in homeland security presidential directive (hspd)-5, the president directed the development of a...

National Response PlanDecember 2004

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In Homeland Security Presidential Directive (HSPD)-5, the President directed the development of a new NationalResponse Plan (NRP) to align Federal coordination structures, capabilities, and resources into a unified, all-discipline, and all-hazards approach to domestic incident management. This approach is unique and far reaching inthat it, for the first time, eliminates critical seams and ties together a complete spectrum of incident managementactivities to include the prevention of, preparedness for, response to, and recovery from terrorism, major naturaldisasters, and other major emergencies. The end result is vastly improved coordination among Federal, State, local,and tribal organizations to help save lives and protect America's communities by increasing the speed, effectiveness,and efficiency of incident management.

The NRP represents a true “national” framework in terms of both product and process. The NRP developmentprocess included extensive vetting and coordination with Federal, State, local, and tribal agencies, nongovernmentalorganizations, private-sector entities, and the first-responder and emergency management communities across thecountry. The NRP incorporates best practices from a wide variety of incident management disciplines to includefire, rescue, emergency management, law enforcement, public works, and emergency medical services. Thecollective input we received from our public- and private-sector partners has been, and will continue to be,absolutely critical to the implementation and continued refinement of the core concepts included in thisgroundbreaking national plan.

The NRP is built on the template of the National Incident Management System (NIMS), which provides aconsistent doctrinal framework for incident management at all jurisdictional levels, regardless of the cause, size, orcomplexity of the incident. The activation of the NRP and its coordinating structures and protocols—eitherpartially or fully—for specific Incidents of National Significance provides mechanisms for the coordination andimplementation of a wide variety of incident management and emergency assistance activities. Included in theseactivities are Federal support to State, local, and tribal authorities; interaction with nongovernmental, private donor,and private-sector organizations; and the coordinated, direct exercise of Federal authorities, when appropriate.

The NRP is also an essential element of the broader policy coordination and reconciliation mechanisms of theFederal Government. The operational and resource coordinating structures described in the NRP are designed tosupport existing White House policy mechanisms and decisionmaking entities during the response to a specificthreat or incident. Also, while the NRP itself creates no new authorities, it serves to unify and enhance the incidentmanagement capabilities and resources of individual agencies and organizations acting under their own authoritiesin response to a wide array of potential threats and hazards.

Implementation of the NRP and its supporting protocols will require extensive cooperation, collaboration, andinformation-sharing across jurisdictions, as well as between the government and the private sector at all levels. TheLetter of Instruction included with the NRP provides specific guidance on the phased implementation of the plan.I ask for your continued cooperation and assistance as we begin the implementation process for the NRP. I lookforward to working with you as we use this new foundational plan to improve our national incident managementcapability across the board.

December 2004 National Response Plan | i

Preface

Tom RidgeSecretaryDepartment of Homeland Security


ii | National Response Plan December 2004

The National Response Plan (NRP) is an all-discipline, all-hazards plan that establishes a single, comprehensiveframework for the management of domestic incidents. It provides the structure and mechanisms for thecoordination of Federal support to State, local, and tribal incident managers and for exercising direct Federalauthorities and responsibilities. The NRP assists in the important homeland security mission of preventing terroristattacks within the United States; reducing the vulnerability to all natural and manmade hazards; and minimizingthe damage and assisting in the recovery from any type of incident that occurs.

By signing this letter of agreement, Federal departments and agencies and other organizations commit to:

■ Supporting NRP concepts, processes, and structures and carrying out their assigned functional responsibilities toensure effective and efficient incident management, including designating representatives to staff interagencycoordinating structures, as required;

■ Agreeing to the terms and conditions, as if separately signed, in the “Memorandum of Agreement: Mutual Aid forIncidents of National Significance (non-Stafford Act),” set forth in the Financial Management Support Annex,Attachment 3, December 2004, in the NRP (this provision is applicable only to Federal departments and agencies);

■ Providing cooperation, resources, and support to the Secretary of Homeland Security in the implementation ofthe NRP, as appropriate and consistent with their own authorities and responsibilities;

■ Cooperating with appropriate Federal incident management leadership including the Principal Federal Official,Federal Coordinating Officer, and Federal Resource Coordinator, as appropriate and consistent with their ownauthorities and responsibilities, in order to enable effective and efficient incident management;

■ Modifying existing interagency and agency incident management and emergency response plans to facilitatecompliance with the NRP;

■ Forming and maintaining incident management partnerships with State, local, tribal, and regional entities, theprivate sector, and nongovernmental organizations;

■ Utilizing department- and agency-specific authorities, resources, and programs to facilitate incident managementactivities in accordance with the NRP; and

■ Developing, exercising, and refining headquarters and regional capabilities to ensure sustained operationalreadiness in support of the NRP.

Signatory departments and agencies follow.

December 2004 National Response Plan | iii

Letter of Agreement


iv | National Response Plan December 2004

December 2004 National Response Plan | v

Signatories

Ann M.VenemanSecretary

Department of Agriculture

Donald L. EvansSecretary

Department of Commerce

Donald H. RumsfeldSecretary

Department of Defense

Rod PaigeSecretary

Department of Education

Spencer AbrahamSecretary

Department of Energy

Tommy G.ThompsonSecretary

Department of Health and Human Services

Tom RidgeSecretary

Department of Homeland Security

Alphonso JacksonSecretary

Department of Housing and Urban Development

vi | National Response Plan December 2004

Gale A. NortonSecretary

Department of the Interior

John AshcroftAttorney General

Department of Justice

Elaine L. ChaoSecretary

Department of Labor

Colin L. PowellSecretary

Department of State

Norman Y. MinetaSecretary

Department of Transportation

John W. SnowSecretary

Department of the Treasury

Anthony J. PrincipiSecretary

Department of Veterans Affairs

Porter J. GossDirector of Central Intelligence

Central Intelligence Agency

December 2004 National Response Plan | vii

Michael O. LeavittAdministrator

Environmental Protection Agency

Robert S. Mueller, IIIDirector

Federal Bureau of Investigation

Michael PowellChairman

Federal Communications Commission

Stephen A. PerryAdministrator

General Services Administration

Sean O'KeefeAdministrator

National Aeronautics and Space Administration

Ellen Engleman ConnersChairman

National Transportation Safety Board

Nils J. DiazChairman

Nuclear Regulatory Commission

Kay Coles JamesDirector

Office of Personnel Management

viii | National Response Plan December 2004

Hector V. BarretoAdministrator

Small Business Administration

Jo Anne B. BarnhartCommissioner

Social Security Administration

Glenn L. McCullough, Jr.Chairman

Tennessee Valley Authority

Andrew S. NatsiosAdministrator

U.S. Agency for International Development

John E. PotterPostmaster General and Chief Executive Officer

U.S. Postal Service

Marsha J. EvansPresident and Chief Executive Officer

American Red Cross

David EisnerChief Executive Officer

Corporation for National and Community Service

S. Jane MorganPresident

National Voluntary Organizations Active in Disaster

General

The National Response Plan (NRP) is effective uponissuance with a phased implementation process during thefirst year. During the first 120 days of this implementa-tion process, the Initial NRP (INRP), Federal ResponsePlan (FRP), U.S. Government Domestic Terrorism Conceptof Operations Plan (CONPLAN), and Federal RadiologicalEmergency Response Plan (FRERP) remain in effect. Theimplementation phases are as follows:

■ Phase I – Transitional Period (0 to 60 days): This60-day timeframe is intended to provide a transitionalperiod for departments and agencies and otherorganizations to modify training, designate staffing ofNRP organizational elements, and become familiarwith NRP structures, processes, and protocols.

■ Phase II – Plan Modification (60 to 120 days):This second 60-day timeframe is intended to provide departments and agencies the opportunityto modify existing Federal interagency plans toalign with the NRP and conduct necessary training.

■ Phase III – Initial Implementation and Testing (120days to 1 year): Four months after its issuance, theNRP is to be fully implemented, and the INRP, FRP,CONPLAN, and FRERP are superseded. Other existingplans remain in effect, modified to align with theNRP. During this timeframe, the Department ofHomeland Security (DHS) will conduct systematicassessments of NRP coordinating structures,processes, and protocols implemented for actualIncidents of National Significance (defined on page 4of the NRP), national-level homeland securityexercises, and National Special Security Events(NSSEs). These assessments will gauge the plan’seffectiveness in meeting specific objectives outlined inHomeland Security Presidential Directive-5 (HSPD-5).At the end of this period, DHS will conduct a 1-yearreview to assess the implementation process and makerecommendations to the Secretary on necessary NRPrevisions. Following this initial review, the NRP willbegin a deliberate 4-year review and reissuance cycle.

The Secretary of Homeland Security may accelerate theimplementation of the NRP if warranted by circumstances.

Requirements

This section provides specific requirements orrecommendations for the Secretary of HomelandSecurity; Federal departments and agencies; State, local,and tribal governments; and private-sector andnongovernmental organizations (NGOs) to enable fullNRP implementation.

Secretary of Homeland Security

Within 120 days of the issuance of this plan, incoordination and consultation with other departmentsand agencies, the Secretary of Homeland Security will:■ Develop and publish detailed operational procedures

for the Homeland Security Operations Center(HSOC), National Response Coordination Center(NRCC), Interagency Incident Management Group(IIMG), and Joint Field Office (JFO);

■ Identify appropriate assets and establish agreementsand procedures for their rapid deployment andemployment in accordance with the NRPCatastrophic Incident Supplement;

■ Designate representatives to staff the HSOC, NRCC,and IIMG; and

■ Develop appropriate training programs for HSOC,IIMG, NRCC, Principal Federal Official (PFO), andFederal Coordinating Officer (FCO) cadres.

Within 1 year of its effective date, the Secretary ofHomeland Secretary will conduct an interagency review to assess the effectiveness of the NRP, identifyimprovements, and provide recommendations regardingplan modifications and reissuance, if required.

Federal Departments and Agencies

As required by HSPD-5, Federal departments andagencies will:■ Provide cooperation, resources, and support to the

Secretary of Homeland Security in theimplementation of the NRP, as appropriate andconsistent with their own authorities andresponsibilities;

■ Designate representatives to staff the HSOC, NRCC,and IIMG;

December 2004 National Response Plan | ix

Letter of Instruction

Implementation Guidance

■ Carry out responsibilities assigned in the EmergencySupport Function (ESF) Annexes to the NRP,developing supplemental plans and procedures asrequired;

■ Establish connectivity with and report incidents tothe National Joint Terrorism Task Force (NJTTF), theHSOC, and the National Counterterrorism Center(NCTC) as outlined in section V (page 46) of thisdocument; and

■ Within 120 days of the issuance of this plan, modifyexisting interagency incident management and emergency response plans and protocols, to theextent authorized by law, incorporating:■ Linkages to key NRP processes and coordinating

structures (i.e., the IIMG, HSOC, NRCC, RegionalResponse Coordination Center (RRCC), JFO, etc.);

■ Principles and terminology used in the NationalIncident Management System (NIMS) and NRP;

■ NRP incident-reporting requirements;■ Procedures for transitioning from localized

incidents to Incidents of National Significance; and■ Accelerated resource activation, mobilization, and

deployment requirements outlined in the NRPCatastrophic Incident Annex.

Modifications to existing Federal interagency plansmust be completed and reported to DHS within 120days of the publication of the NRP. When it may notbe feasible for plan modifications to be completedwithin 120 days (such as the National Oil andHazardous Substances Pollution Contingency Plan(NCP)1), agencies must commence modification withinthis timeframe and provide a timeline for completionto the Secretary of Homeland Security.

State, Local, and Tribal Governments andNongovernmental Organizations

State, local, and tribal governments and NGOs arerequested to:■ Utilize established incident reporting protocols to

notify local and regional Joint Terrorism Task Forces(JTTFs) and the HSOC, as appropriate, as outlined insection V (page 46) of this document.

■ Coordinate with the HSOC regarding procedures forestablishing connectivity for domestic incidentmanagement purposes. Local government proceduresshould be coordinated with the respective Stategovernment and/or emergency management agency.

■ Modify existing incident management andemergency operations plans within 120 days (or nolater than the next major plan maintenance cycle) toensure proper alignment with NRP coordinatingstructures, processes, and protocols.

■ Notify the Secretary of Homeland Security of anysubstantial conflicts between this plan and State ortribal government laws or regulations. This plan isnot intended to compromise existing State or tribalgovernment laws or corresponding incidentmanagement or emergency response plans.

Federal Regional Organizations

Federal regional organizations will:■ Designate representatives to the RRCC and Regional

Interagency Steering Committee (RISC) at the requestof the Secretary of Homeland Security;

■ Develop regional supplements to the NRP asrequired; and

■ Update existing standard operating procedures(SOPs) pertaining to the RRCC to align with NRPrequirements.

Private Sector

Private-sector owners and operators, particularly thosewho represent critical elements of infrastructure or keyresources whose disruption may have national or majorregional impact, are encouraged (or in some casesrequired under law) to develop appropriate emergencyresponse and business continuity plans andinformation-sharing and incident-reporting protocolsthat are tailored to the unique requirements of theirrespective sector or industry, and that clearly map toregional, State, and local emergency response plans andinformation-sharing networks.

These plans and information-sharing and reportingprotocols should be consistent with the NRP Base Planand supporting annexes.

x | National Response Plan December 2004

1 The NCP is a regulation subject to notice and comment requirements. For modifications to the NCP, rulemakingactivities will be commenced within 120 days of publication of this plan.

The National Response Plan (NRP) consists of thecomponents depicted in Figure 1 on the following page.The paragraphs below describe each of the components.■ The Base Plan describes the structure and processes

comprising a national approach to domestic incidentmanagement designed to integrate the efforts andresources of Federal, State, local, tribal, private-sector,and nongovernmental organizations. The Base Planincludes planning assumptions, roles andresponsibilities, concept of operations, incidentmanagement actions, and plan maintenanceinstructions.

■ Appendixes provide other relevant, more detailedsupporting information, including terms, definitions,acronyms, authorities, and a compendium of nationalinteragency plans.

■ The Emergency Support Function (ESF) Annexesdetail the missions, policies, structures, andresponsibilities of Federal agencies for coordinatingresource and programmatic support to States, tribes,and other Federal agencies or other jurisdictions andentities during Incidents of National Significance.The introduction to the ESF Annexes summarizes thefunctions of ESF coordinators and primary andsupport agencies. The chart on page 12 provides asummary of the scope of each ESF.

■ The Support Annexes provide guidance and describethe functional processes and administrativerequirements necessary to ensure efficient andeffective implementation of NRP incidentmanagement objectives. The Support Annexes aredescribed below.

December 2004 National Response Plan | xi

Foreword

Organization of the National Response Plan

Support Annexes■ Financial Management provides guidance for NRP implementation to ensure that incident-related funds are

provided expeditiously and that financial management activities are conducted in accordance with establishedlaw, policies, regulations, and standards.

■ International Coordination provides guidance for carrying out responsibilities regarding internationalcoordination in support of the Federal response to domestic Incidents of National Significance.

■ Logistics Management describes the framework within which the overall NRP logistics management functionoperates. It also outlines logistics management responsibilities and mechanisms for integrating Federal, State,local, and tribal resource providers.

■ Private-Sector Coordination outlines processes to ensure effective incident management coordination andintegration with the private sector, including representatives of the Nation’s Critical Infrastructure/KeyResources (CI/KR) sectors and other industries.

■ Public Affairs describes interagency incident communications procedures designed to enable the coordinationand dissemination of timely public information during Incidents of National Significance.

■ Science and Technology provides guidance and mechanisms to ensure that all levels of government canleverage the Nation’s science and technology resources efficiently and effectively in the management ofIncidents of National Significance.

■ Tribal Relations describes the policies, responsibilities, and concept of operations for effective coordinationand interaction with tribal governments and communities during Incidents of National Significance.

■ Volunteer and Donations Management provides guidance on volunteer and donations management functionsrelated to Incidents of National Significance.

■ Worker Safety and Health details processes to ensure coordinated, comprehensive efforts to identify respondersafety and health risks and implement procedures to minimize or eliminate illness or injuries during incidentmanagement and emergency response activities.

xii | National Response Plan December 2004

Emergency Support Function Annexes

Support Annexes

Incident Annexes

Appendixes■ Glossary of Key Terms■ List of Acronyms■ Authorities and References■ Compendium of National/International Interagency Plans■ Overview of Initial Federal Involvement Under

the Stafford Act■ Overview of Federal-to-Federal Support in

Non-Stafford Act Situations

■ ESF #1 - Transportation■ ESF #2 - Communications ■ ESF #3 - Public Works and Engineering■ ESF #4 - Firefighting■ ESF #5 - Emergency Management ■ ESF #6 - Mass Care, Housing, and Human Services ■ ESF #7 - Resource Support ■ ESF #8 - Public Health and Medical Services■ ESF #9 - Urban Search and Rescue■ ESF #10 -Oil and Hazardous Materials Response ■ ESF #11 -Agriculture and Natural Resources ■ ESF #12 -Energy■ ESF #13 -Public Safety and Security■ ESF #14 - Long-Term Community Recovery and Mitigation■ ESF #15 -External Affairs

■ Financial Management■ International Coordination ■ Logistics Management■ Private-Sector Coordination ■ Public Affairs ■ Science and Technology■ Tribal Relations■ Volunteer and Donations Management ■ Worker Safety and Health

■ Biological Incident ■ Catastrophic Incident ■ Cyber Incident ■ Food and Agriculture Incident (to be published in a

subsequent version of this plan)■ Nuclear/Radiological Incident ■ Oil and Hazardous Materials Incident ■ Terrorism Incident Law Enforcement and Investigation

FIGURE 1. Organization of the National Response Plan

Base Plan

Incident Annexes■ The Biological Incident Annex describes incident management activities related to a biological terrorism

event, pandemic, emerging infectious disease, or novel pathogen outbreak.

■ The Catastrophic Incident Annex establishes the strategy for implementing and coordinating an acceleratednational response to a catastrophic incident.

■ The Cyber Incident Annex establishes procedures for a multidisciplinary, broad-based approach to preparefor, remediate, and recover from catastrophic cyber events impacting critical national processes and thenational economy.

■ The Food and Agriculture Incident Annex describes incident management activities related to a terroristattack, major disaster, or other emergency involving the Nation’s agriculture and food systems.(To be published in a subsequent version of this plan.)

■ The Nuclear/Radiological Incident Annex describes incident management activities related to nuclear/radiological incidents.

■ The Oil and Hazardous Materials Incident Annex describes incident management activities related to certain nationally significant oil and hazardous materials pollution incidents.

■ The Terrorism Incident Law Enforcement and Investigation Annex describes law enforcement and criminal investigation coordinating structures and processes in response to a terrorist event.

■ The Incident Annexes address contingency or hazardsituations requiring specialized application of the NRP.The Incident Annexes describe the missions, policies,responsibilities, and coordination processes that governthe interaction of public and private entities engaged in

incident management and emergency responseoperations across a spectrum of potential hazards.These annexes are typically augmented by a variety ofsupporting plans and operational supplements. TheIncident Annexes are described below.

December 2004 National Response Plan | xiii

xiv | National Response Plan December 2004


Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . i

Letter of Agreement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii

Signatories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v

Letter of Instruction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix

Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi

I. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2Scope and Applicability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3Incident Management Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4Authorities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5Key Concepts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

II. Planning Assumptions and Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

III. Roles and Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

State, Local, and Tribal Governments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8Federal Government . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9Nongovernmental and Volunteer Organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11Private Sector . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13Citizen Involvement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

IV. Concept of Operations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15Overall Coordination of Federal Incident Management Activities . . . . . . . . . . . . . . . . . . . . . . . . . . 15Concurrent Implementation of Other Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16Organizational Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17Principal NRP Organizational Elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22Emergency Response and Support Teams (Field Level) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39Defense Support of Civil Authorities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41Federal Law Enforcement Assistance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43Proactive Federal Response to Catastrophic Events . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43U.S. Possessions and Freely Associated States . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .44External Affairs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

V. Incident Management Actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46

Actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46NRP Operations Under HSAS Threat Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56

VI. Ongoing Plan Management and Maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58

Coordination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58Plan Maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59The NIMS Integration Center . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59The NRP and National Preparedness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59NRP-Supporting Documents and Standards for Other Federal Emergency Plans . . . . . . . . . . . . 60

Table of Contents

December 2004 National Response Plan | xv

Appendixes

1. Glossary of Key Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 632. List of Acronyms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 753. Authorities and References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 784. Compendium of National/International Interagency Plans . . . . . . . . . . . . . . . . . . . . . . . . . . 895. Overview of Initial Federal Involvement Under the Stafford Act . . . . . . . . . . . . . . . . . . . . . . . 916. Overview of Federal-to-Federal Support in Non-Stafford Act Situations . . . . . . . . . . . . . . . . . . 94

Emergency Support Function Annexes

ESF #1 – TransportationESF #2 – CommunicationsESF #3 – Public Works and EngineeringESF #4 – FirefightingESF #5 – Emergency ManagementESF #6 – Mass Care, Housing, and Human ServicesESF #7 – Resource SupportESF #8 – Public Health and Medical ServicesESF #9 – Urban Search and RescueESF #10 – Oil and Hazardous Materials ResponseESF #11 – Agriculture and Natural ResourcesESF #12 – EnergyESF #13 – Public Safety and SecurityESF #14 – Long-Term Community Recovery and MitigationESF #15 – External Affairs

Support Annexes

Financial ManagementInternational CoordinationLogistics ManagementPrivate-Sector CoordinationPublic AffairsScience and TechnologyTribal RelationsVolunteer and Donations ManagementWorker Safety and Health

Incident Annexes

Biological IncidentCatastrophic IncidentCyber IncidentFood and Agriculture Incident (to be published in a subsequent version of this plan)Nuclear/Radiological IncidentOil and Hazardous Materials IncidentTerrorism Incident Law Enforcement and Investigation

xvi | National Response Plan December 2004

The Nation’s domestic incident management landscapechanged dramatically following the terrorist attacks ofSeptember 11, 2001. Today’s threat environment includesnot only the traditional spectrum of manmade andnatural hazards—wildland and urban fires, floods, oilspills, hazardous materials releases, transportationaccidents, earthquakes, hurricanes, tornadoes, pandemics,and disruptions to the Nation’s energy and informationtechnology infrastructure—but also the deadly anddevastating terrorist arsenal of chemical, biological,radiological, nuclear, and high-yield explosive weapons.

