can aid  implementing parties in achieving results in specific timeframes—and  could enable more effective oversight and accountability. The strategy  states that a Performance Measurement Plan will guide monitoring of the  strategy’s implementation to evaluate progress in achieving its goals and  objectives. NCR provided us with a draft copy of the Performance  Measurement Plan, which is currently under development. Our review of  this draft showed that the NCR has begun efforts to develop measures.  While the 2010 plan states that the initiatives it defines are intended to be  attained during the next 3 to 5 years, the strategy does not currently  communicate specific milestones for achieving the plan’s objectives and  initiatives. However, according to NCR officials, with the annual planning  and implementation cycle beginning in January 2012, they plan to enter  into a new phase of their strategy efforts, designed to make the strategy  process more data-driven and project-management focused. According to  the officials, this phase entails each objective being assigned a  designated leader, who will be responsible for setting milestones and  monitoring project plans for achieving his or her objective across the  region.
The Performance Measurement Plan template information for each  initiative includes (1) the strategic goal and objective the initiative  supports; (2) a scale to track progress toward achieving the initiative; (3)  the initiative’s relationship to DHS’s Target Capabilities List; (4)  applicable national standards; and (5) multiple metrics for each initiative  to be tracked separately for Maryland, Virginia, and Washington, D.C. For  example, in the draft plan, the NCR initiative to “catalog all critical  infrastructure and key resources in the NCR and conduct consequence- of-loss analysis” ties in with three separate DHS Target Capabilities and  is based on the DHS National Infrastructure Protection Plan’s definition of  Tier-2 Critical Assets. It then provides five separate metrics to monitor  the identification and documentation of assets, as well as the completion  of consequence and loss analyses. A senior official in the NCR said that  subject-matter experts are currently completing progress reports on the  metrics for each of the initiatives in the strategy.
section_title: Resources, Investments, and Risk Management
paragraphs: The 2010 NCR strategy contains information and processes designed to  help address what the strategy will cost, the sources and types of  resources and investments needed, and where resources and  investments should be targeted based on balancing risk reductions with  costs. According to the strategic plan, its implementation will be guided by  investment plans that define the activities required to achieve the goals  and objectives, and an annual work plan will lay out grant-funded projects  needed to complete the investment plans. We have reviewed draft copies  of 16 investment plans, which are out for NCR partner comment until  December 22, 2011. Our review of the draft investment plans show that  they specify their relationship to the strategic objective they are designed  to support, but we did not evaluate how well the specific content of each  investment plan is designed to achieve those objectives.
In our work on desirable strategy characteristics, we reported that, ideally,  a strategy would identify appropriate mechanisms to allocate resources,  such as grants, in-kind services, loans, and user fees, based on identified  needs. The strategic plan notes that the UASI grant program provides a  key source of funding for achieving the priority capabilities in the NCR’s  Strategic Plan. The strategic plan’s methodology appendix states that the  2010 UASI Investment Justifications serve as the foundation for the  strategic plan’s goals and objectives. In previous NCR work, we raised  concerns about NCR’s singular focus on UASI resources.plan states that the NCR draws upon federal grant programs outside of  those provided by DHS, such as public health–related grants from the  Department of Health and Human Services and Department of Justice.  However, it is not clear that NCR has a systematic process for identifying  and allocating funding other than UASI to help achieve priority objectives.  According to responsible officials, NCR officials coordinate with local,  state, and federal jurisdictions to help ensure UASI investments do not  duplicate existing federal, state, and local assets. These officials also said  the new Management Review Process, set to begin in January 2012, is to  help with the identification and documentation of available resources.
Similarly, the plan does not identify nonfinancial resources—such as  Department of Defense (DOD) NORTHCOM or National Guard Bureau  resources—that potentially could support priority objectives.government has an array of resources that can be made available, at  request, to assist state and local response. For example, DOD has  significant capabilities to augment a federal chemical, biological,  radiological, nuclear, and high-yield explosive (CBRNE) response, like   The federal  those identified in the strategic plan, and also contributes to the  organization, training, and equipping of state-controlled military units  focused on consequence management.
