Chapter Appendix A - Recommendations
Section Contents
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Critical Challenge: National Preparedness
Lesson Learned: The Federal government should work with its homeland security partners in revising existing plans, ensuring a functional operational structure—including within regions—and establishing a clear, accountable process for all National preparedness efforts. In doing so, the Federal government must:
· Ensure that Executive Branch agencies are organized, trained, and equipped to perform their response roles.
· Finalize and implement the National Preparedness Goal.
Recommendations:
National Response Plan and the National Incident Management System
1. DHS should establish an interagency team of senior planners with appropriate emergency management experience to conduct a comprehensive, 90-day review of the NRP and the NIMS. One of the main goals of this review will be to provide a cross-walk between the NIMS and the NRP to ensure that the two plans are properly integrated and clearly explained. Using feedback and lessons learned from the Hurricane Katrina response, including addressing relevant recommendations from the Katrina Lessons Learned Review Group, the interagency group led by DHS and overseen by HSC will develop findings and recommendations for changes to the NRP and request detailed comments and feedback from all agencies. Before changes are finalized, the group will test the recommended changes through tabletop exercises to ensure the suggested changes are clear and improve the NRP. Revisions should include the development and promulgation of guidance on the purpose and procedures for declaring Incidents of National Significance and the development of a streamlined, standardized mission assignment process and clearly delineate the consequences of an INS declaration. A second, independent group of subject-matter experts from across the State and local emergency response and homeland security community and the private sector should then review and validate the group’s recommendations. Following the completion of the 90 day review, the recommended modifications to the NRP will be expeditiously reviewed through the HSC interagency policy process.
a. Revise the NRP to address situations that render State and local governments incapable of an effective response. The NRP does not adequately anticipate that the Federal government may need to temporarily assume some inherently State and local responsibilities and augment State and local incident command staff during a catastrophic incident. The Federal government should develop plans to build and temporarily command the ICS until the local or State authorities are able to recover from the initial impact of the catastrophic incident and perform their roles under ICS. These plans should utilize any available State or local assets that may remain operational and necessarily require collaborative planning between Federal, State, and local authorities. These revisions should also be incorporated into the NRP-CIA and CIS. This effort should be part of the 90 day interagency review effort.
b. Realign ESFs to NIMS structure. Although the NRP base plan was predicated on the NIMS incident command system, the Emergency Support Functions (ESFs) were taken from the old Federal Response Plan and were not adequately realigned to fit within the NIMS structure. The ESFs should be realigned to fit within the NIMS structure to ensure coordination and efficiency. Rather than having each ESF function independently undertaking common functions (i.e., operations, planning, logistics, finance/administration), the ESF structure should be realigned to separate operational elements from common support requirements.
c. Require agencies to develop integrated operational plans, procedures and capabilities for their support to the base NRP and all ESFs and Support Annexes. The NRP required each ESF primary agency to “develop standard operating procedures (SOPs) and notification protocols.” Each primary department or agency for each ESF and support annex should develop a detailed operations plan on how they will become operational and coordinate with other annexes and ESFs during a major incident. These operational plans should conform to NIMS and be consistent with the recommended reconfiguration of the ESF structure. These plans should be exercised yearly through either National, departmental, or agency exercises. It should be recognized that these plans will take time to create and will need to be developed in collaboration with State and local officials.
d. All Federal departments and agencies should align their response structures to NIMS. In accordance with this alignment, the entire Federal response structure should be NIMS based, reporting through one unified command using the same terminology and basic organizational structure. Although ICS is a field command structure, developing an understanding of the ICS at all levels will eliminate confusion, standardize operations throughout the government, and limit unnecessary interference with field command. DHS should lead a review of all Federal department and agency response operations plans to guarantee conformance with NIMS and the NRP, from response teams to command post operations.
1. DHS should establish performance measures and metrics to allow an objective assessment of NRP and NIMS implementation status for all departments and agencies, and state and local governments.