These complex and emerging 21st century threats andhazards demand a unified and coordinated nationalapproach to domestic incident management. TheNational Strategy for Homeland Security; HomelandSecurity Act of 2002; and Homeland SecurityPresidential Directive-5 (HSPD-5), Management ofDomestic Incidents, establish clear objectives for aconcerted national effort to prevent terrorist attackswithin the United States; reduce America’s vulnerabilityto terrorism, major disasters, and other emergencies;and minimize the damage and recover from attacks,major disasters, and other emergencies that occur.

Development and Implementation of a National Response Plan

Achieving these homeland security objectives is a challenge requiring bold steps and adjustments toestablished structures, processes, and protocols. Animportant initiative called for in the above documentsis the development and implementation of a NationalResponse Plan (NRP), predicated on a new NationalIncident Management System (NIMS), that aligns thepatchwork of Federal special-purpose incidentmanagement and emergency response plans into aneffective and efficient structure. Together, the NRP and

the NIMS (published March 1, 2004) integrate thecapabilities and resources of various governmentaljurisdictions, incident management and emergencyresponse disciplines, nongovernmental organizations(NGOs), and the private sector into a cohesive,coordinated, and seamless national framework fordomestic incident management.

The NRP, using the NIMS, is an all-hazards plan thatprovides the structure and mechanisms for national-level policy and operational coordination for domesticincident management. Consistent with the modelprovided in the NIMS, the NRP can be partially or fullyimplemented in the context of a threat, anticipation ofa significant event, or the response to a significantevent. Selective implementation through the activationof one or more of the system’s components allowsmaximum flexibility in meeting the unique operationaland information-sharing requirements of the situationat hand and enabling effective interaction betweenvarious Federal and non-Federal entities.

The NRP incorporates relevant portions of and, uponfull implementation, supersedes the Initial NationalResponse Plan (INRP), Federal Response Plan (FRP),U.S. Government Interagency Domestic TerrorismConcept of Operations Plan (CONPLAN), and FederalRadiological Emergency Response Plan (FRERP). TheNRP, as the core operational plan for national incidentmanagement, also establishes national-level coordinatingstructures, processes, and protocols that will beincorporated into certain existing Federal interagencyincident- or hazard-specific plans (such as the NationalOil and Hazardous Substances Pollution ContingencyPlan (NCP)) that are designed to implement the specificstatutory authorities and responsibilities of variousdepartments and agencies in particular contingency

NATIONAL RESPONSE PLAN

I. Introduction

December 2004 National Response Plan | 1

The NRP

A concerted national effort to prevent terrorist attackswithin the United States; reduce America's vulnerabilityto terrorism, major disasters, and other emergencies;and minimize the damage and recover from attacks,major disasters, and other emergencies that occur.

The NIMS

Provides a nationwide template enabling Federal,State, local, and tribal governments and private-sector and nongovernmental organizations towork together effectively and efficiently to prevent,prepare for, respond to, and recover from domesticincidents regardless of cause, size, or complexity.

PurposeThe purpose of the NRP is to establish a comprehensive,national, all-hazards approach to domestic incidentmanagement across a spectrum of activities includingprevention, preparedness, response, and recovery.

The NRP incorporates best practices and procedures fromvarious incident management disciplines—homelandsecurity, emergency management, law enforcement,firefighting, hazardous materials response, public works,public health, emergency medical services, and responderand recovery worker health and safety—and integratesthem into a unified coordinating structure.

The NRP provides the framework for Federalinteraction with State, local, and tribal governments;the private sector; and NGOs in the context ofdomestic incident prevention, preparedness, response,and recovery activities. It describes capabilities andresources and establishes responsibilities, operationalprocesses, and protocols to help protect the Nationfrom terrorist attacks and other natural and manmadehazards; save lives; protect public health, safety,property, and the environment; and reduce adverse

psychological consequences and disruptions. Finally,the NRP serves as the foundation for the developmentof detailed supplemental plans and procedures toeffectively and efficiently implement Federal incidentmanagement activities and assistance in the context ofspecific types of incidents.

The NRP, using the NIMS, establishes mechanisms to:■ Maximize the integration of incident-related

prevention, preparedness, response, and recoveryactivities;

■ Improve coordination and integration of Federal,State, local, tribal, regional, private-sector, andnongovernmental organization partners;

■ Maximize efficient utilization of resources needed for effective incident management and CriticalInfrastructure/Key Resources (CI/KR) protection and restoration;

■ Improve incident management communications andincrease situational awareness across jurisdictions andbetween the public and private sectors;

■ Facilitate emergency mutual aid and Federalemergency support to State, local, and tribalgovernments;

■ Facilitate Federal-to-Federal interaction andemergency support;

■ Provide a proactive and integrated Federal responseto catastrophic events; and

■ Address linkages to other Federal incidentmanagement and emergency response plansdeveloped for specific types of incidents or hazards.

scenarios. These plans are linked to the NRP in thecontext of Incidents of National Significance (definedon page 4), but remain as stand-alone documents inthat they also provide detailed protocols for respondingto routine incidents that normally are managed byFederal agencies without the need for Department ofHomeland Security (DHS) coordination. The NRP alsoincorporates other existing Federal emergency responseand incident management plans (with appropriatemodifications and revisions) as integrated components,operational supplements, or supporting tactical plans.Further details on NRP-supporting plans and documentsare included in section VI (page 60).

Existing Authorities

Nothing in this plan alters or impedes the ability ofFederal, State, local, or tribal departments and agenciesto carry out their specific authorities or perform theirresponsibilities under all applicable laws, Executiveorders, and directives. Additionally, nothing in thisplan is intended to impact or impede the ability of anyFederal department or agency head to take an issue ofconcern directly to the President, the Assistant to thePresident for Homeland Security, the Assistant to thePresident for National Security Affairs, or any othermember of the President’s staff.

2 | National Response Plan December 2004

Purpose

To establish a comprehensive, national, all-hazardsapproach to domestic incident management acrossa spectrum of activities including prevention,preparedness, response, and recovery.

Scope and ApplicabilityThe NRP covers the full range of complex andconstantly changing requirements in anticipation of or in response to threats or acts of terrorism, majordisasters, and other emergencies. The NRP alsoprovides the basis to initiate long-term communityrecovery and mitigation activities.

The NRP establishes interagency and multijurisdictionalmechanisms for Federal Government involvement in,and DHS coordination of, domestic incidentmanagement operations.

This includes coordinating structures and processes forincidents requiring:■ Federal support to State, local, and tribal governments;■ Federal-to-Federal support;■ The exercise of direct Federal authorities and

responsibilities, as appropriate under the law; and■ Public and private-sector domestic incident

management integration.

This plan distinguishes between incidents that requireDHS coordination, termed Incidents of NationalSignificance, and the majority of incidents occurringeach year that are handled by responsible jurisdictionsor agencies through other established authorities andexisting plans.

In addition, the NRP:■ Recognizes and incorporates the various

jurisdictional and functional authorities of Federaldepartments and agencies; State, local, and tribalgovernments; and private-sector organizations indomestic incident management.

■ Details the specific domestic incident managementroles and responsibilities of the Secretary ofHomeland Security, Attorney General, Secretary ofDefense, Secretary of State, and other departmentsand agencies involved in domestic incidentmanagement as defined in HSPD-5 and other relevantstatutes and directives.

■ Establishes the multiagency organizational structuresand processes required to implement the authorities,roles, and responsibilities of the Secretary ofHomeland Security as the “principal Federal official”for domestic incident management.

This plan is applicable to all Federal departments andagencies that may be requested to provide assistance orconduct operations in the context of actual or potentialIncidents of National Significance. This includes theAmerican Red Cross, which functions as an EmergencySupport Function (ESF) primary organization incoordinating the use of mass care resources in aPresidentially declared disaster or emergency. The NRPis applicable to incidents that may occur at sites underthe control of the Legislative or Judicial Branches of theFederal Government.

Based on the criteria established in HSPD-5, Incidentsof National Significance are those high-impact eventsthat require a coordinated and effective response by anappropriate combination of Federal, State, local, tribal,private-sector, and nongovernmental entities in orderto save lives, minimize damage, and provide the basisfor long-term community recovery and mitigationactivities.


NRP Scope

Covers the full range of complex and constantlychanging requirements in anticipation of or inresponse to threats or acts of terrorism, major disasters, and other emergencies.

NRP Applicability

The NRP applies to all Federal departments andagencies that may be requested to provideassistance or conduct operations in actual orpotential Incidents of National Significance. Theseincidents require a coordinated response by anappropriate combination of Federal, State, local,tribal, private-sector, and nongovernmental entities.

This plan addresses the full spectrum of activitiesrelated to domestic incident management, includingprevention, preparedness, response, and recoveryactions. The NRP focuses on those activities that aredirectly related to an evolving incident or potentialincident rather than steady-state preparedness orreadiness activities conducted in the absence of aspecific threat or hazard.

Additionally, since Incidents of National Significancetypically result in impacts far beyond the immediate orinitial incident area, the NRP provides a framework toenable the management of cascading impacts andmultiple incidents as well as the prevention of andpreparation for subsequent events. Examples ofincident management actions from a nationalperspective include:■ Increasing nationwide public awareness;■ Assessing trends that point to potential terrorist activity;

■ Elevating the national Homeland Security AdvisorySystem (HSAS) alert condition and coordinatingprotective measures across jurisdictions;

■ Increasing countermeasures such as inspections,surveillance, security, counterintelligence, andinfrastructure protection;

■ Conducting public health surveillance and assessmentprocesses and, where appropriate, conducting a widerange of prevention measures to include, but not belimited to, immunizations;

■ Providing immediate and long-term public healthand medical response assets;

■ Coordinating Federal support to State, local, andtribal authorities in the aftermath of an incident;

■ Providing strategies for coordination of Federalresources required to handle subsequent events;

■ Restoring public confidence after a terrorist attack; and■ Enabling immediate recovery activities, as well as ad-

dressing long-term consequences in the impacted area.

The NRP bases the definition of Incidents of National Significance on situations related to the following fourcriteria set forth in HSPD-5:1. A Federal department or agency acting under its own authority has requested the assistance of the Secretary of

Homeland Security.2. The resources of State and local authorities are overwhelmed and Federal assistance has been requested by the

appropriate State and local authorities. Examples include:■ Major disasters or emergencies as defined under the Stafford Act; and■ Catastrophic incidents (see definition on page 43).

3. More than one Federal department or agency has become substantially involved in responding to an incident.Examples include:■ Credible threats, indications or warnings of imminent terrorist attack, or acts of terrorism directed

domestically against the people, property, environment, or political or legal institutions of the United Statesor its territories or possessions; and

■ Threats or incidents related to high-profile, large-scale events that present high-probability targets such asNational Special Security Events (NSSEs) and other special events as determined by the Secretary ofHomeland Security, in coordination with other Federal departments and agencies.

4. The Secretary of Homeland Security has been directed to assume responsibility for managing a domesticincident by the President.

Incident Management Activities

Incidents of National Significance

Pursuant to HSPD-5, as the principal Federal official fordomestic incident management, the Secretary ofHomeland Security declares Incidents of NationalSignificance (in consultation with other departments andagencies as appropriate) and provides coordination for

Federal operations and/or resources, establishesreporting requirements, and conducts ongoingcommunications with Federal, State, local, tribal, private-sector, and nongovernmental organizations to maintainsituational awareness, analyze threats, assess nationalimplications of threat and operational response activities,and coordinate threat or incident response activities.


Key ConceptsThis section summarizes key concepts that are reflectedthroughout the NRP.

■ Systematic and coordinated incident management,including protocols for:■ Incident reporting;■ Coordinated action;■ Alert and notification;■ Mobilization of Federal resources to augment

existing Federal, State, local, and tribal capabilities;■ Operating under differing threats or threat levels; and■ Integration of crisis and consequence management

functions.

■ Proactive notification and deployment of Federalresources in anticipation of or in response tocatastrophic events in coordination and collaborationwith State, local, and tribal governments and privateentities when possible.

■ Organizing interagency efforts to minimize damage,restore impacted areas to pre-incident conditions iffeasible, and/or implement programs to mitigatevulnerability to future events.

■ Coordinating incident communication, worker safetyand health, private-sector involvement, and other

activities that are common to the majority ofincidents (see Support Annexes).

■ Organizing ESFs to facilitate the delivery of criticalFederal resources, assets, and assistance. Federaldepartments and agencies are assigned to lead orsupport ESFs based on authorities, resources, andcapabilities.

■ Providing mechanisms for vertical and horizontalcoordination, communications, and information-sharing in response to threats or incidents. Thesemechanisms facilitate coordination among State,local, and tribal entities and the Federal Government,as well as between the public and private sectors.

■ Facilitating Federal support to Federal departmentsand agencies acting under the requestingdepartment’s or agency’s own authorities.

■ Developing detailed supplemental operations, tactical,and hazard-specific contingency plans andprocedures.

■ Providing the basis for coordination of interagencyand intergovernmental planning, training, exercising,assessment, coordination, and information exchange.

AuthoritiesVarious Federal statutory authorities and policiesprovide the basis for Federal actions and activities inthe context of domestic incident management. TheNRP uses the foundation provided by the HomelandSecurity Act, HSPD-5, and the Robert T. StaffordDisaster Relief and Emergency Assistance Act (StaffordAct) to provide a comprehensive, all-hazards approachto domestic incident management. Nothing in theNRP alters the existing authorities of individual Federaldepartments and agencies. The NRP does not conveynew authorities upon the Secretary of HomelandSecurity or any other Federal official.

Rather, this plan establishes the coordinating structures,processes, and protocols required to integrate the

specific statutory and policy authorities of variousFederal departments and agencies in a collectiveframework for action to include prevention,preparedness, response, and recovery activities.Appendix 3 provides a summary of key statutes,Executive orders, and Presidential directives thatprovide additional authority and policy directionrelevant to domestic incident management.

The NRP may be used in conjunction with otherFederal incident management and emergencyoperations plans developed under these and otherauthorities as well as memorandums of understanding(MOUs) among various Federal agencies.


The NRP is based on the planning assumptions andconsiderations presented in this section.

■ Incidents are typically managed at the lowest possiblegeographic, organizational, and jurisdictional level.

■ Incident management activities will be initiated andconducted using the principles contained in the NIMS.

■ The combined expertise and capabilities ofgovernment at all levels, the private sector, andnongovernmental organizations will be required toprevent, prepare for, respond to, and recover fromIncidents of National Significance.

■ Incidents of National Significance require theSecretary of Homeland Security to coordinateoperations and/or resources, and may:■ Occur at any time with little or no warning in the

context of a general or specific threat or hazard;■ Require significant information-sharing at the

unclassified and classified levels across multiplejurisdictions and between the public and privatesectors;

■ Involve single or multiple geographic areas;■ Have significant international impact and/or

require significant international information-sharing, resource coordination, and/or assistance;

■ Span the spectrum of incident management toinclude prevention, preparedness, response, andrecovery;

■ Involve multiple, highly varied hazards or threatson a local, regional, or national scale;

■ Result in numerous casualties; fatalities; displacedpeople; property loss; disruption of normal life-support systems, essential public services, and basic infrastructure; and significant damage to the environment;

■ Impact critical infrastructures across sectors;■ Overwhelm capabilities of State, local, and tribal

governments, and private-sector infrastructureowners and operators;

■ Attract a sizeable influx of independent,spontaneous volunteers and supplies;

■ Require extremely short-notice Federal assetcoordination and response timelines; and

■ Require prolonged, sustained incident managementoperations and support activities.

■ Top priorities for incident management are to:■ Save lives and protect the health and safety of the

public, responders, and recovery workers;■ Ensure security of the homeland;■ Prevent an imminent incident, including acts of

terrorism, from occurring;■ Protect and restore critical infrastructure and key

resources;■ Conduct law enforcement investigations to resolve

the incident, apprehend the perpetrators, andcollect and preserve evidence for prosecutionand/or attribution;

■ Protect property and mitigate damages and impacts toindividuals, communities, and the environment; and

■ Facilitate recovery of individuals, families,businesses, governments, and the environment.

■ Deployment of resources and incident managementactions during an actual or potential terroristincident are conducted in coordination with theDepartment of Justice (DOJ).

■ Departments and agencies at all levels of governmentand certain NGOs, such as the American Red Cross,may be required to deploy to Incidents of NationalSignificance on short notice to provide timely andeffective mutual aid and/or intergovernmentalassistance.

■ The degree of Federal involvement in incidentoperations depends largely upon specific Federalauthority or jurisdiction. Other factors that may beconsidered include:■ The State, local, or tribal needs and/or requests for

external support, or ability to manage the incident;■ The economic ability of the affected entity to

recover from the incident;■ The type or location of the incident;■ The severity and magnitude of the incident; and■ The need to protect the public health or welfare or

the environment.

■ Federal departments and agencies support thehomeland security mission in accordance with nationalauthorities and guidance and are expected to provide:■ Initial and/or ongoing response, when warranted,

under their own authorities and funding;■ Alert, notification, pre-positioning, and timely

delivery of resources to enable the management of

II. Planning Assumptions & Considerations


potential and actual Incidents of NationalSignificance; and

■ Proactive support for catastrophic or potentiallycatastrophic incidents using protocols for expediteddelivery of resources.

■ For Incidents of National Significance that arePresidentially declared disasters or emergencies,Federal support to States is delivered in accordancewith relevant provisions of the Stafford Act (seeAppendix 3, Authorities and References). (Note thatwhile all Presidentially declared disasters andemergencies under the Stafford Act are consideredIncidents of National Significance, not all Incidents ofNational Significance necessarily result in disaster oremergency declarations under the Stafford Act.)

Under provisions of the Stafford Act and applicable regulations:■ A Governor may request the President to declare a

major disaster or emergency if the Governor findsthat effective response to the event is beyond thecombined response capabilities of the State andaffected local governments. Based on the findings ofa joint Federal-State-local Preliminary DamageAssessment (PDA) indicating the damages are ofsufficient severity and magnitude to warrant assistanceunder the act, the President may grant a major disasteror emergency declaration. (Note: In a particularlyfast-moving or clearly devastating disaster, the PDAprocess may be deferred until after the declaration.)

■ If the President determines that an emergency existswhere the primary responsibility for response restswith the Government of the United States, orbecause the emergency involves an area or facilityfor which the Federal Government exercisesexclusive or preeminent primary responsibility andauthority, the President may unilaterally direct theprovision of assistance under the act and will, ifpracticable, consult with the Governor of the State.

■ DHS can use limited pre-declaration authorities tomove initial response resources (critical goodstypically needed in the immediate aftermath of adisaster such as food, water, emergency generators,etc.) closer to a potentially affected area.

■ Federal assistance takes many forms—including thedirect provision of goods and services, financialassistance (through insurance, grants, loans, anddirect payments), and technical assistance—andcan come from various sources.

■ In a major disaster or emergency as defined in theStafford Act, the President “may direct any Federalagency, with or without reimbursement, to utilizeits authorities and the resources granted to it underFederal law (including personnel, equipment,supplies, facilities, and managerial, technical, andadvisory services) in support of State and localassistance efforts…” [sections 402(a)(1) and502(a)(1) of the Stafford Act, 42 U.S.C. §5170a(1) and § 5192(a)(1)].