According to the 2010 strategic plan’s methodology appendix, the  region’s priorities are informed by risk assessments—specifically  SHIELD—gap analyses, after-action reports, and other studies. According  to NCR officials, NCR and its jurisdictions coordinate with various DOD  organizations to ensure the availability of CBRNE assets. Moreover, they  said that subject-matter experts also bring their knowledge of other  resources and capabilities to bear during efforts to identify gaps and  prioritize resources. However, they acknowledged they have not  systematically considered how existing federal capabilities—like DOD  resources—relate to efforts to build the capabilities within their priority  objectives, but are considering how they might further enhance  coordination in the future. We will continue to monitor this issue as we  conduct future work on NCR preparedness.
section_title: Organizational Roles, Responsibilities, and Coordination
paragraphs: The 2010 NCR strategy addresses the roles and responsibilities of the  various NCR organizations. We previously reported that identifying which  organizations will implement the strategy, their roles and responsibilities,  and mechanisms for coordinating their efforts helps answer the  fundamental question about who is in charge, not only during times of  crisis, but also during all phases of preparedness efforts: prevention,  vulnerability reduction, and response and recovery. The NCR has  responsibility for coordinating information and resources from multiple  jurisdictions at the federal, state, and local levels to ensure that strategic  goals are met.
According to the 2010 NCR strategy, NCR stakeholders have constructed  the strategy to complement state and local operational plans. Operational  plans remain the responsibility of state and local emergency-management  agencies, and state and local emergency-operations plans describe how  each jurisdiction will coordinate its response to an event regionally.
The Governance appendix to the NCR strategic plan details the various  organizations involved in preparedness for all-hazards disasters in the  region and their roles and responsibilities. For example, the Emergency  Preparedness Council is described as the body that provides oversight of  the Regional Emergency Coordination Plan and the NCR Strategic Plan  to identify and address gaps in readiness in the NCR, among other  responsibilities. Additionally, the appendix lays out the Regional  Emergency Support Function committees for functions most frequently  used to provide support for disasters and emergencies in the region.
According to the plan, representatives from various sectors work together  toward building capabilities within each support function and the chairs of  the committees provide leadership in identifying gaps in regional  capabilities in the committee’s areas of responsibility and identify the  need for UASI funds or other resources to address those gaps. An  example of a Regional Emergency Support Function committee is the  Agriculture and Natural Resources Committee which focuses on nutrition  assistance, animal and plant disease and pest response, food safety and  security, as well as the safety and well-being of household pets.
Finally, the appendix highlights the Regional Programmatic Working  Groups which consist of practitioners, policymakers, and representatives  from the government, civic, and private sectors. The groups serve to fill  gaps, coordinate across the Regional Emergency Support Function, and  provide more focused attention on high-priority areas. For example, the  Exercise and Training Operations Panel Working Group supports training  and exercises for all Regional Emergency Support Functions.
section_title: Integration and Implementation
paragraphs: The 2010 NCR strategy addresses how the plan is intended to integrate  with the NCR jurisdictions’ strategies’ goals, objectives, and activities and  their plans to implement the strategy. An appendix dedicated to the plan’s  alignment with national and state strategic plans lays out how the NCR’s  strategic plan aligns with related federal, state, and local strategies,  programs and budgets, and emergency plans. The appendix states that  the aim of the NCR strategic plan is to align regional strategic planning  efforts with federal, state, and local planning efforts by identifying  common goals, objectives, and initiatives to be implemented by the  region. In addition, it says the strategic plan provides a framework by  which state and local entities can plan, resource, and track priority  homeland security–related programs and budgets.
section_title: Concluding Observations
paragraphs: The NCR faces a significant challenge coordinating federal, state, local,  and regional authorities for domestic preparedness activities. Due to the  size and complexity of the NCR, coordination with relevant jurisdictions  may confront challenges related to, among other things, different  organizational cultures, varying procedures and work patterns among  organizations, and a lack of communication between departments and  agencies. A well-defined, comprehensive homeland security strategic  plan for the NCR is essential for effectively coordinating investments in  capabilities to address the risks that the region faces, and our preliminary  observations are that the 2010 Strategic Plan was comprehensively  developed. However, we have previously noted that strategies  themselves are not endpoints, but rather, starting points. As with any  strategic planning effort, implementation is the key. The ultimate measure  of value for a strategy is how useful it is as guidance for policymakers and  decisionmakers in allocating resources and balancing priorities. It remains  to be seen the extent to which the plan is implemented effectively. We will  continue to monitor this as part of our ongoing work.