2. After the establishment of the performance metrics, all departments and agencies will report to the President through the Homeland Security Council (HSC) within 60 days on all NRP/NIMS implementation efforts to date and on whether they have met the guidance goals established in HSPD-5. The HSC will assess the progress of NIMS implementation for each department and agency.
3. To ensure that State and local governments fully implement NIMS requirements to be eligible for Homeland Security Grant Program funding in fiscal year 2007 and thereafter, DHS should formally review all NIMS compliance certifications through a peer review process, in addition to a self-certification process. The peer review process should: (1) verify the satisfaction of training, planning, exercising, and other NIMS metrics; and (2) promote the sharing of lessons learned and best practices for institutionalizing the NIMS.
2. DHS should institute a formal training program on the NIMS and NRP for all department and agency personnel with incident management responsibilities. The key to the implementation of ICS is training. All departments and agencies should undertake an aggressive ICS training program for all personnel who may deploy during a disaster. It is essential that personnel have a working knowledge of ICS before a disaster occurs. Adequate training will be a component of the NRP/NIMS assessment. In order to effectively implement the NRP and NIMS, senior officials at departments and agencies must also be familiar with the requirements for their ESF roles, increased participation for specific scenarios, how to request and assign assets, how to work within a JFO structure, and the level of representation and participation coordinating entities require. DHS should therefore develop and deliver detailed briefings and instructions on the NIMS and NRP to all relevant Federal decision-makers including each Cabinet Secretary and their emergency response staff. Additionally, DHS should develop and deliver similar briefings and instructions tailored to relevant state and local decision makers, the private sector and Non-Governmental Organizations.
3. DHS should lead an interagency effort to develop and resource a deliberative, integrated and Federal planning and execution system to meet the requirements of the revised NRP. Departments and agencies should have both personnel and funds to be able to train, exercise, plan and detail staff to disaster response activities to enable better execution of their roles and responsibilities. Specific contingency plans must be integrated so that capabilities and gaps are identified and addressed.
Departments and agencies should develop and resource “Force Packages” of rapidly deployable operational capabilities that meet the re-organized ESF requirements within 90 days of completing the revised NRP.
The Department of Homeland Security: A Regional Structure for Preparedness
4. DHS should develop and implement Homeland Security Regions that are fully staffed, trained, and equipped to manage and coordinate all preparedness activities and any emergency that may require a substantial Federal response. Homeland Security Regions should be created and each region should be staffed with a preparedness group populated by subject matter experts from across the Federal government. Special consideration should be given to developing a separate National Capital Region due to the unique requirements associated with enduring constitutional government. The group’s goal within each region should be to prepare for disasters, conduct training, coordinate and integrate planning, measure capability and preparedness, and respond to a disaster if one occurs. The group should also help to ensure that Federal spending in the region is spent to bolster capabilities as outlined in the National Preparedness Goal. The size of the preparedness group should be determined by the size of the region, propensity of the region to experience a natural disaster or terrorist attack, risks within the region and general State and local preparedness measured against the National Preparedness Goal.
5. Each Regional Director should have significant expertise and experience, core competency in emergency preparedness and incident management, and demonstrated leadership ability. The Regional Director should have full situational awareness of all events, risks, and response capabilities within the region. When an event occurs in the region, the Regional Director should be ready to become the PFO and should coordinate or direct as appropriate the Federal response assets deployed within the operational area. The Regional Director as PFO should establish and direct the Regional Response Coordination Center (RRCC). These Regional Directors will comprise the professional PFO cadre and receive initial and on-going PFO training.
6. The PFO should have the authority to execute responsibilities and coordinate Federal response assets. The PFO should have the same authority as an FCO to manage and coordinate the Federal response to a disaster. The PFO should have the authority to make any operational decisions necessary, within the law, without having to obtain approval from headquarters. Giving the PFO this authority could be accomplished without a change to the Stafford Act by simply designating the PFO as an FCO. Alternatively, the Secretary of Homeland Security or the FEMA Director could delegate their authority to oversee FCO to the PFO. This action does not require demoting FCO’s within a particular region to Deputy FCOs. The FCO will retain all current authorities under the Stafford Act and will report through the PFO. An incident covering multiple states will require multiple FCOs operating concurrently under the command of the PFO.