■ In an actual or potential Incident of NationalSignificance that is not encompassed by theStafford Act, the President may instruct a Federaldepartment or agency, subject to any statutorylimitations on the department or agency, to utilizethe authorities and resources granted to it byCongress. In accordance with HSPD-5, Federaldepartments and agencies are expected to providetheir full and prompt cooperation, availableresources, and support, as appropriate andconsistent with their own responsibilities forprotecting national security.

■ Federal-to-Federal support refers to the circumstancein which a Federal department or agency requestsFederal resource support under the NRP that is notaddressed by the Stafford Act or other mechanisms(e.g., Executive orders, MOUs, memorandums ofagreement (MOAs), etc.).

This support:■ Is coordinated by DHS using the multiagency

coordination structures established in the NRP andin accordance with the NIMS;

■ Generally is funded by the Federal entity withprimary responsibility and statutory authority forthe incident in accordance with provisions of theEconomy Act, 31 U.S.C. 1535, unless otherstatutory authorities exist;

■ Is facilitated by the interagency MOU for MutualAid, and executed at the time of the incidentthrough interagency agreements (see the FinancialManagement Support Annex for more information);

■ May include support to incident operations at sitesunder the control of the Legislative or JudicialBranches of the Federal Government; and

■ May be used to coordinate U.S. Governmentsupport in the event of an overseas incident, ifrecommended by the Department of State (DOS).


Police, fire, public health and medical, emergencymanagement, public works, environmental response,and other personnel are often the first to arrive and thelast to leave an incident site. In some instances, aFederal agency in the local area may act as a firstresponder, and the local assets of Federal agencies maybe used to advise or assist State or local officials inaccordance with agency authorities and procedures.Mutual aid agreements provide mechanisms tomobilize and employ resources from neighboringjurisdictions to support the incident command.

When State resources and capabilities areoverwhelmed, Governors may request Federal assistanceunder a Presidential disaster or emergency declaration.Summarized below are the responsibilities of theGovernor, Local Chief Executive Officer, and TribalChief Executive Officer.

Governor

As a State’s chief executive, the Governor is responsiblefor the public safety and welfare of the people of thatState or territory. The Governor:■ Is responsible for coordinating State resources to

address the full spectrum of actions to prevent,prepare for, respond to, and recover from incidents inan all-hazards context to include terrorism, naturaldisasters, accidents, and other contingencies;

■ Under certain emergency conditions, typically haspolice powers to make, amend, and rescind ordersand regulations;

■ Provides leadership and plays a key role incommunicating to the public and in helping people,businesses, and organizations cope with theconsequences of any type of declared emergencywithin State jurisdiction;

■ Encourages participation in mutual aid andimplements authorities for the State to enter intomutual aid agreements with other States, tribes, andterritories to facilitate resource-sharing;

■ Is the Commander-in-Chief of State military forces(National Guard when in State Active Duty or Title 32Status and the authorized State militias); and

■ Requests Federal assistance when it becomes clearthat State or tribal capabilities will be insufficient orhave been exceeded or exhausted.

Local Chief Executive Officer

A mayor or city or county manager, as a jurisdiction’schief executive, is responsible for the public safety andwelfare of the people of that jurisdiction. The LocalChief Executive Officer:■ Is responsible for coordinating local resources to

address the full spectrum of actions to prevent,prepare for, respond to, and recover from incidentsinvolving all hazards including terrorism, naturaldisasters, accidents, and other contingencies;

■ Dependent upon State and local law, hasextraordinary powers to suspend local laws andordinances, such as to establish a curfew, directevacuations, and, in coordination with the localhealth authority, to order a quarantine;

■ Provides leadership and plays a key role in communi-cating to the public, and in helping people, business-es, and organizations cope with the consequences ofany type of domestic incident within the jurisdiction;

■ Negotiates and enters into mutual aid agreements withother jurisdictions to facilitate resource-sharing; and

■ Requests State and, if necessary, Federal assistancethrough the Governor of the State when the jurisdic-tion’s capabilities have been exceeded or exhausted.

Tribal Chief Executive Officer

The Tribal Chief Executive Officer is responsible for thepublic safety and welfare of the people of that tribe.The Tribal Chief Executive Officer, as authorized bytribal government:■ Is responsible for coordinating tribal resources to

address the full spectrum of actions to prevent,prepare for, respond to, and recover from incidentsinvolving all hazards including terrorism, naturaldisasters, accidents, and other contingencies;

■ Has extraordinary powers to suspend tribal laws andordinances, such as to establish a curfew, directevacuations, and order a quarantine;

III. Roles and ResponsibilitiesThis section discusses the roles and responsibilities of Federal, State, local, tribal, private-sector, andnongovernmental organizations and citizens involved in support of domestic incident management.

State, Local, and Tribal Governments


Federal Government

Department of Homeland Security

The Homeland Security Act of 2002 established DHS toprevent terrorist attacks within the United States;reduce the vulnerability of the United States toterrorism, natural disasters, and other emergencies; andminimize the damage and assist in the recovery fromterrorist attacks, natural disasters, and otheremergencies. The act also designates DHS as “a focalpoint regarding natural and manmade crises andemergency planning.”

Secretary of Homeland Security

Pursuant to HSPD-5, the Secretary of Homeland Securityis responsible for coordinating Federal operationswithin the United States to prepare for, respond to, andrecover from terrorist attacks, major disasters, and otheremergencies. HSPD-5 further designates the Secretaryof Homeland Security as the “principal Federal official”for domestic incident management.

In this role, the Secretary is also responsible forcoordinating Federal resources utilized in response to orrecovery from terrorist attacks, major disasters, or otheremergencies if and when any of the following fourconditions applies:(1) a Federal department or agency acting under its

own authority has requested DHS assistance;(2) the resources of State and local authorities are over-

whelmed and Federal assistance has been requested;(3) more than one Federal department or agency has

become substantially involved in responding to theincident; or

(4) the Secretary has been directed to assume incidentmanagement responsibilities by the President.

Department of Justice

The Attorney General is the chief law enforcement officer in the United States.

Attorney General

In accordance with HSPD-5 and other relevant statutesand directives, the Attorney General has leadresponsibility for criminal investigations of terroristacts or terrorist threats by individuals or groups insidethe United States, or directed at U.S. citizens orinstitutions abroad, where such acts are within theFederal criminal jurisdiction of the United States, aswell as for related intelligence-collection activitieswithin the United States, subject to applicable laws,Executive orders, directives, and procedures.

Generally acting through the Federal Bureau ofInvestigation (FBI), the Attorney General, in cooperationwith other Federal departments and agencies engaged inactivities to protect national security, coordinates theactivities of the other members of the law enforcementcommunity to detect, prevent, preempt, and disruptterrorist attacks against the United States. This includesactions to prevent, preempt, and disrupt specificterrorist threats or actual incidents that are based uponspecific intelligence or law enforcement information.Nothing in this plan derogates the Attorney General'sstatus or responsibilities.

Following a terrorist threat or an actual incident thatfalls within the criminal jurisdiction of the UnitedStates, the full capabilities of the United States will bededicated to assisting the Attorney General to identifythe perpetrators and bring them to justice, consistent

■ Provides leadership and plays a key role incommunicating to the tribal nation, and in helpingpeople, businesses, and organizations cope with theconsequences of any type of domestic incidentwithin the jurisdiction;

■ Negotiates and enters into mutual aid agreements withother tribes/jurisdictions to facilitate resource-sharing;

■ Can request State and Federal assistance through theGovernor of the State when the tribe’s capabilitieshave been exceeded or exhausted; and

■ Can elect to deal directly with the Federal Government.(Although a State Governor must request a Presidentialdisaster declaration on behalf of a tribe under theStafford Act, Federal agencies can work directly withthe tribe within existing authorities and resources.)


with U.S. law and with authorities of other Federaldepartments and agencies to protect national security.

Department of Defense (DOD)

DOD has significant resources that may be available tosupport the Federal response to an Incident of NationalSignificance.

Secretary of Defense

The Secretary of Defense authorizes Defense Support ofCivil Authorities (DSCA) for domestic incidents asdirected by the President or when consistent withmilitary readiness operations and appropriate under thecircumstances and the law. The Secretary of Defenseretains command of military forces under DSCA, aswith all other situations and operations.

Concepts of “command” and “unity of command” havedistinct legal and cultural meanings for military forces andoperations. For military forces, command runs from thePresident to the Secretary of Defense to the Commander ofthe combatant command to the commander of the forces.The “Unified Command” concept utilized by civil authori-ties is distinct from the military chain of command.

Nothing in this plan impairs or otherwise affects theauthority of the Secretary of Defense over the DOD, includ-ing the chain of command for military forces from thePresident as Commander in Chief, to the Secretary ofDefense, to the commander of military forces, or militarycommand and control procedures. The Secretary of Defenseshall provide defense support of civil authorities for domes-tic incidents as directed by the President or when consistentwith military readiness and appropriate under the circum-stances and the law. The Secretary of Defense shall retaincommand of military forces providing civil support.

Department of State

DOS has international coordination responsibilities.

Secretary of State

The Secretary of State is responsible for coordinatinginternational prevention, preparedness, response, andrecovery activities relating to domestic incidents, and forthe protection of U.S. citizens and U.S. interests overseas.

Other Federal Agencies

During an Incident of National Significance, other Federaldepartments or agencies may play primary, coordinating,and/or support roles based on their authorities andresources and the nature of the incident. In situationswhere a Federal agency has jurisdictional authority andresponsibility for directing or managing a major aspect ofthe response, that agency is part of the national leadershipfor the incident and participates as a Senior Federal Official(SFO) or Senior Federal Law Enforcement Official (SFLEO)in the Joint Field Office (JFO) Coordination Group at thefield level, and as part of the Interagency IncidentManagement Group (IIMG) and/or Homeland SecurityCouncil (HSC)/National Security Council (NSC) PolicyCoordination Committees (PCC). (See section IV, page 22.)

Some Federal agencies with jurisdictional authority andresponsibility may also participate in the Unified Commandat the Incident Command Post (ICP). Federal departmentsand agencies participate in the ESF structure as coordinators,primary agencies, and/or support agencies and/or asrequired to support incident management activities.

HSPD-5 directs the heads of all Federal departments andagencies, in the context of domestic incident management,to “provide their full and prompt cooperation, resources,and support, as appropriate and consistent with their ownresponsibilities for protecting our national security, to theSecretary of Homeland Security, the Attorney General, theSecretary of Defense, and the Secretary of State.”

Several Federal agencies have independent authorities todeclare disasters or emergencies. These authorities maybe exercised concurrently with or become part of amajor disaster or emergency declared under the StaffordAct. Some examples of agencies exercising independentauthorities include the following scenarios:■ The Secretary of Agriculture may declare a disaster

in certain situations in which a county sustained production loss of 30 percent or greater in a singlemajor enterprise, authorizing emergency loans forphysical damages and crop loss.


Emergency Support Function

A grouping of government and certain private-sectorcapabilities into an organizational structure to providesupport, resources, and services.

■ The Administrator of the Small BusinessAdministration may make a disaster declaration basedon physical damage to buildings, machinery,equipment, inventory, homes, and other property aswell as economic injury.

■ The Secretary of Commerce may make a declaration of acommercial fisheries failure or fishery resources disaster.

■ The Secretary of Health and Human Services maydeclare a public health emergency.

■ The U.S. Army Corps of Engineers (USACE) Chief ofEngineers may issue a disaster declaration in responseto flooding and coastal storms. USACE is authorizedto undertake emergency operations and activities.

■ A Federal On-Scene Coordinator (OSC), designatedby the Environmental Protection Agency (EPA),DHS/U.S. Coast Guard (DHS/USCG), DOD, or theDepartment of Energy (DOE) under the NCP, has theauthority to direct response efforts at the scene of adischarge or release of oil, hazardous substance,pollutants, or contaminants, depending on thesubstance and the location and source of release.

The ESF, Support, and Incident Annexes provide furtherdiscussion of the domestic incident management roles andresponsibilities of other Federal departments and agencies.

Emergency Support Functions

The NRP applies a functional approach that groups thecapabilities of Federal departments and agencies and theAmerican Red Cross into ESFs to provide the planning,support, resources, program implementation, andemergency services that are most likely to be neededduring Incidents of National Significance. The Federalresponse to actual or potential Incidents of NationalSignificance is typically provided through the full or

partial activation of the ESF structure as necessary. TheESFs serve as the coordination mechanism to provideassistance to State, local, and tribal governments or toFederal departments and agencies conducting missions ofprimary Federal responsibility. ESFs may be selectivelyactivated for both Stafford Act and non-Stafford Actincidents where Federal departments or agencies requestDHS assistance or under other circumstances as definedin HSPD-5. The ESFs provide staffing for the NationalResponse Coordination Center (NRCC), RegionalResponse Coordination Center (RRCC), JFO, and ICP asrequired by the situation at hand.

Each ESF is composed of primary and support agencies.The NRP identifies primary agencies on the basis ofauthorities, resources, and capabilities. Support agenciesare assigned based on resources and capabilities in a givenfunctional area. The resources provided by the ESFs reflectthe resource-typing categories identified in the NIMS. Thescope of each ESF is summarized in Figure 2 on thefollowing page. ESFs are expected to support one anotherin carrying out their respective roles and responsibilities.Additional discussion on roles and responsibilities of ESFcoordinators, primary agencies, and support agencies canbe found in the introduction to the ESF Annexes.

Note that not all Incidents of National Significanceresult in the activation of ESFs. It is possible that anIncident of National Significance can be adequatelyaddressed by DHS and other Federal agencies throughactivation of certain NRP elements (e.g., PrincipalFederal Official (PFO), IIMG) without the activation ofESFs. Similarly, operational security considerations maydictate that activation of NRP elements be kept to aminimum, particularly in the context of certainterrorism prevention activities.


Nongovernmental and Volunteer OrganizationsNGOs collaborate with first responders, governments atall levels, and other agencies and organizations providingrelief services to sustain life, reduce physical andemotional distress, and promote recovery of disastervictims when assistance is not available from othersources. For example, the American Red Cross is an NGOthat provides relief at the local level and also coordinatesthe Mass Care element of ESF #6. Community-basedorganizations (CBOs) receive government funding toprovide essential public health services.

The National Voluntary Organizations Active in Disaster(NVOAD) is a consortium of more than 30 recognizednational organizations of volunteers active in disasterrelief. Such entities provide significant capabilities toincident management and response efforts at all levels.For example, the wildlife rescue and rehabilitationactivities conducted during a pollution emergency areoften carried out by private, nonprofit organizationsworking with natural resource trustee agencies.


ESF #1 - Transportation ■ Federal and civil transportation support ■ Transportation safety■ Restoration/recovery of transportation infrastructure■ Movement restrictions■ Damage and impact assessment

ESF #2 - Communications ■ Coordination with telecommunications industry ■ Restoration/repair of telecommunications infrastructure■ Protection, restoration, and sustainment of national cyber and information technology resources

ESF #3 - Public Works and Engineering

■ Infrastructure protection and emergency repair ■ Infrastructure restoration ■ Engineering services, construction management■ Critical infrastructure liaison

ESF #4 - Firefighting ■ Firefighting activities on Federal lands ■ Resource support to rural and urban firefighting operations

ESF #5 - Emergency Management ■ Coordination of incident management efforts■ Issuance of mission assignments■ Resource and human capital■ Incident action planning■ Financial management

ESF #6 - Mass Care, Housing,and Human Services

■ Mass care ■ Disaster housing ■ Human services

ESF #7 - Resource Support ■ Resource support (facility space, office equipment and supplies, contracting services, etc.)

ESF #8 - Public Health and Medical Services

■ Public health ■ Medical ■ Mental health services■ Mortuary services

ESF #9 - Urban Search and Rescue

■ Life-saving assistance■ Urban search and rescue

ESF #10 - Oil and Hazardous Materials Response

■ Oil and hazardous materials (chemical, biological, radiological, etc.) response■ Environmental safety and short- and long-term cleanup

ESF #11 - Agriculture and Natural Resources

■ Nutrition assistance■ Animal and plant disease/pest response■ Food safety and security■ Natural and cultural resources and historic properties protection and restoration

ESF #12 - Energy ■ Energy infrastructure assessment, repair, and restoration■ Energy industry utilities coordination■ Energy forecast

ESF #13 - Public Safety andSecurity

■ Facility and resource security■ Security planning and technical and resource assistance■ Public safety/security support■ Support to access, traffic, and crowd control

ESF #14 - Long-Term CommunityRecovery and Mitigation

■ Social and economic community impact assessment■ Long-term community recovery assistance to States, local governments, and the private sector ■ Mitigation analysis and program implementation

ESF #15 - External Affairs ■ Emergency public information and protective action guidance■ Media and community relations■ Congressional and international affairs■ Tribal and insular affairs

FIGURE 2. Emergency Support Functions

ESF Scope


Impacted Organization or Infrastructure

Private-sector organizations may be affected by direct or indirect consequences of the incident, including privately owned critical infrastructure, key resources, and thosemain private-sector organizations that are significant to local, regional, and nationaleconomic recovery from the incident. Examples of privately owned infrastructure includetransportation, telecommunications, private utilities, financial institutions, and hospitals.

Response Resource Private-sector organizations provide response resources (donated or compensated) during an incident—including specialized teams, equipment, and advanced technologies—through local public-private emergency plans, mutual aid agreements, or incident-specific requests from government and private-sector-volunteered initiatives.

Regulated and/orResponsible Party

Owners/operators of certain regulated facilities or hazardous operations may bearresponsibilities under the law for preparing for and preventing incidents fromoccurring, and responding to an incident once it occurs. For example, Federalregulations require owners/operators of Nuclear Regulatory Commission (NRC)-regulated nuclear facilities and activities to maintain emergency (incident) preparednessplans, procedures, and facilities and to perform assessments, prompt notifications, andtraining for a response to an incident.

State/Local EmergencyOrganization Member

Private-sector organizations may serve as an active partner in local and State emergencypreparedness and response organizations and activities.

Type of Organization Role

Responsibilities: Private-sector organizations supportthe NRP (voluntarily or to comply with applicable lawsand regulations) by sharing information with thegovernment, identifying risks, performing vulnerabilityassessments, developing emergency response andbusiness continuity plans, enhancing their overallreadiness, implementing appropriate prevention andprotection programs, and donating or otherwiseproviding goods and services through contractualarrangement or government purchases to assist inresponse to and recovery from an incident.

Certain organizations are required by existing law andregulation to bear the cost of planning and response toincidents, regardless of cause. In the case of anIncident of National Significance, these private-sector

organizations are expected to mobilize and employ theresources necessary and available in accordance withtheir plans to address the consequences of incidents attheir own facilities or incidents for which they areotherwise responsible.

Response Resources: Unless the response role isinherently governmental (e.g., law enforcement, etc.),private-sector organizations are encouraged to developand maintain capabilities to respond to and manage acomplete spectrum of incidents and emergencies. TheFederal Government maintains ongoing interactionwith the critical infrastructure and key resourcesindustries to provide coordination for prevention,preparedness, response, and recovery activities. Whenpractical, or when required under Federal law, private-

Private SectorDHS and NRP primary and support agencies coordinatewith the private sector to effectively share information,form courses of action, and incorporate availableresources to prevent, prepare for, respond to, andrecover from Incidents of National Significance.Further, the Secretary of Homeland Security utilizes aprivate-sector advisory group with broadrepresentation to provide advice on incident

management and emergency response issues impactingtheir stakeholders.

Roles: The roles, responsibilities, and participation ofthe private sector during Incidents of NationalSignificance vary based on the nature of the organizationand the type and impact of the incident. The roles ofprivate-sector organizations are summarized below.

Citizen InvolvementStrong partnerships with citizen groups and organizationsprovide support for incident management prevention,preparedness, response, recovery, and mitigation.

The U.S. Citizen Corps brings these groups togetherand focuses efforts of individuals through education,training, and volunteer service to help makecommunities safer, stronger, and better prepared toaddress the threats of terrorism, crime, public healthissues, and disasters of all kinds.

Local Citizen Corps Councils implement Citizen Corpsprograms, which include Community EmergencyResponse Teams (CERTs), Medical Reserve Corps,Neighborhood Watch,Volunteers in Police Service, andthe affiliate programs; provide opportunities for specialskills and interests; develop targeted outreach forspecial-needs groups; and organize special projects andcommunity events.

Citizen Corps Affiliate Programs expand the resourcesand materials available to States and local communitiesthrough partnerships with programs and organizationsthat offer resources for public education, outreach, andtraining; represent volunteers interested in helping to

make their communities safer; or offer volunteerservice opportunities to support first responders,disaster relief activities, and community safety efforts.