Chairmen Akaka and Pryor, Ranking Members Johnson and Paul, and  Members of the Subcommittee, this completes my prepared statement. I  would be pleased to respond to any questions that you or other Members  of the Committee may have at this time.
section_title: Contacts and Staff Acknowledgments
paragraphs: For further information about this statement, please contact William O.  Jenkins, Jr., Director, Homeland Security and Justice Issues, at (202)  512-8777 or jenkinswo@gao.gov. Contact points for our Offices of  Congressional Relations and Public Affairs may be found on the last page  of this statement. In addition to the contact named above, the following  individuals from GAO’s Homeland Security and Justice Team also made  key contributions to this testimony: Chris Keisling, Assistant Director;  Kathryn Godfrey, Susana Kuebler, David Lysy, Linda Miller, and Tracey  King.
section_title: Appendix I: The NCR Region and Organizations
subsections: section_title: National Capital Region
paragraphs: The National Capital Region (NCR) is a complex multijurisdictional area  comprising the District of Columbia and surrounding counties and cities in  the states of Maryland and Virginia (as shown in figure 1) and is home to  the federal government, many national landmarks, and military  installations. In addition to being the headquarters to all three branches of  the federal government, the NCR receives more than 20 million tourists  each year. The NCR is the fourth-largest U.S. metropolitan area in the  country and is also close to other densely populated areas, including  Baltimore and Philadelphia. Those living and working in the NCR rely on  a variety of critical infrastructure and key resources including  transportation, energy, and water. The transportation system contains the  nation’s second-largest rail transit and fifth-largest bus systems. The  intricate network of major highways and bridges serve the region’s  commuters and businesses, and the NCR also has two major airports  within its borders. These attributes both heighten the threat and raise the  consequences to the region in the instance of human-caused incidents.  An incident caused by any hazard could result in catastrophic human,  political, and economic harm to the region, as well as the entire nation.
The Homeland Security Act established the Office of National Capital  Region Coordination (NCRC) within the Department of Homeland  Security.  The NCRC is responsible for overseeing and coordinating  federal programs for and relationships with state, local, and regional  authorities in the NCR and for assessing and advocating for the  resources needed by state, local, and regional authorities in the NCR to  implement efforts to secure the homeland, among other things. One of  the NCRC mandates is to coordinate with federal, state, local, and  regional agencies and the private sector in the NCR to ensure adequate  planning, information sharing, training, and execution of domestic  preparedness activities among these agencies and entities.
subsections: section_title: NCR Governance Structure and Organizations that Support Preparedness
paragraphs: Figure 2, below, depicts the NCR organizational structure.
section_title: Appendix II: Our Past Work on NCR and Related Emergency Preparedness Efforts
paragraphs: GAO product  Homeland Security: Management of First  Responder Grants in the National Capital Region  Reflects the Need for Coordinated Planning and  Performance Goals, GAO-04-433 (Washington,  D.C.: May 28, 2004)
Findings and recommendations  NCR faced several challenges organizing and implementing efficient and  effective regional preparedness programs. Among these challenges included the  lack of a coordinated strategic plan, performance standards, and reliable,  centrally sourced data on funds available and the purposes for which they were  spent. We concluded that, without these basic elements, it would be difficult to  assess first-responder capacities, identify first-responder funding priorities, and  evaluate the effective use of federal funds to enhance first-responder capacities  and preparedness. We recommended, for example, that the Secretary of  Homeland Security (1) work with local National Capital Region (NCR)  jurisdictions to develop a coordinated strategic plan to establish goals and  priorities. Department of Homeland Security (DHS) generally agreed with our  recommendations and NCR finalized its first strategic plan in 2006.