7. Each Homeland Security Region must be able to establish a self-sufficient, initial JFO anywhere within the region. The rapid establishment of a JFO is the keystone to effective Federal emergency response. It is critical that each Region have the resources, equipment, and personnel to establish a JFO after a major disaster. This JFO should be built using available State, local, and/or National Guard infrastructure. It should also be built in such a way that Federal officials can collaborate with their State and local counterparts and thereby better complement their response operations. The JFO must also be completely self-sufficient, with food, water, power, communications equipment, and housing for personnel, to enable deployment to areas where critical infrastructure are damaged or destroyed. To the extent possible for an anticipated event, the organization of the JFO should begin before the event. For a no-notice event, each region should have the ability to establish an initial JFO within 12 hours. To assist in this effort, each region should pre-identify JFO locations in areas with large populations. The ability to establish a JFO after a major disaster directly enhances the Federal government’s ability to maintain continuity of operations (COOP). Each regional JFO should also identify and conduct exercises at their respective COOP sites.
8. Each region must be able to establish and resource rapidly deployable, self-sustaining incident management teams (IMT) to execute the functions of the JFO and subordinate area commands that are specified in the NRP and NIMS. The regional headquarters should create IMT’s that can rapidly respond to a disaster with robust, deployable communication packages and assist in establishing the command and control structures required in NIMS and the NRP. IMTs should be composed of experts in ICS who can establish a command for the Federal response to connect with State and local response structures during disasters and large scale events. IMTs should maintain certification in all levels of ICS for each ICS command element.
9. DHS should establish several strategic-level, standby, rapidly deployable interagency task forces capable of managing the national response for catastrophic incidents that span more than one Homeland Security Region. These Joint Interagency Headquarters should be led by a senior official from a pre-designated pool of individuals with significant emergency management experience and assessed as capable of serving as the PFO for a catastrophic incident. Standard operating procedures, requisite billet structure, and training requirements for the coordination of Federal support to multiple Joint Field Offices should be developed. When stood up to support the National response to a catastrophic incident, the Joint Interagency Headquarters should be manned by an experienced incident management staff drawn from a pool of pre-designated and trained interagency personnel, and supported with dedicated communications and transportation assets capable of self-deploying in any environment.
Incident Management Organization and Capabilities at the Federal Level
10. Integrate and synchronize the preparedness functions within the Department of Homeland Security. The recently established DHS Preparedness Directorate resulting from Secretary Chertoff’s review of the Department’s core policies, operations and structure should be fully implemented. To expand upon this initiative, DHS should integrate and synchronize the preparedness functions with the response, recovery and operational support activities currently located elsewhere in the department. Specifically, DHS should consider adding an Assistant Secretary for Preparedness Programs and an Assistant Secretary for Operational Plans, Training and Exercises, and an Executive Director for Public and Citizen Preparedness to the Undersecretary of Preparedness’ senior staff, which currently includes Assistant Secretaries for Grants and Training, Infrastructure Protection and Cyber & Telecommunications, plus the Chief Medical Officer, Fire Administrator, the Office of State and Local Coordination and the National Capital Region Director. This adjustment to the DHS headquarters will integrate all the preparedness functions of the Department and preserves FEMA as an independent operating agency to perform their response and recovery mission. There should be no artificial, functional, or geographic divide between the components of the Preparedness Directorate. The Undersecretary for Preparedness along with the FEMA Director should serve as the senior advisers to the Secretary on all matters related to the Federal response during an incident.
11. DHS should establish a permanent standing planning/operations staff housed within the National Operations Center (see recommendation #15). This body would evaluate the integration of Federal department and agency plans to ensure they align with resource availability. This group would replace the IIMG and be charged with coordinating national-level support to a region or multiple regions during a catastrophe, and staff interagency operational and policy decisions raised to the Disaster Response Group (see recommendation #19). The permanent group would be staffed by the interagency at the GS-15/0-6 level and comprise individuals with significant planning, preparedness, and response experience.