Other programs unaffiliated with Citizen Corps alsoprovide organized citizen involvement opportunities insupport of Federal response to major disasters andevents of national significance. One example is theNational Animal Health Emergency Response Corps(NAHERC), which helps protect public health byproviding a ready reserve of private and State animalhealth technicians and veterinarians to combat threatsto U.S. livestock and poultry in the event of a largeoutbreak of a foreign animal disease.

sector representatives should be included in planningand exercises. The government may, in some cases,direct private-sector response resources when they havecontractual relationships, using government funds.Through the Defense Production Act of 1950, 64 Stat.798 (1950), as amended, and the Homeland SecurityAct, DHS has the authority to redirect production anddistribution of certain response and incidentmanagement resources.

Functional Coordination: The primary agency(ies) for each ESF maintains working relations with itsassociated private-sector counterparts throughpartnership committees or other means (e.g., ESF #2,Communications – telecommunications industry; ESF#10, Oil and Hazardous Materials Response – oil andhazardous materials industries; etc.).


Citizen Corps

The Citizen Corps works through a national network ofState, local, and tribal Citizen Corps Councils, whichbring together leaders from law enforcement, fire,emergency medical and other emergency management,volunteer organizations, local elected officials, theprivate sector, and other community stakeholders.

The President leads the Nation in responding effectivelyand ensuring the necessary resources are applied quicklyand efficiently to all Incidents of National Significance.As necessary, the Assistant to the President for HomelandSecurity convenes interagency meetings to coordinatepolicy issues. Though White House-level coordinationmechanisms are not described in detail in the NRP, allother Federal coordinating mechanisms and entitiesdescribed in the NRP support, and are consistent with,White House-level interagency coordination.

During actual or potential Incidents of NationalSignificance, the overall coordination of Federal incidentmanagement activities is executed through the Secretaryof Homeland Security. Other Federal departments andagencies carry out their incident management andemergency response authorities and responsibilitieswithin this overarching coordinating framework.

The Secretary of Homeland Security utilizes multiagencystructures at the headquarters, regional, and field levelsto coordinate efforts and provide appropriate support tothe incident command structure. At the Federalheadquarters level, incident information-sharing,operational planning, and deployment of Federalresources are coordinated by the Homeland SecurityOperations Center (HSOC), and its component element,the NRCC.

Strategic-level interagency incident managementcoordination and course of action development arefacilitated by the IIMG, which also serves as an advisorybody to the Secretary of Homeland Security. Issuesbeyond the Secretary's authority to resolve are referredto the appropriate White House entity for resolution.

This section describes the Federal coordinatingstructures, processes, and protocols employed tomanage Incidents of National Significance. Thesecoordinating structures and processes are designed toenable execution of the responsibilities of the Presidentthrough the appropriate Federal departments andagencies, and to integrate Federal, State, local, tribal,NGO, and private-sector efforts into a comprehensivenational approach to domestic incident management.

A basic premise of the NRP is that incidents aregenerally handled at the lowest jurisdictional levelpossible. Police, fire, public health and medical,emergency management, and other personnel areresponsible for incident management at the local level.In some instances, a Federal agency in the local areamay act as a first responder and may provide directionor assistance consistent with its specific statutoryauthorities and responsibilities. In the vast majority ofincidents, State and local resources and interstate mutualaid normally provide the first line of emergencyresponse and incident management support.

When an incident or potential incident is of suchseverity, magnitude, and/or complexity that it is

considered an Incident of National Significanceaccording to the criteria established in this plan, theSecretary of Homeland Security, in coordination withother Federal departments and agencies, initiatesactions to prevent, prepare for, respond to, and recoverfrom the incident. These actions are taken inconjunction with State, local, tribal, nongovernmental,and private-sector entities as appropriate to the threator incident. In the context of Stafford Act disasters oremergencies, DHS coordinates supplemental Federalassistance when the consequences of the incidentexceed State, local, or tribal capabilities.

IV. Concept of Operations

General


A basic premise of the NRP is that incidents aregenerally handled at the lowest jurisdictional levelpossible.

In an Incident of National Significance, the Secretaryof Homeland Security, in coordination with otherFederal departments and agencies, initiates actionsto prevent, prepare for, respond to, and recover fromthe incident. These actions are taken in conjunctionwith State, local, tribal, nongovernmental, andprivate-sector entities.

Overall Coordination of Federal Incident Management Activities

Concurrent Implementation of Other Plans

At the regional level, interagency resource coordinationand multiagency incident support are provided by theRRCC. In the field, the Secretary of Homeland Securityis represented by the PFO (and/or the FederalCoordinating Officer (FCO)/Federal ResourceCoordinator (FRC) as appropriate). Overall Federalsupport to the incident command structure on-scene iscoordinated through the JFO.

For terrorist incidents, the primary responsibilities forcoordinating and conducting all Federal law enforcementand criminal investigation activities are executed by theAttorney General acting through the FBI. During aterrorist incident, the local FBI Special Agent-in-Charge

(SAC) coordinates these activities with other members ofthe law enforcement community, and works inconjunction with the PFO, who coordinates overallFederal incident management activities. Notwithstandingany other provision of the NRP, when a terrorist threat oractual incident falls within the criminal jurisdiction of theUnited States, any incident management activity by anyother Federal department or agency that could adverselyaffect the Attorney General’s ability to prevent, preempt,disrupt, and respond to such a threat or incident must becoordinated with the Attorney General through the SFLEO(i.e., the FBI SAC).

The framework created by these coordinating structuresis designed to accommodate the various roles theFederal Government plays during an incident, whetherit is Federal support to (and in coordination with) State,local, or tribal authorities; Federal-to-Federal support; ordirect implementation of Federal incident managementauthorities and responsibilities when appropriate underFederal law. This structure also encompasses the dualroles and responsibilities of the Secretary of HomelandSecurity for operational and resource coordination inthe context of domestic incident management.


The RRCC coordinates regional response efforts,establishes Federal priorities, and implements localFederal program support until a JFO is established.

The JFO is a temporary Federal facility establishedlocally to coordinate operational Federal assistanceactivities to the affected jurisdiction(s) duringIncidents of National Significance.

The NRP is the core plan for managing domesticincidents and details the Federal coordinating structuresand processes used during Incidents of NationalSignificance. Other supplemental agency andinteragency plans provide details on authorities,response protocols, and technical guidance forresponding to and managing specific contingencysituations (such as hazardous materials spills, wildlandfires, etc.).

In many cases, Federal agencies manage localizedincidents under these plans using their own authoritieswithout the need for coordination by the Secretary ofHomeland Security. In the context of Incidents ofNational Significance, these supplemental agency orinteragency plans may be implemented concurrently

with the NRP, but are subordinated to the overarchingcore coordinating structures, processes, and protocolsdetailed in the NRP. In this case, the department oragency with primary responsibility for execution of thesupplemental agency or interagency plan is alsoresponsible for ensuring that all ongoing activitiesconform to the processes and protocols prescribed inthe NRP. This helps enable effective and coordinatedFederal incident management operations, consistentwith individual department and agency authorities andresponsibilities. Similarly, this same principle applies tothe implementation of security plans developed tosupport special security events, particularly NSSEs. Acomprehensive listing and summary of representativenational agency and interagency plans is included inAppendix 4.

Organizational StructureThe national structure for incident management establishesa clear progression of coordination and communicationfrom the local level to regional to national headquarterslevel. This structure is diagramed in Figure 3 on page 19.

As illustrated in Figure 3, the local incident commandstructures (namely the ICP(s) and Area Command) areresponsible for directing on-scene emergencymanagement and maintaining command and control ofon-scene incident operations.

The support and coordination components consist of multiagency coordination centers/emergency operationscenters (EOCs) and multiagency coordination entities. Multiagency coordination centers/EOCs provide centrallocations for operational information-sharing and resource coordination in support of on-scene efforts.

Multiagency coordination entities aid in establishingpriorities among the incidents and associated resourceallocations, resolving agency policy conflicts, andproviding strategic guidance to support incidentmanagement activities.

Figure 3. ExcerptMultiagencyCoordinationEntities


Figure 3. ExcerptIncident Command Local Emergency

Ops Center

Incident Command Post


AreaCommand

InteragencyIncident

Management Group

JFO Coordination

Group

Figure 3. Excerpt EOCs/Multiagency Coordination Centers

HomelandSecurity

OperationsCenter

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Joint Field Office

State Emergency Ops

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Local Emergency Ops

Center


In accordance with NIMS processes, resource and policyissues are addressed at the lowest organizational levelpracticable. If the issues cannot be resolved at that level,they are forwarded up to the next level for resolution.Reflecting the NIMS construct, the NRP includes thefollowing command and coordination structures:■ ICPs on-scene using the Incident Command System

(ICS)/Unified Command;■ Area Command (if needed);■ State, local, tribal, and private-sector EOCs;■ JFO, which is responsible for coordinating Federal

assistance and supporting incident managementactivities locally;

■ RRCC and HSOC, which serve as regional andnational-level multiagency situational awareness andoperational coordination centers;

■ IIMG, which serves as the national headquarters-levelmultiagency coordination entity for domesticincident management; and

■ HSC and other White House organizations, whichserve as the national-level multiagency coordinationentities to advise and assist the President onhomeland security and other policy issues.

The NRP organizational structure addresses both site-specific incident management activities and the broaderregional or national issues related to the incident, suchas impacts to the rest of the country, immediateregional or national actions required to avert or preparefor potential subsequent events, and the managementof multiple threats or incidents (particularly those thatare non-site specific, geographically dispersed, orevolve over a long period of time).

The role of regional coordinating structures variesdepending on the situation. Many incidents may becoordinated by regional structures primarily usingregional assets. Larger, more complex incidents mayrequire direct coordination between the JFO andnational level, with regional structures continuing toplay a supporting role.

Variations of the basic structure are diagramed in thefollowing figures:■ Figure 4 reflects modifications for terrorist incidents

and the role of the DOJ working through the FBI’s

Strategic Information and Operations Center (SIOC)and the Joint Operations Center (JOC).

■ Figure 5 depicts the coordination structure forFederal-to-Federal support when DHS is coordinatingresources to support another Federal agency in non-Stafford Act situations.

Additional information about each component of theseorganizational structures is presented following thefigures.



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This section discusses the major organizationalelements in the structure for Federal NRP coordinationdiagramed in Figures 3 through 5. Included in thediscussion are special teams and other associatedcomponents, to include White House-level entities.

Homeland Security Council/NationalSecurity Council

As stated in HSPD-5, the Assistant to the President forHomeland Security and the Assistant to the Presidentfor National Security Affairs are responsible forinteragency policy coordination regarding domesticand international incident management, respectively, asdirected by the President. Following an initialassessment by the Secretary of Homeland Security,interagency policy issues and courses of action framedby the IIMG, particularly those of a time-sensitivenature, those that require policy adjudication, or thoseoutside the authorities of the Secretary, as defined inthe Homeland Security Act, Stafford Act, and otherrelevant statutes, Executive orders, and directives, areelevated for resolution through the HSC/NSC system.

The Assistant to the President for Homeland Securityand the Assistant to the President for National SecurityAffairs work together to ensure that domestic andinternational incident management efforts areseamlessly united.

Policy Coordination Committees (PCCs)

PCCs coordinate policy issues as part of the WhiteHouse process. PCCs may be convened at the requestof any member agency on an emergency basis based ona threat, an Incident of National Significance, or apolicy issue of an urgent nature.

Interagency Incident Management Group

The IIMG is a Federal headquarters-level multiagencycoordination entity that facilitates strategic Federaldomestic incident management for Incidents ofNational Significance. The Secretary of HomelandSecurity activates the IIMG based on the nature,

severity, magnitude, and complexity of the threat orincident. The Secretary of Homeland Security mayactivate the IIMG for high-profile, large-scale eventsthat present high-probability targets, such as NSSEs,and in heightened threat situations. The IIMG iscomprised of senior representatives from DHScomponents, other Federal departments and agencies,and NGOs, as required. (For incident-specificactivities, the IIMG replaces the Catastrophic DisasterResponse Group that served as the policy-levelmultiagency coordination entity under the FRP.)

The IIMG membership is flexible and can be tailored ortask-organized to provide the appropriate subject-matter expertise required for the specific threat orincident at hand. When activated, the IIMG:■ Serves as a focal point for Federal strategic incident

management planning and coordination;■ Maintains situational awareness of threat assessments

and ongoing incident-related operations andactivities;

■ Provides decisionmaking support for threat orincident-related prevention, preparedness, response,and recovery efforts;

■ Synthesizes information, frames issues, and makesrecommendations to the Secretary of HomelandSecurity on:■ Actions to take in response to credible threats,■ Changes in the national HSAS alert level,■ Policy issues,■ Operational courses of action, and■ Priorities for the use or allocation of Federal

resources;■ Provides strategic coordination and recommendations

for the application of Federal resources incooperation with existing agency and interagencyresource management and private-sector entities;

■ Assesses national impacts of the incident(s) as well asthose associated with the actual or proposed Federalresponse;

■ Anticipates evolving Federal resource and operationalrequirements according to the specifics of thesituation;

■ Maintains ongoing coordination with the PFO andthe JFO Coordination Group;

■ Coordinates with the FBI SIOC on terrorism-relatedissues;

Principal NRP Organizational Elements


■ Facilitates interagency operational coordination andcoordination with other public and private entitiesrequired for implementation of decisions anddirections from the President or other appropriateWhite House entities; and

■ Develops strategies for implementing existingpolicies and provides incident information to DHSand the White House to facilitate policymaking. TheWhite House originates any new policies pertainingto a major incident and resolves interagency policydisputes.

IIMG Director, Deputy, or Designee

The IIMG coordinates with and provides information to the White House including, but not limited to:situational awareness and operational prevention,protection, preparedness, response, and recoveryactivities, as well as policy course of actionrecommendations. The IIMG Director, deputy, ordesignee, in support of the Secretary of HomelandSecurity, may participate in White House organizationmeetings. Policy decisions made through the HSC/NSCsystem are referred to the IIMG and the appropriatedepartments and agencies for implementation.

The IIMG monitors policy and operational courses ofaction implemented by individual departments andagencies, monitors progress, and reports status backthrough the DHS representative on a timely basis.

IIMG Staffing

As indicated below, the IIMG consists of an ExecutiveStaff, Core Group, and Subject-Matter ExpertAugmentation.

IIMG Executive Staff

The Executive Staff includes a Director, Deputy Director,Operations Deputy, Information Analyst, InformationRequirements Manager, Recorder, Situation Briefer,Resource Tracker, and Administrative Assistant. TheSecretary of Homeland Security will designate a seniordepartment representative to serve as the IIMG Director.

IIMG Core Group

The IIMG Core Group includes representatives fromFederal departments and agencies, DHS components,

and other organizations as required. Affected States maybe represented on the IIMG either through the DHSOffice of State and Local Government Coordination andPreparedness (OSLGCP) or, if needed, through a Stateliaison to the IIMG. At the time of activation of theIIMG, actual IIMG membership and participation istailored to include departments and agencies with theappropriate jurisdictional authority and expertise for theincident at hand, including the following scenarios:chemical, biological, radiological, or nuclear event; non-WMD terrorist event; cyber event; oil/hazardousmaterials spill; natural disaster; mass migration event;and other emergencies as required.

IIMG Core Group Staffing

■ Department of Agriculture■ Department of Commerce■ Department of Defense■ Department of Energy■ Department of Health and Human Services■ Department of Homeland Security

■ Border and Transportation Security■ Citizenship and Immigration Services■ Congressional Liaison■ Customs and Border Protection■ Emergency Preparedness and Response/Federal

Emergency Management Agency■ Immigration and Customs Enforcement■ Information Analysis and Infrastructure Protection■ International Affairs Office■ Legislative Affairs■ Office of General Counsel■ Office of National Capital Region Coordination■ Office of State and Local Government Coordination

and Preparedness■ Public Affairs■ Science and Technology■ Special Assistant to the Secretary for the Private Sector■ Transportation Security Administration■ U.S. Coast Guard■ U.S. Secret Service

■ Department of Housing and Urban Development■ Department of the Interior■ Department of Justice

■ Bureau of Alcohol,Tobacco, Firearms andExplosives

■ Drug Enforcement Agency■ Federal Bureau of Investigation■ U.S. Marshals Service


■ Department of Labor■ Department of State■ Department of Transportation■ Department of the Treasury■ Department of Veterans Affairs■ Central Intelligence Agency■ Environmental Protection Agency■ General Services Administration■ National Aeronautics and Space Administration■ Nuclear Regulatory Commission■ Office of Personnel Management■ Small Business Administration■ U.S. Postal Service■ White House Office of Science and Technology Policy■ American Red Cross

Subject-Matter Expert Augmentation

In addition to the Executive Staff and Core Group, theIIMG integrates immediately available and on-calloperational subject-matter expertise and reach-backcapability to meet the demands of the particularincident. For some responses, pre-established subject-matter expert groups are part of ESF, Support, or IncidentAnnex planning efforts, and provide appropriatetechnical advice. For example, for incidents involvinghazardous materials, the National Response Team (NRT)can provide assistance to the IIMG. (See the Science andTechnology Support Annex for additional information.)

IIMG Procedures

Procedures governing the designation, activation, recall,assembly, and operational interaction of IIMG memberswill be developed in concert with other Federaldepartments and agencies and published by theSecretary of Homeland Security in a separate document.

Homeland Security Operations Center

The HSOC is the primary national hub for domesticincident management operational coordination andsituational awareness. The HSOC is a standing 24/7interagency organization fusing law enforcement,national intelligence, emergency response, and private-sector reporting. The HSOC facilitates homelandsecurity information-sharing and operationalcoordination with other Federal, State, local, tribal, andnongovernmental EOCs.

HSOC roles and responsibilities include:■ Establishing and maintaining real-time

communications links to other Federal EOCs at thenational level, as well as appropriate State, tribal,local, regional, and nongovernmental EOCs andrelevant elements of the private sector;

■ Maintaining communications with private-sectorcritical infrastructure and key resources information-sharing entities;

■ Maintaining communications with Federal incidentmanagement officials;

■ Coordinating resources pertaining to domesticincident management, and the protection against andprevention of terrorists attacks;

■ Coordinating with the Terrorist Screening Center(TSC), FBI SIOC, National Counterterrorism Center(NCTC), and other Federal Government entities forterrorism-related threat analysis and incidentresponse, consistent with applicable Executive orders;

■ Providing general domestic situational awareness,common operational picture, and support to andacting upon requests for information from the IIMGand DHS leadership; and

■ Acting as the primary conduit for the White HouseSituation Room and IIMG for domestic situationalawareness.

The HSOC consists of a 24/7 multiagency watch andoperational coordination center and integrated elementsof DHS Information Analysis and InfrastructureProtection/Office of the Assistant Secretary forInformation Analysis (DHS/IAIP/OIA) and DHSEmergency Preparedness and Response/FederalEmergency Management Agency (DHS/EPR/FEMA).These elements work in close coordination to addressinformation/intelligence analysis and responsecoordination.

HSOC (DHS Headquarters facility elements)

The HSOC integrates representatives from DHS andother Federal departments and agencies to supportsteady-state threat-monitoring requirements andsituational awareness, as well as operational incidentmanagement coordination. The organizationalstructure of the HSOC is designed to integrate a fullspectrum of interagency subject-matter expertise andreach-back capability to meet the demands of a widerange of potential incident scenarios.


HSOC Representatives

The HSOC includes representatives from:■ Department of Agriculture*■ Department of Commerce

■ National Oceanic and Atmospheric Administration■ Department of Defense■ Department of Energy■ Department of Health and Human Services■ Department of Homeland Security

■ Border and Transportation Security■ Customs and Border Protection■ Emergency Preparedness and Response/Federal

Emergency Management Agency■ Federal Protective Service■ Immigration and Customs Enforcement■ Information Analysis and Infrastructure Protection■ Office of the National Capital Region Coordination■ Office of State and Local Government Coordination

and Preparedness■ Public Affairs■ Science and Technology■ Transportation Security Administration■ U.S. Coast Guard■ U.S. Secret Service

■ Department of the Interior■ Department of Justice

■ Bureau of Alcohol,Tobacco, Firearms and Explosives■ Drug Enforcement Agency■ Federal Bureau of Investigation■ U.S. Marshals Service

■ Department of Labor*■ Department of State■ Department of Transportation*

■ Federal Aviation Administration*■ Department of Veterans Affairs■ Central Intelligence Agency■ Environmental Protection Agency■ Nuclear Regulatory Commission*■ Office of Personnel Management■ U.S. Postal Service■ American Red Cross*■ State and local law enforcement

* Staffing from these entities is situation dependent.

This list represents a generic template for steady-statestaffing for DHS Headquarters elements of the HSOC.At the time of an incident, participation may beexpanded based on the specifics of the situation.