Homeland Security: Effective Regional  Coordination Can Enhance Emergency  Preparedness, GAO-04-1009 (Washington, D.C.  Sept. 15, 2004)
Homeland Security: Managing First Responder  Grants to Enhance Emergency Preparedness in  the National Capital Region, GAO-05-889T  (Washington, D.C.: July 14, 2005)
The characteristics of effective regional coordination we previously identified  were applicable to the NCR’s efforts to coordinate emergency preparedness. We  noted that, if implemented as planned and as observed in its early stage, the  NCR’s Urban Area Security Initiative (UASI) program would include a  collaborative regional organization. While we remained concerned that the NCR  did not include a full array of homeland-security grants in its planning, we  reported that the NCR’s UASI program planned to address those issues by  identifying non-UASI funding sources and collecting information about the  funding allocations, expenditures, and purposes, as well as data on spending by  NCR jurisdiction. NCR is currently planning to implement a process to help  ensure identification of other funding resources.  In this statement, we reported on the implementation of the recommendations  from our May 2004 report. DHS was working with the NCR jurisdictions to  develop a coordinated strategic plan. At that time, we identified the need for NCR  to gather data regarding the funding available and used for implementing the  plan and enhancing first-responder capabilities in the NCR—data that were not  routinely available. We reported that such data would allow DHS to implement  and monitor the future plan, identify and address preparedness gaps, and  evaluate the effectiveness of expenditures by conducting assessments based on  established guidelines and standards. We remained concerned that no  systematic gap analysis had been completed for the region. We noted that the  NCR planned to complete an effort to use the Emergency Management  Accreditation Program (EMAP) as a means of conducting a gap analysis and  assess NCR jurisdictions against EMAP’s national preparedness standards.  Since we last reported, the District of Columbia has received its EMAP  accreditation.
Homeland Security: The Status of Strategic  Planning in the National Capital Region,  GAO-06-559T (Washington, D.C.: Mar. 29, 2006)
At the time of this report, a completed NCR strategic plan was not yet available.  We identified five areas that would be important for the NCR as it completed a  strategic plan. Specifically, we reported that a well-defined, comprehensive  strategic plan for the NCR was essential for assuring that the region is prepared  for the risks it faces and that the NCR could focus on strengthening (1) initiatives  that will accomplish objectives under the NCR strategic goals, (2) performance  measures and targets that indicate how the initiatives will accomplish identified  strategic goals, (3) milestones or time frames for initiative accomplishment, (4)  information on resources and investments for each initiative, and (5)  organizational roles, responsibilities, and coordination and integration and  implementation plans.
GAO product  Homeland Security: Assessment of the National  Capital Region Strategic Plan, GAO-06-1096T  (Washington, D.C.: Sept. 28, 2006)
Findings and recommendations  We concluded that the 2006 NCR strategic plan included all six characteristics  we consider desirable for a regional homeland-security strategy. To illustrate, the  plan includes regional priorities and presents the rationale for the goals and  related objectives and initiatives. However, we noted that the substance of the  information within these six characteristics could be improved to guide decision  makers.
section_title: Appendix III: Six Desirable Strategy Characteristics
paragraphs: We previously outlined a set of desirable characteristics for strategies  involving complex endeavors that require coordination and collaboration  among multiple entities. The desirable characteristics are presented in  table 1, along with a brief description and the benefit of each  characteristic.
section_title: Appendix IV: NCR 2010 Strategic Plan Goals, Objectives, and Initiatives
paragraphs: Goal  Ensure Interoperable Communications  Capabilities  Ensure response partners have the ability  to transmit and receive voice, data, and  video communications.
Initiatives  Increase access to voice systems capable of  transmitting and receiving voice information  to and from National Capital Region (NCR)  response partners.
Ensure response partners can  communicate and share necessary,  appropriate data in all environments and  on a day-to-day basis.
Develop and maintain secure data  communications governed by common  standards and operating procedures.