12. All departments and agencies should develop emergency response plans and a response capability. Many departments and agencies that traditionally do not have emergency response missions or roles assisted in the Hurricane Katrina response. To perform more effectively in future disasters, all Federal departments and agencies should develop emergency plans and possess the ability to operate in an emergency situation. Departments and agencies should coordinate and integrate their response planning efforts with those of other Federal agencies. DHS should be responsible for providing logistical support to these agency response teams in the field to avoid unnecessary duplication and expense of every Federal agency purchasing emergency response equipment for catastrophic incidents. Many Federal agencies will not have to respond to an emergency unless it is a catastrophic event.
13. A unified departmental external affairs office should be created within DHS that combines legislative affairs, intergovernmental affairs, and public affairs as a critical component of the preparedness and response cycle. DHS should create an Under Secretary for External Affairs fully staffed and capable of performing the roles of legislative, intergovernmental, and public affairs. DHS already has an Assistant Secretary for Public Affairs and an Assistant Secretary for Legislative Affairs. Therefore, an Assistant Secretary for Intergovernmental Affairs should be created. The DHS Regions should mirror this organizational structure and staff an external affairs function including intergovernmental affairs staff to better communicate with State and local officials before, during, and after disaster response. DHS should revise the NRP to include a deployable intergovernmental affairs surge capacity under ESF-15. The ESF-15 should be lead by the DHS Assistant Secretary of External Affairs.
14. HSC should lead an interagency review to update or modify as necessary Executive Order 12656, dealing with updated national security emergency preparedness policies and strategies to ensure that continuity planning is expanded to include all hazards. This order directs the head of each Federal department and agency to “assist State, local, and private sector entities in developing plans for mitigating the effects of National security emergencies and for providing services that are essential to a National response” (Sec. 201 (9)). DHS should implement the order through an aggressive program designed to assist State and local governments in developing continuity of operations (COOP) plans. The order states that the Secretary of Homeland Security is responsible to “guide and assist State and local governments and private sector organizations in achieving preparedness for National security emergencies, including development of plans and procedures for assuring continuity of government, and support planning for prompt and coordinated Federal assistance to States and localities in responding to National security emergencies.” Investments in planning may be funded through Federal homeland security grants in conformance with the National Preparedness Goal. All Federal Agencies must have COOP plans at the headquarters, regional, and local level and should follow the guidance set forth in Federal Preparedness Circular 65 (FPC65) Federal Executive Branch Continuity of Operations (COOP), June 15, 2004.
15. Establish a National Operations Center to coordinate the National response and provide situational awareness and a common operating picture for the entire Federal government. This interagency center will allow for National-level coordination of Federal/State/local response to major domestic incidents. This center will combine, co-locate, and replace the situational awareness mission of the Homeland Security Operations Center (HSOC), the operational mission of the National Response Coordination Center (NRCC) and the role of the IIMG, and be staffed with full time detailed employees assigned to a planning cell from relevant departments and agencies. Staffed and managed by interagency officials, it will also provide situational awareness and a common operating picture on a real-time basis during a domestic emergency for the White House and all agencies. All department and agency command centers will provide information to the National Operations Center (NOC), which will develop a National common operating picture capable of being exported to the White House Situation Room and other Federal operations centers as necessary. The National Operations Center should be located and designed to meet the requirements of Enduring Constitutional Government. DHS will serve as the Executive Agent for the NOC and it will function as a true interagency command center.
16. Establish a National Information and Knowledge Management System. Departments and agencies, working with the NOC and the Program Manager for Information Sharing, should develop a national system of information management to provide a common operating picture which allows for the processing and timely provisioning of interagency information sources (e.g. DOD National Military Command System, National Counterterrorism Center, FBI Strategic Information Operations Center). These information sources should be viewable at all Federal operation centers utilizing compatible geo-spatial information systems, and should operate on both classified (SIPRNET) and unclassified systems to allow State and local emergency management interface and integration.