DHS component operations centers establish andmaintain direct connectivity, or capability forconnectivity, with the HSOC on a 24/7 basis and keepit apprised of all operational activities conducted insupport of incident management requirements.

Nothing in this plan impacts or impedes the ability ofother Federal departments and agencies to establishtheir own emergency operations centers and maintain adirect flow of information to these operations centersfrom government or private-sector representatives atthe local incident site.

Intelligence/Information Analysis

In partnership with other elements of the HSOC,DHS/IAIP/OIA is responsible for interagency intelligencecollection requirements, analysis, production, andproduct dissemination for DHS. DHS/IAIP/OIA:■ Coordinates or disseminates homeland security threat

warnings, advisory bulletins, and other informationpertinent to national incident management toFederal, State, regional, local, and nongovernmentalEOCs and incident management officials and relevantelements of the private sector;

■ Coordinates with the TSC, FBI SIOC, NCTC, and otherFederal Government entities for terrorism-related andhomeland security-related threat analysis and warning,consistent with applicable Executive orders;

■ Provides direct analytical support and coordinatedRequest for Information (RFI) processing with theHSOC in support of the IIMG;

■ Provides the threat/intelligence aspects of situationalawareness and forecasting of follow-on threatactivities/incidents; and

■ Maintains real-time communications links to othernational intelligence organizations.

The FBI develops and disseminates FBI intelligencebulletins and threat warnings to law enforcement incoordination with DHS.

Response and Resource Coordination

The NRCC is a multiagency center that provides overallFederal response coordination for Incidents of NationalSignificance and emergency management programimplementation. DHS/EPR/FEMA maintains the NRCCas a functional component of the HSOC in support ofincident management operations.


The NRCC monitors potential or developing Incidentsof National Significance and supports the efforts ofregional and field components. NRCC functions insupport of multiagency planning and coordination ofincident management operations include:■ Monitoring the preparedness of national-level

emergency response teams and resources;■ In coordination with RRCCs, initiating mission

assignments or reimbursable agreements to activateother Federal departments and agencies;

■ Activating and deploying national-level entities suchas the National Disaster Medical System (NDMS),Urban Search and Rescue Task Forces, MobileEmergency Response Support (MERS), andEmergency Response Team (ERT);

■ Coordinating and sustaining the Federal response topotential and actual Incidents of NationalSignificance, including coordinating the use ofFederal remote sensing/disaster assessment support;

■ Providing management of field facilities, supplies,and equipment;

■ Coordinating operational response and resourceallocation planning with the appropriate Federaldepartments and agencies, RRCCs, and the JFO;

■ Tracking and managing Federal resource allocations(see the Financial Management Support Annexregarding financial tracking and management duringFederal-to-Federal support situations);

■ Collecting, evaluating, and disseminating informationregarding the incident response and status ofresources; and

■ Drafting and distributing operational warnings andorders in coordination with other elements of theHSOC.

In addition, the NRCC resolves Federal resourcesupport conflicts and other implementation issuesforwarded by the JFO. Those issues that cannot beresolved by the NRCC are referred to the IIMG.

During an incident, the NRCC operates on a 24/7 basisor as required in coordination with other elements ofthe HSOC. To support incident operations, more than40 departments and agencies from activated ESFprimary and support agencies provide representativesto augment the NRCC. Additional interagencyrepresentatives may be requested based on the situationat hand. DHS/EPR/FEMA provides management andsupport staff for functions not filled by ESF personnel.The DHS/EPR/FEMA Operations Center (FOC)

supports the NRCC with a 24-hour watch and providesnotification to departments and agencies on theactivation (or potential activation) of ESFs.

Critical Infrastructure Protection

The HSOC maintains communications and coordinateswith critical infrastructure and key resourcesinformation-sharing entities through the NationalInfrastructure Coordinating Center (NICC). The NICCmonitors the Nation’s critical infrastructure and keyresources on an ongoing basis, and conducts dailypolling of the standing information-sharing entities forincidents and abnormalities. During an incident, theNICC provides a coordinating vehicle to shareinformation across infrastructure and key resourcessectors through appropriate information-sharing entities.

Strategic Information and Operations Center

The FBI SIOC is the focal point and operational controlcenter for all Federal intelligence, law enforcement, andinvestigative law enforcement activities related todomestic terrorist incidents or credible threats,including leading attribution investigations. The SIOCserves as an information clearinghouse to help collect,process, vet, and disseminate information relevant tolaw enforcement and criminal investigation efforts in atimely manner. The SIOC maintains direct connectivitywith the HSOC and IIMG. The SIOC, located at FBIHeadquarters, supports the FBI’s mission in leadingefforts of the law enforcement community to detect,prevent, preempt, and disrupt terrorist attacks againstthe Unites States.

The SIOC houses the National Joint Terrorism TaskForce (NJTTF). The mission of the NJTTF is to enhancecommunications, coordination, and cooperation amongFederal, State, local, and tribal agencies representing theintelligence, law enforcement, defense, diplomatic,public safety, and homeland security communities by


The FBI SIOC is the focal point and operational controlcenter for all Federal intelligence, law enforcement, andinvestigative law enforcement activities related todomestic terrorist incidents or credible threats,including leading attribution investigations.

providing a point of fusion for terrorism intelligenceand by supporting Joint Terrorism Task Forces (JTTFs)throughout the United States.

In situations other than terrorism, the Attorney Generalmay coordinate Federal law enforcement activitiesthrough another DOJ operations center, as appropriate,in coordination with the HSOC.

National Counterterrorism Center

The NCTC serves as the primary Federal organizationfor analyzing and integrating all intelligence possessedor acquired by the U.S. Government pertaining toterrorism and counterterrorism, excepting purelydomestic counterterrorism information. The NCTCmay, consistent with applicable law, receive, retain, anddisseminate information from any Federal, State, orlocal government or other source necessary to fulfill itsresponsibilities.

The NCTC also conducts strategic operational planningfor counterterrorism activities, integrating all instrumentsof national power, including diplomatic, financial,military, intelligence, homeland security, and lawenforcement activities within and among agencies. Itassigns operational responsibilities to agencies forcounterterrorism activities that are consistent withapplicable law and support strategic plans to counterterrorism. The NCTC ensures that agencies have access toand receive intelligence needed to accomplish theirassigned activities. It does not direct the execution ofoperations.

In addition, the NCTC serves as the central and sharedknowledge bank on known and suspected terrorists andinternational terror groups, as well as their goals,strategies, capabilities, and networks of contacts andsupport. The NCTC ensures that agencies, as appropriate,have access to and receive all-source intelligence supportneeded to execute their counterterrorism plans orperform independent, alternative analysis.

Emergency Support Functions

The ESF structure provides a modular structure toenergize the precise components that can best addressthe requirements of the incident. For example, a large-scale natural disaster or massive terrorist event may

require the activation of all ESFs. A localized flood ortornado might only require activation of a selectnumber of ESFs. Based on the requirements of theincident, ESFs provide the interagency staff to supportoperations of the NRCC, the RRCC, and the JFO.Depending on the incident, deployed assets of the ESFsmay also participate in the staffing of the ICP.

Under the NRP, each ESF is structured to provide optimalsupport of evolving incident management requirements.ESFs may be activated for Stafford Act and non-StaffordAct implementation of the NRP (although someIncidents of National Significance may not require ESFactivations). ESF funding for non-Stafford Act situationswill be accomplished using NRP Federal-to-Federalsupport mechanisms and will vary based on theincident. ESF activities and involvement vary throughoutan incident from high-visibility, high-intensity activitiesduring the early response, to program implementationand management during recovery, to a stage of decliningrequirements and deactivation as ESFs or ESFcomponents complete their missions.

Regional Coordination

Some Incidents of National Significance may bemanaged primarily using regional resources, withheadquarters-level monitoring. In large-magnitude,high-visibility, and/or sensitive situations, the JFOcoordinates directly with the headquarters-level HSOCand IIMG. In these situations, regional organizationalelements remain in support roles.

The RRCC is a standing facility operated byDHS/EPR/FEMA that is activated to coordinate regionalresponse efforts, establish Federal priorities, andimplement local Federal program support until a JFO isestablished in the field and/or the PFO, FCO, or FRC canassume their NRP coordination responsibilities. TheRRCC establishes communications with the affectedState emergency management agency and the NRCC,coordinates deployment of the Emergency ResponseTeam–Advance Element (ERT-A) to field locations,assesses damage information, develops situation reports,and issues initial mission assignments.

The DHS/EPR/FEMA Regional Director activates theRRCC based on the level of response required. TheRRCC is led by an RRCC Director and includes


DHS/EPR/FEMA staff and regional ESF representatives.The RRCC may also include a DOD Regional EmergencyPreparedness Liaison Officer (REPLO) who assists incoordination of requests for defense support. Financialmanagement activity at the RRCC is monitored andreported by the Comptroller. (The RRCC replaces theRegional Operations Center (ROC) in the FRP.)

Joint Field Office

The JFO is a multiagency coordination centerestablished locally. It provides a central location forcoordination of Federal, State, local, tribal,nongovernmental, and private-sector organizations withprimary responsibility for threat response and incidentsupport. The JFO enables the effective and efficientcoordination of Federal incident-related prevention,preparedness, response, and recovery actions.

The JFO utilizes the scalable organizational structure ofthe NIMS ICS in the context of both pre-incident andpost-incident management activities. The JFOorganization adapts to the magnitude and complexityof the situation at hand, and incorporates the NIMSprinciples regarding span of control and organizationalstructure: management, operations, planning, logistics,and finance/administration. Although the JFO uses anICS structure, the JFO does not manage on-sceneoperations. Instead, the JFO focuses on providingsupport to on-scene efforts and conducting broadersupport operations that may extend beyond theincident site.

As described in the NIMS, the JFO may also incorporatea sixth element focused on intelligence andinformation. This element may be included as aposition in the Coordination Staff, a unit within thePlanning Section, a branch within the OperationsSection, or as a separate General Staff Section. Theplacement of the intelligence function is determined bythe JFO Coordination Group based on the roleintelligence plays in the incident and/or the volume ofclassified or highly sensitive information. Personnelfrom Federal departments and agencies, otherjurisdictional entities, and private-sector and

nongovernmental organizations provide staffing for theJFO, generally through their respective ESFs.

The JFO fully replaces the DHS/EPR/FEMA DisasterField Office (DFO), and accommodates all entities (ortheir designated representatives) essential to incidentmanagement, information-sharing, and the delivery ofdisaster assistance and other support.

When activated to support an NSSE or other securitycoordination function, the DHS/U.S. Secret Service(USSS) Multiagency Command Center (MACC) and theFBI JOC are collocated at the JFO when possible. OtherFederal operations centers collocate at the JFOwhenever possible. In the event that collocation is notpractical, Federal agencies are connected virtually to theJFO and assign liaisons to the JFO to facilitate thecoordination of Federal incident management andassistance efforts. State, local, tribal, private-sector, andnongovernmental organizations are encouraged toassign liaisons to the JFO to facilitate interaction,communication, and coordination. Law enforcementactivities are managed through the JOC, whichbecomes an operational branch of the JFO duringterrorist-related Incidents of National Significancewhen required.

Threat situations or incidents that impact multipleStates or localities may require separate JFOs. In thesesituations, one of the JFOs may be identified (typicallyin the most heavily impacted area) to provide strategicleadership and coordination for the overall incidentmanagement effort.

Figures 6 through 9 illustrate possible JFOorganizational structures for various types of threatscenarios and incidents. Figure 6 illustrates theorganization for natural disasters, Figure 7 showsmodifications for terrorism, Figure 8 showsmodifications for incidents involving Federal-to-Federalsupport, and Figure 9 depicts the JFO organization foran NSSE. All or portions of these organizationalstructures may be stood up based on the nature andmagnitude of the threat or incident.



FederalCoordinating

Officer

StateCoordinating

Officer

Senior FederalOfficials

FIGURE 6. Sample JFO organization during natural disasters

External Affairs

Office of Inspector General

Defense CoordinatingOfficer

Time Unit

Procurement Unit

Cost Unit

Compensation/Claims Unit

Operations Section Planning Section Logistics SectionFinance/Admin Section

(Comptroller)

Chief of Staff

Safety Coordinator

Liaison Officer(s)

Infrastructure Liaison

Others as needed

Principal Federal OfficialNote: Depending on themagnitude of the disaster,a Principal Federal Officialmay not always be desig-nated, in which case theFederal CoordinatingOfficer will provide theFederal lead.

The State CoordinatingOfficer represents the State, and in someinstances, the JFOCoordination Group mayinclude local and/or tribalrepresentatives as wellas NGO and private-sector representatives,as appropriate.

JFO CoordinationGroup

JFO CoordinationStaff

JFO Sections

Coordination andPlanning Branch

ResourceManagement Branch

Supply Branch

Information Services Branch

Situation Unit

Resource Unit

Documentation

Technical Specialists

Demobilization Unit

Human Services Branch

Emergency Services Branch

InfrastructureSupport Branch

Community Recovery and

Mitigation Branch

JFO Organization for Terrorist Incidents

For terrorist threats or incidents, the establishment ofthe FBI JOC may precede the establishment of the othercomponents of the JFO in time and may constitute theinitial Federal coordinating presence locally. With theestablishment of a JFO, the JOC is incorporated as abranch within the Operations Section (as shown in

Figure 7) with appropriate consideration given to theprotection of sensitive law enforcement andinvestigative information within this structure.Utilizing the flexibility of NIMS, this JFO structure aidsin the protection of sensitive information while fullyintegrating law enforcement operations with otherincident management activities, as appropriate.


FBI Special Agent-in-Charge

Federal CoordinatingOfficer

State Coordinating Officer

Senior Federal Officials

FIGURE 7. Sample JFO organization for terrorist incidents

External Affairs




(Comptroller)

Chief of Staff

Safety Coordinator

Liaison Officer(s)


Others as needed

Principal Federal OfficialThe SCO represents the State, and in someinstances, the JFOCoordination Group mayinclude local and/or tribalrepresentatives as wellas NGO and private-sector representatives,as appropriate.

(Branches and sub-units established as needed)



JFO Sections

Law EnforcementInvestigative Operations

(JOC) Branch

Domestic EmergencySupport Team

Response and Recovery Operations

Branch

JFO Organization for Federal-to-Federal Support

Other situations for which a JFO may be establishedinclude incidents managed by one or more Federalagencies that request DHS assistance or events thatescalate to Incidents of National Significance, such as

an oil spill escalating to a Spill of National Significance.Again, the JFO organization is tailored to the incident(based on NIMS), and includes SFOs from agencieswith relevant authority/jurisdiction as members of theJFO Coordination Group.


Federal ResourceCoordinator

State/Tribal/LocalOfficial(s)


FIGURE 8. Sample JFO organization for Federal-to-Federal support

External Affairs




(Comptroller)

Chief of Staff

Safety Coordinator

Liaison Officer(s)


Others as needed

Principal Federal OfficialNote: An FRC is presentif ESFs are activated,and will represent theDHS Secretary if a PFOis not assigned.



JFO Sections


JFO Organization for National Special Security Events

PDD-62 formalized and delineated the roles and responsibilities of Federal agencies in the development ofsecurity plans for NSSEs. HSPD-7 established the newprocess for designating events of national and interna-tional significance as NSSEs. Designated by the Secretaryof Homeland Security, these events include summits ofworld leaders, meetings of international organizations,national political party conventions, and major nationalor international sporting events, which by virtue of theirpolitical, economic, social, or religious significance maybe targets of terrorism or other criminal activity.

For NSSEs, DHS/USSS has primary responsibility forsecurity design, planning, and implementation; FBI hasprimary responsibility for law enforcement, intelligence,hostage rescue, counterterrorism, and criminalinvestigation; and DHS/EPR/FEMA has primaryresponsibility for emergency response and recoveryplanning and coordination. These agencies worktogether using the principles of Unified Command, witha pre-designated PFO facilitating interagency incidentmanagement coordination during NSSE planning andexecution. For these situations, the JFO combines thefunctions of the DHS/USSS MACC, the FBI JOC, and theResponse and Recovery Operations Branch, as illustratedin Figure 9.


FIGURE 9. Sample JFO organization for National Special Security Events

External Affairs




(Comptroller)

Chief of Staff

Safety Coordinator

Liaison Officer(s)


Others as needed

In some instances, theJFO Coordination Groupmay include NGO and/orprivate-sector representa-tives, as appropriate.




JFO Sections

Security OperationsBranch (MACC)

Law EnforcementInvestigative Operations

(JOC) Branch

Response and Recovery Operations

Branch

FederalCoordinating

Officer

StateCoordinating

Officer


Principal Federal Official

JFO Organization Components

The JFO organization components are described in thefollowing sections.

JFO Coordination Group

Utilizing the NIMS principle of Unified Command, JFOactivities are directed by a JFO Coordination Group,which may include the PFO, SFLEO, FCO/FRC, or otherSFOs with primary jurisdictional responsibility orfunctional authority for the incident.

The JFO Coordination Group also includes a limitednumber of principal State, local, and tribal officials(such as the SCO), as well as NGO and private-sectorrepresentatives. The JFO Coordination Group functionsas a multiagency coordination entity and works jointlyto establish priorities (single or multiple incidents) andassociated resource allocation, resolve agency policyissues, and provide strategic guidance to supportFederal incident management activities. Generally, thePFO, in consultation with the FCO and SFLEO,determines the composition of the JFO CoordinationGroup. The exact composition of the JFO is dependenton the nature and magnitude of the incident, andgenerally includes the personnel described in thefollowing subsections.

The JFO Coordination Group provides strategicguidance and resolution of any conflicts in prioritiesfor allocation of critical Federal resources. If policyissue resolution cannot be achieved between JFOCoordination Group members, issues can be raised tothe IIMG or through the appropriate agency chain ofcommand for consideration by higher authorities.Unresolved resource issues are forwarded to the NRCC,then to the IIMG if further deliberation is required.


The PFO is personally designated by the Secretary ofHomeland Security to facilitate Federal support to theestablished ICS Unified Command structure and tocoordinate overall Federal incident management andassistance activities across the spectrum of prevention,preparedness, response, and recovery. The PFO ensuresthat incident management efforts are maximizedthrough effective and efficient coordination. The PFOprovides a primary point of contact and situationalawareness locally for the Secretary of HomelandSecurity. The Secretary is not restricted to DHS officialswhen selecting a PFO.

The PFO does not direct or replace the incidentcommand structure established at the incident, nordoes the PFO have directive authority over the SFLEO,FCO, or other Federal and State officials. Other Federalincident management officials retain their authorities asdefined in existing statutes and directives. The PFOcoordinates the activities of the SFLEO, FCO, and otherFederal officials involved in incident managementactivities acting under their own authorities. The PFOalso provides a channel for media and publiccommunications and an interface with appropriatejurisdictional officials pertaining to the incident. Onceformally designated, PFOs relinquish the conduct of allnormal duties and functions. PFOs may not be “dual-hatted” with any other roles or responsibilities thatcould detract from their overall incident managementresponsibilities.

PFO Responsibilities

The specific roles and responsibilities of the PFOinclude the following:■ Representing the Secretary of Homeland Security as

the lead Federal official;■ Ensuring overall coordination of Federal domestic

incident management and resource allocationactivities;

■ Ensuring the seamless integration of Federal activitiesin support of and in coordination with State, local,and tribal requirements;

■ Providing strategic guidance to Federal entities;■ Facilitating interagency conflict resolution as

necessary;


JFO Coordination Group

FederalCoordinating

Officer

StateCoordinating

Officer



■ Serving as a primary, although not exclusive, point ofcontact for Federal interface with State, local, andtribal senior elected/appointed officials, the media,and the private sector;

■ Providing real-time incident information to theSecretary of Homeland Security through the HSOCand the IIMG, as required;

■ Coordinating response resource needs betweenmultiple incidents as necessary, or as directed by theSecretary of Homeland Security;

■ Coordinating the overall Federal strategy locally toensure consistency of Federal interagencycommunications to the public;

■ Ensuring that adequate connectivity is maintainedbetween the JFO and the HSOC; local, county, State,and regional EOCs; nongovernmental EOCs; andrelevant elements of the private sector; and

■ Participating in ongoing steady-state preparednessefforts (as appropriate for PFOs designated in a “pre-incident” mode, when a threat can be ascribedto a particular geographic area).

For an actual incident, the Secretary may designate alocal Federal official as an “initial PFO” until theprimary PFO is in place. The initial PFO is accountablefor the same responsibilities as the PFO. In certainscenarios, a PFO may be pre-designated by theSecretary of Homeland Security to facilitate Federaldomestic incident planning and coordination at thelocal level outside the context of a specific threat orincident. A PFO also may be designated in a pre-incident mode for a specific geographic area based onthreat and other considerations. The PFO may hand offduties to the FCO or other designated Federal official asappropriate after an event transitions to long-termrecovery and/or cleanup operations.