Share Computer Aided Dispatch data  between jurisdictions and other related data  systems to streamline the process of  capturing 911 information and responding to  incidents.
Share Geographic Information System data  between jurisdictions and other related data  systems.
Ensure response partners can  communicate and share necessary,  appropriate video information in all  environments on a day-to-day basis.
Increase access to video systems capable of  transmitting and receiving video information  to and from NCR response partners.
Enhance Information Sharing and  Situational Awareness  Ensure NCR partners share the  information needed to make informed and  timely decisions; take appropriate actions;  and communicate accurate, timely  information with the public.
Ensure the public has all information  necessary to make appropriate decisions  and take protective actions.
Improve the dissemination of accurate,  timely information to the public using  multiple venues, including social media  outlets, to ensure that the content of  emergency messages and alerts is easily  accessible and available to the public.
Define, obtain, and share appropriate  situational information with NCR partners  so that they have the necessary  information to make informed decisions.
Define essential elements of data and  information for situational awareness for  each discipline and all partners in the NCR.  Then develop, maintain, and utilize business  practices and common technical standards  for situational awareness in order to make  informed decisions.
Improve the NCR’s ability to collect,  analyze, share, and integrate intelligence  and law enforcement information so that  NCR partners receive appropriate  information.
Ensure all NCR fusion centers share  information through secure and open  systems, produce relevant and standardized  analytical products, and share information in  a timely manner with appropriate NCR  partners.
Ensure NCR partners have the systems,  processes, security clearances, tools, and  procedures to access, gather, and share  appropriate intelligence, law enforcement,  and classified data.
Goal  Enhance Critical Infrastructure  Protection  Enhance the protection and resilience of  critical infrastructure and key resources  (CI/KR) in the NCR to reduce their  vulnerability to disruption from all-hazards  events.
Objectives  Understand and prioritize risks to CI/KR.  Catalog all CI/KR in the NCR and conduct  consequence-of-loss analysis.
Conduct a comprehensive risk analysis of  the NCR CI/KR, including a review of the  critical systems upon which they depend and  the interdependencies of those systems.
Develop and implement a plan for sharing  CI/KR information among public and private  entities throughout the NCR.
Reduce vulnerabilities and enhance  resiliency of CI/KR.
Develop and implement sector vulnerability- reduction plans.
Conduct a technology-feasibility assessment  and develop a plan for technology  investments for CI/KR.
Develop and implement a cybersecurity plan  for NCR critical systems.
Ensure continuity of critical services  required during emergencies and disaster  recovery.
Identify key facilities throughout the NCR  that require backup critical services.
Assess facilities’ plans for loss of critical  services.
Promote broad participation in CI/KR  community outreach and protection  programs.
Develop a community-awareness training  and education program.
Develop a strategy for using CI/KR data to  inform law enforcement.
Establish a regional business information- sharing committee.
Monitor Critical Infrastructure to provide  situational awareness and to promote  rapid response.
Develop and implement a plan for a  comprehensive CI/KR monitoring program.
Develop and implement a plan that  integrates CI/KR monitoring information into  response operations.
Goal  Ensure Development and Maintenance  of Regional Core Capabilities  Develop and maintain the basic building  blocks of preparedness and response by  ensuring the NCR develops a baseline of  capabilities including: Mass Casualty,  Health Care System Surge, and Mass  Prophylaxis; Mass Care and Evacuation;  Citizen Participation, Alert, and Public  Information; Chemical, Biological,  Radiological, Nuclear, and Explosive  Detection and Response; and Planning,  Training, and Exercises.
Initiatives  Ensure that private health care, federal,  state, and local public health, and EMS  programs and providers in the NCR can  increase surge capacity to respond to mass- casualty incidents and events requiring  mass prophylaxis.
Establish a regional monitoring and  response system that allows for health and  medical-response partners to track patients,  hospital bed availability, alerts, and  EMS/hospital activity in a shared, secure  environment.
Ensure the ability to track patients from the  start of pre-hospital care to discharge from  the health-care system during both daily  operations and mass-casualty incidents.