17. Establish a National Reporting System. Departments and agencies, through the NOC, should establish a single reporting system to establish a uniform information flow to senior decision makers. A single reporting system should be used to provision relevant information for the right decision maker, at the right time, and in a usable format. This reporting system should incorporate the existing uniform reports utilized in the ICS.
18. Establish National Information Requirements and a National Information Reporting Chain. Departments and agencies, through the NOC, should develop information requirements at each level of the incident command structure to ensure that valuable, accurate information is reported in a timely manner. A national reporting chain should be established to ensure a standard information flow through all levels of the incident command structure.
19. Establish the Disaster Response Group (DRG). The HSC should establish the DRG to create a forum where strategic policy and interagency coordination and deconfliction can take place. These decisions would then be implemented through the NOC. This HSC-chaired group would address issues that cannot be resolved at lower levels, and either resolve them or develop decision recommendations for Deputies and Principals. The group would function in a manner analogous to the Counterterrorism Security Group (CSG). As such it would meet on a regular basis on preparedness and response policy and implementation issues and then more frequently as required during a crisis.
National Preparedness System
20. Future preparedness of the Federal, State, and local authorities should be based on the risk, capabilities and needs structure of the National Preparedness Goal (NPG). Before an effective response plan can be created and an effective response implemented, gaps or shortfalls in required capability must be identified. Pursuant to HSPD-8, DHS should develop a system to assess the level of national preparedness by assessing the levels of capability identified in the NPG through performance metrics outlined in the Target Capabilities List (TCL). DHS should assess the Nation’s preparedness yearly and should, in conjunction with the interagency, recommend appropriate adjustments to the NPG, TCL and yearly priorities for Homeland Security Grants. This will enable organizations across the Nation to identify capabilities that need improvement and develop and maintain capabilities at levels needed to manage major events using the NRP and NIMS. The deficiencies in Federal, State, and local response to Hurricane Katrina highlight the need for a more efficient National preparedness system. For example, States should utilize their licensing authorities to require providers of essential services and commodities, such as gas stations, pharmacies, and cell tower operators to equip their facilities with generators to enable them to operate in an emergency where central power is lost. Federal, State and local departments and agencies all share the responsibility for protecting and responding to their citizens and should use the NPG and TCL as a planning tool to:
a. Define required capabilities and what levels of those capabilities are needed. DHS should also lead a process to determine what capabilities articulated in the NPG are within the purview of the Federal government, what levels of those capabilities are required, and finally which Departments and Agencies should develop and maintain those levels of capability. The information should be included in the NPG;
b. Revise the NPG as appropriate to define appropriate support roles for Federal and State employees to perform as emergency staff when an emergency prevents them from performing their regular duties.
c. Strategies for meeting the NPG required levels of capability should be developed that prioritize investments on the basis of risk, need and National priorities in HSPD-8;
d. Establish priorities within a resource-constrained environment;
e. Clarify and understand roles and responsibilities in the National network of homeland security capabilities and revise the NPG as appropriate;
f. Develop mutual aid agreements and Emergency Management Assistance Compacts that are informed by the requirements in the NPG and are synchronized in a manner to deliver the right capability at the right time to the right place to meet the right need; and
g. Establish a program to measure and assess the effectiveness of preparedness capabilities across the Nation using the President’s Management Agenda Score Card tool, and tie performance results to Homeland Security Grant Program funding.
21. DHS should develop and maintain a National inventory of Federal capabilities. Effective response plans cannot be developed absent a consideration of resources and capabilities. The Federal capabilities and corresponding assets and resources should be inventoried and placed into a database, per HSPD-8, by DHS. Key to this real-time inventory will be awareness of which assets are available during a disaster and of their deployment timeline from notification. Furthermore, DHS was required to establish a National inventory of Federal assets by Section 7406 of the Intelligence Reform and Terrorism Prevention Act of 2004.
a. DHS should coordinate with other Federal agencies and States to identify physical locations around the country that could be used as crisis support centers or bases for receiving, staging and integrating emergency management resources during disasters.
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