The Secretary of Homeland Security announcesdesignation of the PFO via a message from the HSOCto other Federal, State, and local emergency operationscenters, as well as through a letter to theGovernor/mayor of the affected jurisdiction(s).

The PFO and a small staff component may deploy withthe Domestic Emergency Support Team (DEST) tofacilitate their timely arrival and enhance initialsituational awareness. The PFO and supporting staffconform to the deployment timelines and otherguidelines established in DEST procedures including,but not limited to, those outlined in the MOU between

DHS and the FBI regarding the DEST program.Nothing in the NRP alters the existing DEST concept ofoperation or affects the mission of the DEST to supportthe FBI SAC at the scene of a weapons of massdestruction (WMD) threat or incident.

DHS conducts a formal training program for PFO-designates. Unless extenuating circumstances dictateotherwise, all PFO-designates should satisfactorilycomplete this training program prior to performingPFO-related responsibilities.

Federal Coordinating Officer

The FCO manages and coordinates Federal resourcesupport activities related to Stafford Act disasters andemergencies. The FCO assists the Unified Commandand/or the Area Command. The FCO works closelywith the PFO, SFLEO, and other SFOs. In Stafford Actsituations where a PFO has not been assigned, the FCOprovides overall coordination for the Federalcomponents of the JFO and works in partnership withthe SCO to determine and satisfy State and localassistance requirements.

FCO Responsibilities

Roles and responsibilities of the FCO include thefollowing:■ Conducting an initial appraisal of the types of

assistance most urgently needed;■ Coordinating the timely delivery of Federal assistance

to affected State, local, and tribal governments anddisaster victims;

■ Supporting the PFO, when one is designated;■ When delegated from the DHS/EPR/FEMA Regional

Director, serving as Disaster Recovery Manager(DRM) to administer the financial aspects ofassistance authorized under the Stafford Act;

■ Working in partnership with the SCO (appointed bythe Governor to oversee operations for the State) andthe Governor’s Authorized Representative (GAR)(empowered by the Governor to execute all necessarydocuments for Federal assistance on behalf of theState); and

■ Taking other such action consistent with theauthority delegated to him/her as deemed necessaryto assist local citizens and public officials in promptlyobtaining assistance to which they are entitled.


Federal Resource Coordinator

In non-Stafford Act situations when a Federaldepartment or agency acting under its own authorityhas requested the assistance of the Secretary ofHomeland Security to obtain support from otherFederal departments and agencies, DHS designates anFRC. In these situations, the FRC coordinates supportthrough interagency agreements and MOUs. Relyingon the same skill set, DHS may select the FRC from theFCO cadre or other personnel with equivalentknowledge, skills, and abilities.

The FRC is responsible for coordinating the timelydelivery of resources to the requesting agency.

Senior Federal Law Enforcement Official

The SFLEO is the senior law enforcement official fromthe agency with primary jurisdictional responsibility asdirected by statute, Presidential directive, existingFederal policies, and/or the Attorney General. TheSFLEO directs intelligence/investigative lawenforcement operations related to the incident andsupports the law enforcement component of theUnified Command on-scene. In the event of a terroristincident, this official will normally be the FBI SAC.

State/Local/Tribal Official(s)

The JFO Coordination Group also includes Staterepresentatives such as the SCO, who serves as the Statecounterpart to the FCO and manages the State’sincident management programs and activities, and theGAR, who represents the Governor of the impactedState. The JFO Coordination Group may also includetribal and/or local area representatives with primarystatutory authority for incident management.

Senior Federal Officials

The JFO Coordination Group may also include officialsrepresenting other Federal departments or agencieswith primary statutory responsibility for certain aspectsof incident management. SFOs utilize existingauthorities, expertise, and capabilities to assist inmanagement of the incident working in coordination

with the PFO, FCO, SFLEO, and other members of theJFO Coordination Group. When appropriate, the JFOCoordination Group may also include U.S. attorneys orother senior officials or their designees from DOJ toprovide expert legal counsel.

Responsible/Regulated Party

If the source of the incident is a privately ownedfacility or vessel, the JFO Coordination Group may alsoinclude a representative of the owners/operators of thefacility or vessel.

JFO Coordination Staff

In accordance with NIMS and ICS principles, the JFOstructure normally includes a Coordination Staff. The JFOCoordination Group determines the extent of staffingbased on the type and magnitude of the incident.

The following paragraphs provide information on typicalstaff positions.

Chief of Staff and Support Staff

The JFO Coordination Staff may include a Chief of Staffand representatives providing specialized assistance,which may include support in the following areas:safety, legal counsel, equal rights, security,infrastructure liaison, and other liaisons.

■ The Safety Coordinator has the following roles:1) ensure that the Chief of Staff and the PFO receivecoordinated, consistent, accurate, and timely safetyand health information and technical assistance;


JFO Coordination Staff

External Affairs



Chief of Staff

Safety Coordinator

Liaison Officer(s)


Others as needed

2) support the Safety Officer(s) at the ICP(s) bycoordinating worker safety and health resources andproviding technical assistance as necessary; and 3) ensure the safety of the personnel in the JFO. TheSafety Coordinator may receive technical assistancefrom responding safety and health personnel byimplementing the Worker Safety and Health SupportAnnex.

■ Legal Affairs serves as the primary legal advisor tothe JFO Coordination Group and may also work witheach section chief to support programmatic,logistical, and personnel matters as required.

■ The Equal Rights Officer serves to promote adiscrimination-free workplace and equal access torecovery programs and benefits.

■ The Security Officer is responsible for safeguardingJFO personnel and JFO facility security. When notassigned elsewhere, the Security Officer also isresponsible for information security and operationalsecurity, ensuring that sensitive information of alltypes (e.g., classified information, sensitive lawenforcement information, proprietary and personalinformation, or export-controlled information) ishandled in a way that not only safeguards theinformation but also ensures that it gets to those whoneed access to it so that they can effectively andsafely conduct their missions.

■ Liaisons serve as the point of contact for assistingand coordinating activities with various agencies andgroups, and are assigned as needed.

■ The Infrastructure Liaison, designated by DHS/IAIP, serves as the principal advisor to the JFOCoordination Group regarding all national- andregional-level CI/KR incident-related issues. TheInfrastructure Liaison:■ Acts as liaison between the national- and regional-

level CI/KR, the private sector, and JFO activities;■ Coordinates CI/KR and ESF issues between the JFO

Coordination Group and IAIP representativeslocated at the IIMG and NRCC;

■ Provides situational awareness concerning theaffected CI/KR and provides periodic updates tothe JFO Coordination Group; and

■ Communicates information to the IAIPrepresentative at the IIMG, NRCC, and NICC.

External Affairs Officer

The External Affairs Officer provides support to the JFOleadership in all functions involving communicationswith external audiences. External Affairs includesPublic Affairs, Community Relations, CongressionalAffairs, State and Local Coordination,Tribal Affairs, andInternational Affairs, when appropriate. Resources forthe various External Affairs Functions are coordinatedthrough ESF #15. (See the ESF #15 Annex for moreinformation.)

The External Affairs Officer also is responsible foroverseeing operations of the Federal Joint InformationCenter (JIC) established to support the JFO. Thefollowing is a description of the JIC:

■ The JIC is a physical location where public affairsprofessionals from organizations involved in incidentmanagement activities work together to providecritical emergency information, crisiscommunications, and public affairs support. The JICserves as a focal point for the coordination anddissemination of information to the public andmedia concerning incident prevention, preparedness,response, recovery, and mitigation. The JIC may beestablished at an on-scene location in coordinationwith State and local agencies depending on therequirements of the incident. In most cases, the JICis established at, or is virtually connected to, the JFOand is coordinated by Federal and State lead PublicInformation Officers. In most Incidents of NationalSignificance, the Federal lead will be a DHS PublicInformation Officer, who works with other Federal,State, local, tribal, NGO, and private-sector publicaffairs personnel. The JFO JIC works in closecoordination with other JICs to integrate into a JointInformation System (JIS) providing consistent,coordinated, and timely information during anincident. (See the NIMS for more details on the JIS.)

■ The JIC develops, coordinates, and disseminatesunified news releases. News releases are clearedthrough the JFO Coordination Group to ensure


The JIC serves as a focal point for the coordinationand dissemination of information to the public andmedia concerning incident prevention, preparedness,response, recovery, and mitigation.

consistent messages, avoid release of conflictinginformation, and prevent negative impact onoperations. This formal approval process for newsreleases ensures protection of law enforcement-sensitive information. Agencies may issue their ownnews releases related to their policies, procedures,programs, and capabilities; however, these should becoordinated with the JIC.

■ The PFO is supported by a dedicated DHS PublicAffairs Director who functions as the Press Secretary,coordinates media activities, provides strategiccommunications guidance to the JIC, and serves as adesignated spokesperson when directed by the PFOand/or DHS Public Affairs.

■ The following elements should be represented at theJIC: (1) DHS/EPR/FEMA Public Information Officerand staff; (2) FBI Public Information Officer and staff(when activated in support of a terrorist incident);(3) other Federal agency Public Information Officers,as required; and (4) State, local, tribal, and NGOPublic Information Officers. (See the ESF #15 Annexand the Public Affairs Support Annex for additionalinformation on the JIC, public outreach, andinformation dissemination.)

Defense Coordinating Officer

If appointed by DOD, the DCO serves as DOD’s singlepoint of contact at the JFO. With few exceptions,requests for DSCA originating at the JFO arecoordinated with and processed through the DCO. TheDCO may have a Defense Coordinating Element (DCE)consisting of a staff and military liaison officers inorder to facilitate coordination and support to activatedESFs. Specific responsibilities of the DCO (subject tomodification based on the situation) include processingrequirements for military support, forwarding missionassignments to the appropriate military organizationsthrough DOD-designated channels, and assigningmilitary liaisons, as appropriate, to activated ESFs.

JFO Sections

The JFO is organized into four sections: OperationsSection, Planning Section, Logistics Section, andFinance/Administration Section (Comptroller).

Operations Section

The Operations Section coordinates operational support toon-scene incident management efforts. Branches may beadded or deleted as required, depending on the nature ofthe incident. The Operations Section also is responsible forcoordination with other Federal command posts that maybe established to support incident management activities.

For terrorist incidents, the Operations Section includesa Law Enforcement Investigative Branch and a Responseand Recovery Branch. For NSSEs, a third branch, theSecurity Operations Branch, may be added tocoordinate protection and security efforts.

In these situations, the Operations Section Chief isdesignated by mutual agreement of the JFOCoordination Group based on the agency with greatestjurisdictional involvement and statutory authority forthe current incident priorities. The agency providingthe Operations Section Chief may change over time asincident priorities change. Each of the OperationsSection branches is described below.

■ Law Enforcement Investigative OperationsBranch/Joint Operations Center: The JOC Branch isestablished by the SFLEO (e.g., the FBI SAC duringterrorist incidents) to coordinate and direct lawenforcement and criminal investigation activitiesrelated to the incident.

Operations Section Branches


JFO Sections

OperationsSection

OperationsSection

PlanningSection

LogisticsSection

Fin/AdminSection

SecurityOperations

Branch (MACC)

LawEnforcementInvestigativeOperations

(JOC) Branch

Response and Recovery

OperationsBranch

The JOC Branch ensures management andcoordination of Federal, State, local, and tribalinvestigative/law enforcement activities. Theemphasis of the JOC is on prevention as well asintelligence collection, investigation, and prosecutionof a criminal act. This emphasis includes managingunique tactical issues inherent to a crisis situation(e.g., a hostage situation or terrorist threat).

When this branch is included as part of the JFO, it isresponsible for coordinating the intelligence andinformation function (as described in NIMS), whichincludes information and operational security, and thecollection, analysis, and distribution of all incident-related intelligence. Accordingly, the Intelligence Unitwithin the JOC Branch serves as the interagencyfusion center for all intelligence related to an incident.All intelligence collected on-scene and through theinvestigation is gathered at the Intelligence Unit.Additionally, intelligence collected throughout theIntelligence Community that may directly relate to theincident is sent to the Intelligence Unit after beingassessed and verified at the SIOC. The IntelligenceUnit gathers this intelligence, declassifies it asnecessary, and distributes to members of the JFO asappropriate. (See the Terrorism Incident LawEnforcement and Investigation Annex for moreinformation on JOC functions.)

■ Response and Recovery Operations Branch: TheResponse and Recovery Operations Branchcoordinates the request and delivery of Federalassistance and support from various special teams.This branch is comprised of four groups: EmergencyServices, Human Services, Infrastructure Support, andCommunity Recovery and Mitigation.

■ Security Operations Branch: The SecurityOperations Branch coordinates protection and sitesecurity efforts, and incorporates the functions of theDHS/USSS MACC during NSSEs.

Planning Section

The Planning Section’s function includes the collection,evaluation, dissemination, and use of informationregarding the threat or incident and the status of Federalresources. The Planning Section is responsible forpreparing and documenting Federal support actions,and developing strategic, contingency, long-term, andother plans related to the threat or incident, as needed.

The Planning Section provides current information tothe JFO Coordination Group to ensure situationalawareness, determine cascading effects, identifynational implications, and determine specific areas ofinterest requiring long-term attention. The PlanningSection also provides technical and scientific expertise.The Planning Section is comprised of the followingunits: Situation, Resource, Documentation,TechnicalSpecialists, and Demobilization. The Planning Sectionmay also include an Information and Intelligence Unit(if not assigned elsewhere) and an HSOC representativewho aids in the development of reports for the HSOCand IIMG.

Logistics Section

This section coordinates logistics support that includescontrol and accountability for Federal supplies andequipment; resource ordering; delivery of equipment,supplies, and services to the JFO and other fieldlocations; facility location, setup, space management,building services, and general facility operations;transportation coordination and fleet managementservices; information and technology systems services;administrative services such as mail management andreproduction; and customer assistance. The LogisticsSection may include Coordination and Planning,Resource Management, Supply, and InformationServices Branches.

Finance/Administration Section (Comptroller)

The Finance/Administration Section is responsible forthe financial management, monitoring, and tracking ofall Federal costs relating to the incident and thefunctioning of the JFO while adhering to all Federallaws, acts, and regulations. The position of theFinancial/Administration Chief will be exclusively heldby a Comptroller who serves as the Senior FinancialAdvisor to the team leader (e.g., FCO) and representsthe coordinating agency’s Chief Financial Officer (CFO)as prescribed by the CFO Act of 1990.

The Financial Management Support Annex providesguidance to ensure that funds are providedexpeditiously and that financial operations areconducted in accordance with established law,regulations, and standards.


Other Incident Facilities

State, County, and Local Operations Centers

State, county, and local EOCs represent the physicallocation at which the coordination of information andresources to support incident management activitiesnormally takes place. EOCs are typically organized bymajor functional discipline (fire, law enforcement, medicalservices, and so on); by jurisdiction (city, county, region,and so on); or, more likely, by some combination thereof.

State, county, and local EOCs facilitate the execution oflocal, State, and interstate mutual aid agreements tosupport on-scene operations. During Incidents ofNational Significance, the JFO works in coordinationwith the State, county, and local EOCs to supportincident management efforts.


The tactical-level, on-scene incident command and man-agement organization is located at the ICP. It is typicallycomprised of designated incident management officialsand responders from Federal, State, local, and tribal agencies, as well as private-sector and nongovernmentalorganizations. When multiple command authorities areinvolved, the ICP may be led by a Unified Command,comprised of officials who have jurisdictional authorityor functional responsibility for the incident under anappropriate law, ordinance, or agreement. The UnifiedCommand provides direct, on-scene control of tacticaloperations and utilizes a NIMS ICS incident managementteam organization, typically including Operations,Planning, Logistics, and Finance/Administration Sections.

The ICP is usually located at or in the immediatevicinity of the incident site. The location is selected bythe agency having primary jurisdictional authority for

managing the incident at this level. Generally, there isone ICP established for each incident. Depending onthe number and location of incidents, there may bemultiple ICPs managed by an Area Command.

Area Command/Unified Area Command

An Area Command is established to oversee the managementof multiple incidents that are each being handled by a sepa-rate ICS organization or to oversee the management of a verylarge or complex incident that has multiple incident manage-ment teams engaged. The Area Command has the responsi-bility to set overall strategy and priorities, allocate criticalresources according to priorities, ensure that incidents areproperly managed, and ensure that objectives are met andstrategies followed. Area Command becomes Unified AreaCommand when incidents are multijurisdictional.

Disaster Recovery Center (DRC)

When established in coordination with State and localjurisdictions, a DRC is a satellite component of the JFOand provides a central facility where individuals affectedby a disaster can obtain information on disaster recoveryassistance programs from various Federal, State, local,tribal, private-sector, and voluntary organizations.

Interim Operating Facility (IOF)

The IOF is a temporary field facility used by aDHS/EPR/FEMA-led ERT in the early stages of anincident when the team cannot operate at the State EOCdue to space limitations or other reasons, and the JFOis not yet established. An IOF is generally located at ornear the State EOC, or near the incident site. The IOFremains in operation until the JFO is established.Functions accomplished at the IOF include interactionwith State representatives and key ESF agencies,collection and assessment of information, and initiationof assistance programs.


Emergency Response and Support Teams (Field Level)Various teams are available to deploy during incidentsor potential incidents to assist in incident management,set up emergency response facilities, or providespecialized expertise and capabilities. These teams aretrained and certified to the standards published by theNIMS Integration Center. Teams that may be utilizedduring NRP operations are described below.

Deployed PFO Support Staff

The Deployed PFO Support Staff is a small interagencyteam of various subject-matter experts that may deployor be activated with the PFO to provide initial supportstaffing until a JFO is established. This team mayinclude representatives from various ESFs and typically

functions during the pre-incident phase or during theinitial response to conduct assessments, coordinatesecurity and information-sharing efforts, facilitatepublic affairs activities, and provide technical support.When the JFO is established, this team is integratedinto the JFO staff.

Emergency Response Team

The ERT is the principal interagency group that staffsthe JFO. The ERT is composed of DHS/EPR/FEMA staffand ESF personnel. The ERT includes an advanceelement, known as the ERT-A, that conductsassessments and initiates coordination with the Stateand initial deployment of Federal resources. EachDHS/EPR/FEMA region maintains an ERT ready todeploy in response to threats or incidents. The NationalEmergency Response Team (ERT-N) deploys for large-scale, high-impact events, or as required.

The ERT provides staffing for the JFO and ensuresFederal resources are available to meet Federal incidentmanagement and State requirements identified by theSCO. The size and composition of the ERT is scalabledepending on the scope and magnitude of the event.

Typically, the ERT organizational structure encompassesthe JFO Coordination Group, JFO Coordination Staff,and the four JFO sections (Operations, Planning,Logistics, and Finance/Administration).

The ERT-A deploys during the early stages of anincident. It is headed by a team leader fromDHS/EPR/FEMA and is composed of program andsupport staff and representatives from selected ESFprimary agencies. A part of the ERT-A deploys to theState EOC or to other locations to work directly withthe State to obtain information on the impact of the

event and to identify specific State requests for Federalincident management assistance. Other elements of theERT-A (including MERS personnel and equipment)deploy directly to or near the affected area to establishfield communications, locate and establish fieldfacilities, and set up support activities.

The ERT-A consults and coordinates with State, local,and/or tribal entities to determine the location of theJFO and mobilization center(s). The ERT-A identifies orvalidates the suitability of candidate sites for thelocation of mobilization center(s) and the JFO. TheERT-A conducts initial on-the-ground situationalawareness analysis to include changes in topographycaused by the incident, impacts to the physical andsocial environment, and documentation of lossesavoided based on previous mitigation measures to serveas a backdrop to the Federal support strategies.

An ERT-N may pre-deploy based on threat conditions.The Secretary of Homeland Security determines theneed for ERT-N deployment, coordinating the planswith the affected region and other Federal agencies.

The ERT-N includes staff from DHS/EPR/FEMAHeadquarters and regional offices as well as otherFederal agencies. (Three ERT-N teams are structured,with one team on call every third month. A fourthstanding team is on call year-round exclusively tomanage incidents in the National Capital Region (NCR).)


The ERT is the principal interagency group thatstaffs the JFO.

The ERT-A deploys during the early stages of anincident to work directly with the State to obtaininformation on the impact of the event and toidentify specific State requests for Federal incidentmanagement assistance.

The ERT-N deploys for large-scale, high-impactevents, or as required.