Improve the region’s capacity to evacuate  and provide mass care for the public,  including special needs individuals, when  impacted by an all-hazards event.
Develop, coordinate, and integrate local and  state evacuation plans so that evacuation  polices and routes complement each other  to ensure the NCR’s ability to coordinate  evacuation across the region.
Ensure the NCR’s ability to provide  sheltering and feeding for the first 72 hours  following an incident for individuals in the  general population, persons with special  needs, persons with special medical needs,  and pets.
Strengthen individual, community, and  workplace preparedness for emergency  events through public engagement and  citizen participation designed to reach the  general population and special needs  citizens in response to and recovery from  all-hazards events.
Sustain the NCR’s ability to alert and warn  residents, businesses, and visitors using  multiple methods including social media.
Bolster recruitment, management, and  retention of volunteers through Community  Emergency Response Team, other citizen  corps programs, Volunteer Organizations  Active in Disaster member agencies, the  Medical Reserve Corps, and registration in  Emergency System for Advance  Registration of Volunteer Health  Professionals programs.
subsections: section_title: Goal
paragraphs: Initiatives  Ensure post-incident human services and  recovery assistance throughout the NCR  including case management, emergency  housing, behavioral health, spiritual care,  and family reunification.
Ensure the NCR has region-wide capacity  to detect, respond, and recover in a timely  manner from CBRNE events and other  attacks requiring tactical response and  technical rescue.
Enhance the NCR’s ability to detect  chemical, biological, radiological, and other  types of contamination.
Ensure region-wide access to Type 1  hazardous material (HazMat), bomb  response/Explosive Ordnance Device units,  and tactical teams and ensure each  unit/team is able to respond in a reasonable  amount of time.
Ensure all responders in the NCR have  access to Personal Protective Equipment,  equipment, and apparatus that match the  identified capability needs.
Establish a regional monitoring and  response system that provides health and  medical-response partners with central  access to biosurveillance.
Improve capacity to develop and  coordinate plans among all NCR partners  and ensure the availability of region-wide  training and exercise programs to  strengthen preparedness, response, and  recovery efforts from all-hazards events.
Develop and exercise key regional  emergency response and recovery plans.
Ensure regional procedures, memoranda of  understanding, and mutual-aid agreements  are in place to allow for rapid coordination of  resources including health assets across  jurisdictional boundaries.
Develop and update a matrix of training and  exercises that meet Homeland Security  Exercise and Evaluation Program standards  needed to maintain core regional  capabilities. This matrix should address new  and emerging threats and concerns raised in  gap analyses and after-action reports from  events and exercises.
Although the specific elements needed for situational awareness vary according to the field and area  of expertise, the term “situational awareness” in the 2010 strategic plan refers to the ability to identify,  monitor, and process important information, understand the interrelatedness of that information and  its implications, and apply that understanding to make critical decisions in the present and near  future. For example, if the region is threatened by a hurricane, awareness of the status of roads,  shelters, traffic, available medical resources, power outages, and the like is important in making  decisions about what type of assistance is needed and where it is needed. To coordinate an effective  response, NCR partners need to share their information and have access to the information of others.  The NCR fusion centers include the Maryland Coordination and Analysis Center, the Washington  Regional Threat and Analysis Center, the NCR Intelligence Center, and the Virginia Fusion Center. A  fusion center is a physical location where data can be collected from a variety of sources, including  but not limited to police departments, fire departments, health departments, and the private sector.  Experts analyze the incoming information and create intelligence products, which can be used to  maximize resources, streamline operations, and improve the ability to address all-hazards incidents  and threats. Fusion centers help to prevent terrorism and criminal activities as well as support  preparedness for man-made and natural hazards to trigger quick and effective response to all- hazards events.
Critical services are defined as life-sustainment services during an emergency and include energy  (electric power and gas), water supply, transportation, food, and communications. These are all  supplied routinely by the CI/KR sectors. During a disaster, providing critical life-sustaining services  ensures that government and private health, safety, and emergency services continue, and that plans  are in place to compensate for losses among interdependent systems.
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