DOD provides DSCA in response to requests forassistance during domestic incidents to include terroristattacks, major disasters, and other emergencies. DSCArefers to DOD support provided by Federal militaryforces, DOD civilians and contract personnel, and DODagencies and components, in response to requests forassistance. Continuous coordination with Federal, State,local, and tribal elements before, during, and after anevent is essential for efficient and effective utilization ofDOD’s DSCA efforts. In most instances, DOD provides DSCA in response to

requests for assistance from a lead or primary agency.However, support provided under Immediate Response

Federal Incident Response Support Team(FIRST)

The FIRST is designed to be a quick and readilydeployable resource to support the Federal response toIncidents of National Significance. The FIRST deployswithin 2 hours of notification, to be on-scene within12 hours of notification. DHS/EPR/FEMA maintainsand deploys the FIRST.

The FIRST is a forward component of the ERT-A thatprovides on-scene support to the local IncidentCommand or Area Command structure in order tofacilitate an integrated interjurisdictional response.After linking up with local and State officials, the teamassesses the situation and identifies the potentialrequirements for Federal support, provides protectiveaction recommendations, identifies critical unmetneeds, and coordinates response activities with otherFederal responders. They also oversee on-scene Federalassistance, which could include critical life-saving andlife-sustaining items.

The FIRST is not intended to supplant existing responseteams, but to bring a near-time immediate Federalpresence to the scene of an Incident of NationalSignificance. The FIRST is robust enough to represent a“value-added” resource in the earliest phase of aresponse operation. Upon the subsequent deployment

of an ERT, the FIRST integrates into the OperationsSection of the JFO.

Other Federal Teams

In addition, there are numerous special teams availableto support incident management and disaster responseand recovery operations. Examples include:■ Damage assessment teams■ Nuclear Incident Response Team (NIRT)■ Disaster Medical Assistance Teams (DMATs)■ HHS Secretary’s Emergency Response Team■ DOL/OSHA’s Specialized Response Teams■ Veterinarian Medical Assistance Teams (VMATs)■ Disaster Mortuary Operational Response Teams

(DMORTs)■ National Medical Response Teams (NMRTs)■ Scientific and Technical Advisory and Response Teams

(STARTs)■ Donations Coordination Teams■ Urban Search and Rescue (US&R) task forces■ US&R Incident Support Teams■ Federal Type 1 and Type 2 Incident Management

Teams (IMTs)■ Domestic Emergency Support Team (DEST)■ Domestic Animal and Wildlife Emergency Response

Teams and mitigation assessment teams

Many of these additional teams and capabilities arediscussed in the annexes. Other supporting documentsprovide additional listing of teams and theircapabilities, such as DHS/EPR/FEMA’s EmergencyTeams Handbook and the DHS/USCG HazardousMaterials Response Special Teams Handbook.


DSCA refers to DOD support provided by Federalmilitary forces, DOD civilians and contract personnel,and DOD agencies and components, in response torequests for assistance during domestic incidents toinclude terrorist threats or attacks, major disasters,and other emergencies.

The FIRST is a forward component of the ERT-A thatprovides on-scene support to the local IncidentCommand or Area Command structure.

Defense Support of Civil Authorities

Authority (described below) is authorized by DODdirective and prior approval of the Secretary of Defense.DSCA normally is provided when local, State, andFederal resources are overwhelmed, provided that itdoes not interfere with the Department’s militaryreadiness or operations. DOD typically provides DSCAon a reimbursable basis as authorized by law.

Requesting Defense Support of Civil Authorities

Initial requests for assistance are made to the Office of theSecretary of Defense, Executive Secretariat. If approved bythe Secretary of Defense, DOD designates a supportedcombatant commander for the response. The supportedcombatant commander determines the appropriate levelof command and control for each response and usuallydirects a senior military officer to deploy to the incidentsite. Under most circumstances, the senior militaryofficer at the incident site is the DCO. The DCO serves asDOD’s single point of contact in the JFO.

Requests for DSCA originating at the JFO will becoordinated and processed through the DCO with theexception of requests for USACE support, NationalGuard forces operating in State Active Duty or Title 32status (i.e., not in Federal service), or, in somecircumstances, DOD forces in support of the FBI. Theseexceptions are detailed later in this section. Specificresponsibilities of the DCO are subject to modificationby the supported combatant commander based on thesituation. In general, the DCO will:■ Collocate with the PFO/FCO/FRC/SFLEO in the JFO;■ Coordinate and process applicable requests for

assistance from the PFO/FCO/FRC/SFLEO ordesignated representative;

■ Orchestrate the accomplishment of approved missionassignments utilizing available resources;

■ Assign military liaison officers as appropriate to ESFagencies at the JFO to provide technical assistance orfacilitate timely coordination; and

■ Refer problematic or contentious issues through theappropriate military chain of command to the Officeof the Assistant Secretary of Defense for HomelandDefense.

Based on the magnitude, type of disaster, andanticipated level of resource involvement, thesupported combatant commander may utilize a JointTask Force (JTF) to consolidate and manage supporting

military activities. A JTF commander exercisesoperational control of all allocated DOD resources(excluding USACE resources, National Guard forcesoperating in State Active Duty or Title 32 status, and, insome circumstances, DOD forces in support of theFBI). In the event that a JTF is utilized, the DCO maycontinue to perform all duties set forth above.

Exceptions

Requests for DSCA originating at the JFO will becoordinated and processed through the DCO with theexception of requests for DOD/USACE support,National Guard forces operating in State Active Duty orTitle 32 status, and, in some cases, DOD forces insupport of the FBI.

■ U.S. Army Corps of Engineers: USACE is a publicengineering organization within DOD providingengineering support and services to DOD activitiesaround the globe as well as to the Nation’s CivilWorks flood protection and navigation infrastructure.USACE provides support as a primary agency andcoordinating agency for ESF #3, and as a supportagency to other ESFs as specified in the annexes.USACE performs emergency support activities underseparate authorities, to include Public Law 84-99.

■ Army and Air National Guard Forces: NationalGuard forces employed under State Active Duty orTitle 32 status are providing support to the Governorof their State and are not part of Federal militaryresponse efforts.

■ Support to the Federal Bureau of Investigation:Support for law enforcement and domesticcounterterrorism activities is provided in limitedcircumstances consistent with applicable laws and, insome circumstances, independent of the DCO.

Immediate Response Authority

Imminently serious conditions resulting from any civilemergency may require immediate action to save lives,prevent human suffering, or mitigate property damage.When such conditions exist and time does not permitapproval from higher headquarters, local militarycommanders and responsible officials from DODcomponents and agencies are authorized by DOD directive


and pre-approval by the Secretary of Defense, subject toany supplemental direction that may be provided by theirDOD component, to take necessary action to respond torequests of civil authorities consistent with the PosseComitatus Act (18 U.S.C. § 1385). All such necessaryaction is referred to as “Immediate Response.”

Export of DOD Specialized Capabilities and Training

In addition to direct support for incident response,DOD possesses specialized capabilities employed in

support of Federal, State, local, and tribal governmentagencies, to include their first responder communities.Included among these specialized capabilities are testand evaluation facilities and capabilities; education andexercise expertise; explosive detection; technical escort;medical services; the transfer of applicable technologies,including those developed through DOD science andtechnology programs; and the expertise of DODpersonnel. The DOD Homeland Defense CoordinationOffice established at DHS Headquarters facilitatesinterdepartmental cooperation and transfer of thesecapabilities to the emergency responder community.

Federal Law Enforcement AssistanceEach State has jurisdiction for enforcement of State law,using State and local resources, including the NationalGuard (to the extent that the National Guard remainsunder State authority and has not been called intoFederal service or ordered to active duty).

The Federal Government has jurisdiction forenforcement of Federal law, using Federal resources.State and local law enforcement agencies may be

requested to provide support to Federal lawenforcement during Incidents of National Significance.

Federal agencies may be requested to provide publicsafety and security support during Incidents ofNational Significance. The ESF #13 Annex providesfurther guidance on the integration of public safety andsecurity resources to support the full range of incidentmanagement functions.

Proactive Federal Response to Catastrophic Events


The NRP establishes policies, procedures, andmechanisms for proactive Federal response tocatastrophic events. A catastrophic event is any naturalor manmade incident, including terrorism, that resultsin extraordinary levels of mass casualties, damage, ordisruption severely affecting the population,infrastructure, environment, economy, national morale,and/or government functions. A catastrophic eventcould result in sustained national impacts over aprolonged period of time; almost immediately exceedsresources normally available to State, local, tribal, andprivate-sector authorities in the impacted area; andsignificantly interrupts governmental operations andemergency services to such an extent that nationalsecurity could be threatened. All catastrophic events areIncidents of National Significance.

Implementation of Proactive FederalResponse Protocols

Protocols for proactive Federal response are most likelyto be implemented for catastrophic events involvingchemical, biological, radiological, nuclear, or high-yieldexplosive weapons of mass destruction, or large-magnitude earthquakes or other natural or technologicaldisasters in or near heavily populated areas.

Guiding Principles for Proactive Federal Response

Guiding principles for proactive Federal responseinclude the following:■ The primary mission is to save lives; protect critical

infrastructure, property, and the environment;contain the event; and preserve national security.

U.S. Possessions and Freely Associated States

■ Standard procedures regarding requests for assistancemay be expedited or, under extreme circumstances,suspended in the immediate aftermath of an event ofcatastrophic magnitude.

■ Identified Federal response resources will deploy andbegin necessary operations as required to commencelife-safety activities.

■ Notification and full coordination with States will occur,but the coordination process must not delay or impedethe rapid deployment and use of critical resources.States are urged to notify and coordinate with localgovernments regarding a proactive Federal response.

■ State and local governments are encouraged toconduct collaborative planning with the FederalGovernment as a part of “steady-state” preparednessfor catastrophic incidents.

Implementation Mechanisms for ProactiveFederal Response to Catastrophic Events

The NRP Catastrophic Incident Supplement (described in theCatastrophic Incident Annex) addresses resource and proce-dural implications of catastrophic events to ensure the rapidand efficient delivery of resources and assets, including spe-cial teams, equipment, and supplies that provide critical life-

saving support and incident containment capabilities. Theseassets may be so specialized or costly that they are either notavailable or are in insufficient quantities in most localities.

The procedures outlined in the NRP CatastrophicIncident Supplement are based on the following:■ The pre-identification of Federal assets and capabilities;■ The strategic location of pre-identified assets for

rapid deployment; and■ The use of pre-scripted mission assignments for

Stafford Act declarations, or individual agencyauthority and funding, to expedite deployment uponnotification by DHS (in accordance with proceduresestablished in the NRP Catastrophic IncidentSupplement) of a potential catastrophic event.

Agencies responsible for these assets will keep DHSapprised, through the HSOC, of their ongoing status andlocation until the JFO is established. Upon arrival at thescene, Federal assets will coordinate with the UnifiedCommand, the SFLEO, and the JFO (or its forwardelements) when established. Demobilization processes,including full coordination with the JFO CoordinationGroup, are initiated either when the mission iscompleted or when it is determined the magnitude ofthe event does not warrant continued use of the asset.


The NRP concept of operations, in general, is applicableto any response to Incidents of National Significanceoccurring within the U.S. possessions, including theinsular areas,2 as well as in the Federated States ofMicronesia and the Republic of the Marshall Islands.3

Stafford Act assistance is available to include Puerto Rico,the Virgin Islands, Guam, American Samoa, and theCommonwealth of the Northern Mariana Islands, whichare included in the definition of “State” in the StaffordAct. At present, Stafford Act assistance is also available to

the Federated States of Micronesia and the Republic of theMarshall Islands under the Compact of Free Association.4

Nevertheless, there are unique factors involved in workingwith the U.S. possessions and Freely Associated States. TheDepartment of the Interior (DOI), through the Office ofInsular Affairs, is responsible for coordinating relationshipswith the insular areas and the Freely Associated States andis available to serve as a resource for agencies with disasterassistance responsibilities.

2 Insular areas include American Samoa, the Commonwealth of the Northern Mariana Islands, Guam, and the U.S.Virgin Islands.3 The Federated States of Micronesia and the Republic of the Marshall Islands are two of the Freely Associated Statesunder the Compact of Free Association. The U.S. Government does not provide disaster assistance to the Republicof Palau, the third Freely Associated State, in accordance with the Compact of Free Association.4 The mechanism for the provision of disaster assistance to the Federated States of Micronesia and the Republic ofthe Marshall Islands has been renegotiated. Following enactment by Congress of legislation approving the newmechanism, it is anticipated that the U.S. Agency for International Development will assume the lead role in theprovision of disaster assistance to these independent nations.

External AffairsThis section discusses the mechanisms for ensuringaccurate, consistent, and timely communications withall of the critical external audiences—the general

public, media, congressional and governmental leaders,and the international community. (See the Public Affairsand ESF #15 Annexes for additional information.)


Public Affairs Public Affairs activities ensure the coordinated and timely release of incident-relatedprevention, preparedness, response, recovery, and mitigation information to the public.ESF #15 provides the interagency coordination mechanisms and the resource supportfor Federal JIC activities.

The Public Affairs Support Annex provides an overview of the required protocols andprocesses for media relations and incident communications, including protocols forhandling sensitive information, which are further outlined in the NRP IncidentCommunications Emergency Supplement (published as a separate document).

Community Relations Community Relations activities provide information on assistance programs to affectedindividuals, groups, organizations, and local governments. Community Relations servesas a direct link to these communities and works closely with program elements todeliver messages relating to the availability of programs and resources.

Congressional Affairs Congressional Affairs provides information to the Washington, DC, and district offices ofMembers of Congress and addresses incident-related questions, concerns, and problemsexpressed by their constituents.

International Affairs International Affairs provides guidance for events that include cross-border issues,coordination of foreign visitors, and response to offers of assistance from foreigngovernments. (See the International Coordination Support Annex for additionalinformation.)

State and LocalCoordination

State and Local Coordination assists JFO leadership with direct communications,interaction, and outreach to local and State elected officials. (See the ESF #15 Annex foradditional information.)

Tribal Affairs Tribal Affairs provides procedures to facilitate incident management programs andresources available to tribal governments to assist them in protecting their families,community livelihood, and cultural and environmental resources. (See the TribalRelations Support Annex for additional information.)

Component Description


V. Incident Management Actions

ActionsThis section describes incident management actions rang-ing from initial threat notification to early coordinationefforts to assess and disrupt the threat, to preparatoryactivation of the ESF structure, to deployment of Federalresources in support of incident response and recoveryoperations. These actions do not necessarily occur insequential order; many may be undertaken concurrentlyin response to single or multiple threats or incidents.

Figure 10 depicts initial incident management actions.In situations where it is apparent that an Incident ofNational Significance may be imminent or has alreadyoccurred, assessment and pre-incident interagencycoordination typically are compressed. In theseinstances, DHS moves quickly to coordinate multipleFederal activities to include the following: information-sharing, interagency course of action development, alertand deployment of resources, operational coordination,and other assistance as required, in consultation andcoordination with other Federal departments andagencies and the affected jurisdiction(s).

Notification and Assessment

Federal, State, local, tribal, private-sector, andnongovernmental organizations report threats, incidents,and potential incidents using established communicationsand reporting channels. The HSOC receives threat andoperational information regarding incidents or potentialincidents and makes an initial determination to initiatethe coordination of Federal information-sharing andincident management activities.

Reporting Requirements

Federal, State, tribal, private-sector, and NGO EOCs areeither required or encouraged, as noted below, to reportincident information to the HSOC. In most situations,incident information is reported using existing mecha-nisms to State or Federal operations centers, which willin turn report the information to the HSOC. Suspiciousactivity, terrorist threats, and actual incidents with apotential or actual terrorist nexus are reported immedi-ately to a local or regional JTTF (or the NJTTF, in thecase of Federal departments/agencies). Subsequently, theFBI SIOC immediately reports the terrorist threat, if the

FBI deems the threat to be credible, or the actual inci-dent to the HSOC and the NCTC. Additionally, actualincidents, regardless of whether or not there is a terroristnexus, are reported immediately to the HSOC by appro-priate governmental and nongovernmental entities.

■ Federal Departments and Agencies: Federaldepartments and agencies are required to reportinformation relating to actual or potential Incidentsof National Significance to the HSOC. Thisinformation may include:■ Implementation of a Federal department or agency

emergency response plan;■ Actions to prevent, respond to, or recover from an

Incident of National Significance for which aFederal department or agency has responsibilityunder law or directive;

■ Submission of requests for assistance to, or receiptof a request from, another Federal department oragency in the context of an Incident of NationalSignificance;

■ Receipt of requests for assistance from State, local, ortribal governments; NGOs; or the private sector in thecontext of an Incident of National Significance; and

■ Suspicious activities or threats with a potentialterrorist nexus (normally through the FBI SIOC tothe HSOC and the NCTC).

■ State/Tribal Governments: State and tribalgovernments and emergency management agencies useestablished reporting mechanisms and are encouraged toreport information relating to actual or potentialIncidents of National Significance to the HSOC, usingprocedures established by DHS. (Information regardingpotential terrorist threats should be reported through thelocal or regional JTTF.) This information may include:■ Implementation of an incident management or

emergency response plan or action to prevent,respond to, or recover from an Incident of NationalSignificance;

■ Announcement of emergency proclamations ordeclarations made under State, local, or tribalauthority; and

■ Activation of State or tribal mutual-aid agreementsor compacts in response to incidents resulting inemergency proclamations or declarations, orrequiring Federal assistance.


■ Local Governments: Local governments communicateinformation regarding actual or potential Incidents ofNational Significance to the HSOC through establishedreporting mechanisms in coordination with Stategovernment officials and EOCs.

■ Private-Sector/Nongovernmental Organizations:Private-sector and nongovernmental organizations areencouraged to communicate information regardingactual or potential Incidents of National Significance tothe HSOC through existing jurisdictional reportingmechanisms, as well as established information-sharingand analysis organizations (ISAOs).

Situational Awareness and Initial Incident Assessment

The HSOC maintains daily situational awareness toidentify and monitor threats or potential threats inside,on, or approaching the borders of the United States.Upon receipt, the HSOC passes such information toappropriate Federal, State, local, and tribal intelligenceand law enforcement agencies as expeditiously aspossible, according to established security protocolsand in coordination with the FBI and NCTC.

FIGURE 10. Flow of initial national-level incident management actions

HSOC

HSOC coordinates withdepts. and agencies toinvestigate and assess

Incident mitigated byFederal, State, local,and tribal agencies

Activated or deployed resources conductprevention, preparedness, response, andrecovery actions

Reports and NotificationFrom established reporting mechanisms, e.g.:■ FBI SIOC■ National Response Center■ RRCC■ NCTC■ Other Federal EOCs■ State EOCs■ Federal agency command posts■ ISAOs

Assessment

Further assessment

needed

■ Use of othersupporting nationalinteragency andagency-specific plans

Actual/Potential Incident of National Significance

Non-nationalIncident

DHS actions may include:■ Issuance of coordinated alerts and warnings■ Sharing of incident information■ Activation of NRP organizational elements

(NRCC, IIMG, JFO, etc.) and deployment ofresources

The HSOC also monitors nonterrorist hazards andaccidents, and receives reports from various operationscenters, such as the FOC regarding natural hazards(severe storms, floods, etc.) and the National ResponseCenter regarding oil spills and hazardous materialsreleases. When notified of a hazard or an incident withpossible national-level implications, the HSOC assessesthe situation and notifies the Secretary of HomelandSecurity accordingly. Based on the information, theSecretary of Homeland Security determines the needfor activation of NRP elements. The HSOC coordinateswith other departments and agencies regarding furtherfield investigation, as required.

The FBI, NCTC, and DHS/IAIP evaluate intelligencerelating to terrorist threats and other potential incidents.All Federal, State, local, and tribal departments andagencies must notify their local or regional FBI JTTFregarding information associated with a threat ofterrorism or an actual terrorist incident. Additionally, theHSOC is notified immediately in the case of an actualincident, regardless of whether or not there is a terroristnexus. In the case of a threat, the local FBI JTTF notifiesthe NJTTF. Federal department and agency headquartersshould notify the NJTTF or FBI SIOC with similarinformation. Upon receipt of a threat of terrorism, theFBI conducts a formal threat credibility assessment, whichmay include assistance from select interagency experts. Ifa threat is deemed credible, the FBI SIOC notifies theHSOC immediately to enable subsequent NRP actions.

Dissemination of Warnings and Bulletins

Watches, warnings, and other emergency bulletins areissued by various agencies based on their statutorymissions and authorities. For example, the NationalWeather Service issues weather-related notices to warnthe public of impending storms and severe weather.

The HSOC coordinates with the NCTC,TSC, FBI,Department of Health and Human Services (HHS), andsimilar programs for terrorism-related threat analysisand warning, and disseminates homeland securitythreat warnings and advisory bulletins. The HSOCperforms this task consistent with normal steady-statethreat monitoring, assessment, research, and reportingfunctions. The HSOC follows Executive orders,directives, MOUs/MOAs, and procedures in placebetween the NCTC,TSC, and DHS/IAIP.

The FBI disseminates terrorism law enforcementbulletins and warnings to ensure that vital informationregarding terrorism reaches appropriate officials withinthe U.S. counterterrorism and law enforcementcommunities. This information is transmitted via secureteletype. Each message transmitted under this system isan alert, an advisory, or an assessment—an alert if theterrorist threat is credible and specific, an advisory if thethreat is credible but general in both timing and target,or an assessment to impart facts and/or threat analysisconcerning terrorism. These products are fullycoordinated with DHS prior to release.

The FOC, in coordination with the HSOC, facilitatesdistribution of warnings, alerts, and bulletins to theemergency management community using a variety ofcommunications systems such as:■ National Warning System (NAWAS): NAWAS is the

primary system for emergency communications fromthe Federal Government to both State and countywarning points.

■ Washington Area Warning System (WAWAS):Although not directly tied to the NAWAS circuits,WAWAS is a mechanism for providing emergencycommunications to Washington, DC, area officials inthe event of an emergency.

■ National Emergency Alert System (National EAS):Formerly known as the Emergency Broadcast System,the National EAS is a nationwide network ofbroadcast stations and cable systems that provide areadily available and reliable means to communicateemergency information to the American people.

■ State and local EAS: State and local authorities havetheir own EAS which may be used to broadcastinformation on major disasters or emergencies.


The HSOC maintains daily situational awareness toidentify and monitor threats or potential threats inside,on, or approaching the borders of the United States.

Watches, warnings, and other emergency bulletinsare issued by various agencies based on theirstatutory missions and authorities.


Evolving Threats Identified at the National Level

The ongoing fusion of intelligence at the national levelmay result in the detection of a potential terroristthreat of a specific and credible nature. Unlikeincidents reported from the field, this process results inthe initiation of initial incident management actions atthe headquarters level and generates a “top-down”response to deter, prevent, and otherwise respond tothe terrorist threat.

The HSOC, NCTC, and FBI SIOC coordinateinformation regarding terrorist threats. When the FBIor DHS/IAIP determines that a credible threat exists, itnotifies and coordinates with the HSOC, whichimmediately notifies the FBI SIOC, if it has not beenalready informed. The HSOC then notifies the Secretaryof Homeland Security, who may elect to activate any orall of the NRP organizational elements, as well asinitiate the coordination of interagency policy issuesand operational courses of action through the WhiteHouse, as appropriate. The Secretary may also elect toactivate and prepare to deploy various special teams toconduct prevention, preparedness, response, andrecovery activities.

Activation

This section discusses the early-stage efforts to activateand deploy NRP organizational elements and Federalresources, including special teams, emergency facilities,and other response resources.

For actual or potential Incidents of NationalSignificance, the HSOC reports the situation to theSecretary of Homeland Security and/or senior staff asdelegated by the Secretary, who then determines theneed to activate components of the NRP to conductfurther assessment of the situation, initiate interagencycoordination, share information with affectedjurisdictions and the private sector, and/or initiate

deployment of resources. Concurrently, the Secretaryalso makes a determination of whether an event meetsthe criteria established for a potential or actual Incidentof National Significance as defined in this plan.

When the Secretary declares an Incident of NationalSignificance, Federal departments and agencies arenotified by the HSOC (as operational securityconsiderations permit), and may be called upon to staffthe IIMG and NRCC. The affected State(s) and tribesalso are notified by the HSOC using appropriateoperational security protocols. In the pre-incidentmode, such notification may be conducted discreetly,on a need-to-know basis, so as to preserve theoperational security and confidentiality of certain lawenforcement and investigative operations.

(Note: NRP resources, such as a PFO, may bedesignated and activated in the context of a generalthreat, prior to a formal Incident of NationalSignificance determination by the Secretary ofHomeland Security, to facilitate pre-incidentinteragency and multijurisdictional coordination andthreat assessment activities.) For acts of terrorism,information-sharing, deployment of resources, andincident management actions during actual or potentialterrorist incidents are coordinated with DOJ.

The NRCC and RRCC deploy, track, and provideincident-related information until the JFO isestablished.

The next section describes the NRP organizationalelements that could be activated and their initial actions.

When the Secretary declares an Incident of NationalSignificance, Federal departments and agencies arenotified by the HSOC, and may be called upon tostaff the IIMG and NRCC.


Headquarters Organizational Elements

The headquarters organizational elements include the following:

Interagency IncidentManagement Group

The IIMG may convene at DHS Headquarters when activated for an initial meeting.IIMG members or alternates remain on call to meet at any time during a heightenedperiod of alert or during an incident or on a 24/7 basis as required by the situation athand. The IIMG may assign liaison officers to the FBI SIOC and/or other EOCs, asrequired, and may establish communication with State Homeland Security Advisor(s)and/or State Emergency Management Director(s) through the DHS OSLGCPrepresentatives to the IIMG.

National ResponseCoordination Center

The NRCC begins interagency operations by coordinating initial activation, thedeployment of special teams, initiation and monitoring of mission assignments (StaffordAct only) or other interagency requirements (non-Stafford Act), and RRCC(s) activitiesas required and as permitted by operational security considerations. The NRCC, throughthe FOC, informs primary agencies of the activation and provides a time to report to theNRCC. Primary agencies may notify and activate support agencies if required.

Primary agencies determine the impact of an incident on their own capabilities andidentify, mobilize, and deploy resources under the mission assignment process orinteragency agreements to support response activities in the affected jurisdiction(s).Formal alert and notification protocols and procedures for activation of ESFs areincluded as part of the NRCC standard operating procedures, to be published separately.

Federal EmergencyOperations Centers

Agencies may activate their headquarters EOCs to provide coordination and direction totheir headquarters and regional response elements. Federal EOCs maintain ongoingcontact and coordination with the HSOC.

Strategic Informationand Operations Center

Upon determination that a terrorist threat is credible or that an act of terrorism hasoccurred, FBI Headquarters initiates liaison with other Federal agencies to activate theiroperations centers and provide liaison officers to the SIOC. In addition, FBI Headquartersinitiates communications with the SAC of the responsible Field Office, apprising him/herof possible courses of action and discussing possible deployment of the DEST. The FBISAC establishes initial operational priorities based upon the specific circumstances of thethreat or incident. This information is then forwarded to FBI Headquarters to coordinateidentification and deployment of appropriate resources. The SIOC will notify the HSOCimmediately upon confirmation of a credible threat or terrorist nexus.


The Secretary provides formal notification of the appointment of a PFO to theGovernor(s)/mayor(s) of affected State(s)/municipality(ies),Tribal Chief ExecutiveOfficers, and Federal departments and agencies. The HSOC notifies other Federal, State,and tribal EOCs of the PFO designation. State EOCs are expected to pass this designationto State and local agencies and EOCs as appropriate. PFOs may be designated on a pre-incident basis according to available threat information, or in response to an incident inprogress. If the designation is made based upon a pre-incident threat assessment,formal notification of the PFO designation may be made on a discreet, need-to-knowbasis to preserve operational security.

Element Description



The RRCC initially deploys a DHS/EPR/FEMA-led ERT-A, including rapid needs assessmentpersonnel and appropriate ESF representatives, to State operating facilities and incident sitesto assess the impact of the situation, collect damage information, gauge immediate Federalsupport requirements, and make preliminary arrangements to set up Federal field facilities.When regional resources are overextended, or an event poses potentially significantconsequences, DHS Headquarters may deploy an ERT-N to coordinate the initial response.

The FCO/FRC heads the interagency ERT. The ERT works with the affected State andcoordinates Federal support from the JFO. The ERT may establish an IOF to serve as aninterim facility until the JFO is established. In a terrorism event, this activity will becoordinated with the JOC. Federal agencies and other appropriate entities provideresources to assist incident management efforts under DHS-issued mission assignmentsor their own authorities.

The ERT-A/ERT-N coordinates damage assessment and selection of locations for field facilitieswith the State. It also coordinates mission assignments for direct Federal assistance and pro-curement of goods and services with the Comptroller and RRCC. The ERT-A/ERT-N beginsthe transition to a tailored Emergency Response Team and initiates establishment of the JOC.

Federal IncidentResponse SupportTeam

Based upon the nature of the incident, the FIRST may deploy to the scene to support Stateoperations. The FIRST provides technical assistance to assess the situation, identify criticaland unmet needs, provide protective action recommendations, and establish incident supportfacilities. The FIRST coordinates with the ERT-A and integrates into the JFO when established.

Domestic EmergencySupport Team

The DEST may be deployed to provide technical support for management of potential oractual terrorist incidents. Based upon a credible threat assessment, the Attorney General,in consultation with the Secretary of Homeland Security, may request authorizationthrough the White House to deploy the DEST. Upon arrival at the JFO or criticalincident location, the DEST may act as a stand-alone advisory team to the FBI SACproviding required technical assistance or recommended operational courses of action.

Other Special Teams Depending on the nature of the incident, other special teams may be deployed incoordination with other departments and agencies. The NRP annexes include discussionof special teams and resources.

Federal FirstResponders

Some Federal agencies have statutory authority and responsibility to deploy directly as firstresponders upon notification of an incident or potential incident (e.g., OSCs responding tooil or hazardous materials incidents). These responders may arrive on-scene before thereis a determination as to whether the incident is an Incident of National Significance, butonce declared, would operate under the protocols established in the NRP.

Regional Elements

Regional resources may be activated to monitor andassess the need for Federal incident management support.The DHS/EPR/FEMA Regional Director deploys a liaisonto the State EOC to provide technical assistance includingadvice on the Stafford Act declaration process andavailable Federal assistance, and also partially or fullyactivates the RRCC including, where appropriate, regionalrepresentatives of Federal departments and agencies.

The RRCC and NRCC Logistics Sections support theestablishment of a JFO and mobilization center(s). TheRRCC coordinates Federal support of State requirementsuntil the FCO or FRC assumes those responsibilities. A JICmay be established, as required, to provide a central pointfor coordinating emergency public information activities.

Field Elements

The field elements include the following:

Element Description

Requests for DHS Assistance

Requests for DHS assistance can come from StateGovernors requesting aid under the Stafford Act orfrom Federal agencies with a need for Federal-to-Federal support. Federal departments and agenciessupporting the NRP are activated and engaged usingeither a mission assignment process for eventssupported by Stafford Act funding, or throughinteragency agreements or other direct funding sourceswhen implemented using other authorities.

■ Federal Support to States: DHS/EPR/FEMA processesa Governor’s request for Presidential disaster oremergency declarations under the direction providedin the Stafford Act. Governors submit these requeststo DHS/EPR/FEMA indicating the extent of damageand the types of Federal assistance required.DHS/EPR/FEMA then forwards the Governor’s requestto the White House, simultaneously notifying theSecretary of Homeland Security, along with arecommended course of action.

Concurrent with a Presidential declaration of a majordisaster or emergency and official appointment of anFCO, DHS/EPR/FEMA designates the types ofassistance to be made available and the countieseligible to receive assistance. In large-scale orcatastrophic events, the declaration process can beexpedited. In certain emergencies involving Federalprimary responsibility, the Stafford Act allows thePresident to provide emergency assistance without aGovernor’s request. Appendix 5 provides an overviewof the request process under the Stafford Act.

In a non-Stafford Act emergency, the President maydirect Federal departments and agencies to conductprevention, preparedness, emergency response, andincident management activities consistent with theirauthorities and responsibilities on a nonreimbursablebasis. Appendix 6 provides an overview of Federal-to-Federal support in non-Stafford Act situations.

■ Federal-to-Federal Support: For some incidents forwhich a Stafford Act declaration is not made and aFederal entity is responding to an incident under itsown authorities, that entity may require additionalassistance from other Federal departments or agenciesthat is not otherwise readily available to them. Insuch circumstances, the affected Federal department

or agency may request DHS coordination to obtainthat assistance.

Federal agencies participating in the NRP will requestand provide Federal-to-Federal support by executinginteragency or intra-agency reimbursable agreements(RAs), in accordance with the Economy Act (31 U.S.C.§ 1535) or other applicable authorities. Federalagencies providing mutual aid support may requestreimbursement from the requesting agency for eligibleexpenditures. (See Financial Management SupportAnnex Attachment 3, Memorandum of Understanding:Mutual Aid for Incidents of National Significance(Non-Stafford Act), for additional information.)

DHS will use the ESFs as the mechanism forcoordinating required support from other agencies.When such DHS assistance is provided, the incidentbecomes an Incident of National Significance, andDHS coordinates Federal resources under theauthority provided in HSPD-5. In these situations,DHS designates an FRC to perform the resourcecoordination function (rather than an FCO as occursunder a Stafford Act declaration).

Requests for assistance are submitted to the DHSExecutive Secretary for processing and Secretaryconsideration/approval. Upon approval of the requestfor assistance, the Secretary issues an operation orderto the HSOC. The HSOC, through the NRCC,coordinates the activation of the appropriate ESFs. Atthis time, the Secretary of Homeland Security alsomay elect to activate the IIMG to begin monitoringthe situation and developing appropriaterecommendations and courses of action.

Pre-Incident Actions

At the national level, the HSOC facilitates interagencyinformation-sharing activities to enable the assessment,prevention, or resolution of a potential incident. Basedupon guidance from the HSC/NSC (Principals,Deputies, or PCC), DHS coordinates with appropriateagencies as required during developing situations toutilize agency resources and authorities to prevent anincident, as well as to initiate appropriate preparatoryand mitigating measures to reduce vulnerabilities. Ifwarranted, the IIMG may recommend the activation ofadditional NRP organizational elements to provide



appropriate resources to enable more robust preventionand/or preparedness activities.

Prevention actions related to terrorism threats andincidents include law enforcement activities andprotective activities. All Federal law enforcementactivities are coordinated by the Attorney General,generally acting through the FBI. Initial preventionefforts include, but are not limited to, actions to:■ Collect, analyze, and apply intelligence and other

information;■ Conduct investigations to determine the full nature

and source of the threat;■ Implement countermeasures such as surveillance and

counterintelligence;■ Conduct security operations, including vulnerability

assessments, site security, and infrastructure protection;■ Conduct tactical operations to prevent, interdict,

preempt, or disrupt illegal activity;■ Conduct attribution investigations, including an assess-

ment of the potential for future related incidents; and■ Conduct activities to prevent terrorists, terrorist

weapons, and associated materials from entering ormoving within the United States.

The majority of initial actions in the threat or hazardarea are taken by first responders and local governmentauthorities, and include efforts to protect the publicand minimize damage to property and theenvironment, as follows:

■ Public Health and Safety: Initial safety efforts focus onactions to detect, prevent, or reduce the impact to publichealth and safety. Such actions can includeenvironmental analysis, plume modeling, evacuations,emergency sheltering, air monitoring, decontamination,emerging infectious disease tracking, emergencybroadcasts, etc. These efforts may also include publichealth education; site and public health surveillance andtesting procedures; and immunizations, prophylaxis, andisolation or quarantine for biological threats coordinatedby HHS and State and local public health officials. (Seethe ESF #8 Annex for additional information.)

■ Responder Health and Safety: The safety and healthof responders is also a priority. Actions essential tolimit their risks include full integration of deployedhealth and safety assets and expertise; risk assessmentsbased upon timely and accurate data; and situationalawareness that considers responder and recoveryworker safety.

A comprehensive location and/or operationalresponse safety and health plan is key to mitigatingthe hazards faced by responders. These effortsinclude incident hazard identification andcharacterization; implementation and monitoring ofpersonal protective equipment selection, use, anddecontamination; exposure sampling and analysis;worker health and safety risk analysis; health andsafety monitoring; and development/ongoingevolution of the site-specific safety and health plan.(See the Worker Safety and Health Support Annex foradditional information.)

■ Property and the Environment: Responders mayalso take incident mitigation actions to protect publicand private property and the environment. Suchactions may include sandbagging in anticipation of aflood, or booming of environmentally sensitive areasin response to a potential oil spill.

Response Actions

Once an incident occurs, the priorities shift fromprevention, preparedness, and incident mitigation toimmediate and short-term response activities topreserve life, property, the environment, and the social,economic, and political structure of the community. Inthe context of a terrorist threat, simultaneous activitiesare initiated to assess regional and national-levelimpacts, as well as to assess and take appropriate actionto prevent and protect against other potential threats.

Prevention

Actions taken to avoid an incident or to intervene tostop an incident from occurring. Prevention involvesactions taken to protect lives and property.

Response

Activities that address the short-term, direct effectsof an incident. These activities include immediateactions to preserve life, property, and theenvironment; meet basic human needs; andmaintain the social, economic, and political structure of the affected community.


Reinforcing the initial response to an incident, someFederal agencies may operate in the ICP as Federal firstresponders and participate in the Unified Commandstructure. Once the JFO is established, the JFOCoordination Group sets Federal operational priorities.The JFO provides resources in support of the UnifiedCommand and incident management teams conductingon-scene operations through the State and local EOCs.

Depending upon the scope and magnitude of theincident, the NRCC and/or the RRCCs activate theappropriate ESFs, as needed, to mobilize assets and thedeployment of resources to support the incident. TheNRCC and/or the RRCCs facilitate the deployment andtransportation of the ERT and other teams and specializedcapabilities such as, but not limited to, teams under theNDMS, the HHS Secretary’s Emergency Response Team,the Epidemic Intelligence Service, HHS behavioral healthresponse teams, the U.S. Public Health ServiceCommissioned Corps, and Urban Search and Rescueteams. Other response actions include the establishmentof the JFO and other field facilities and providing a widerange of support for incident management, public health,and other community needs.

Response actions also include immediate lawenforcement, fire, ambulance, and emergency medicalservice actions; emergency flood fighting; evacuations;transportation system detours; emergency publicinformation; actions taken to minimize additionaldamage; urban search and rescue; the establishment offacilities for mass care; the provision of public health andmedical services, food, ice, water, and other emergencyessentials; debris clearance; the emergency restoration ofcritical infrastructure; control, containment, and removalof environmental contamination; and protection ofresponder health and safety.

During the response to a terrorist event, lawenforcement actions to collect and preserve evidenceand to apprehend perpetrators are critical. Theseactions take place simultaneously with responseoperations necessary to save lives and protect property,

and are closely coordinated with the law enforcementeffort to facilitate the collection of evidence withoutimpacting ongoing life-saving operations.

In the context of a single incident, once immediateresponse missions and life-saving activities conclude,the emphasis shifts from response to recoveryoperations and, if applicable, hazard mitigation. TheJFO Planning Section develops a demobilization planfor the release of appropriate components.

Recovery Actions

Recovery involves actions needed to help individuals andcommunities return to normal when feasible. The JFO isthe central coordination point among Federal, State,local, and tribal agencies and voluntary organizations fordelivering recovery assistance programs.

The JFO Operations Section includes the HumanServices Branch, the Infrastructure Support Branch, andthe Community Recovery and Mitigation Branch. TheHuman Services and Infrastructure Support Branches ofthe JFO Operations Section assess State and localrecovery needs at the outset of an incident and developrelevant timeframes for program delivery. Thesebranches ensure Federal agencies that have relevantrecovery assistance programs are notified of an incidentand share relevant applicant and damage informationwith all involved agencies as appropriate, ensuring thatthe privacy of individuals is protected.

A brief summary of these branches is presented next.

Recovery

The development, coordination, and execution of service- and site-restoration plans and thereconstitution of government operations andservices through individual, private-sector,nongovernmental, and public assistance programs.


Human Services Branch The Human Services Branch coordinates assistance programs to help individuals,families, and businesses meet basic needs and return to self-sufficiency. This branchalso coordinates with volunteer organizations and is involved in donationsmanagement, and coordinates the need for and location of DRCs with local and tribalgovernments. Federal, State, local, tribal, voluntary, and nongovernmental organizationsstaff the DRCs, as needed, with knowledgeable personnel to provide recovery andmitigation program information, advice, counseling, and related technical assistance.

Infrastructure Support Branch

The Infrastructure Support Branch of the JFO coordinates “public assistanceprograms” authorized by the Stafford Act to aid State and local governments andeligible private nonprofit organizations with the cost of emergency protective servicesand the repair or replacement of disaster-damaged public facilities and associatedenvironmental restoration.

Community Recovery and Mitigation Branch

The Community Recovery and Mitigation Branch works with the other Operationsbranches and State and local officials to assess the long-term impacts of an Incident ofNational Significance, define available resources, and facilitate the development of acourse of action to most efficiently apply available resources to restore and revitalizethe community as well as reduce the impacts from future disasters.

The above branches coordinate with one another toidentify appropriate agency assistance programs to meetapplicant needs, synchronizing assistance delivery andencouraging incorporation of hazard mitigationmeasures where possible. Hazard mitigation measuresare identified in concert with congressionally mandated,locally developed plans. Hazard mitigation risk analysis;technical assistance to State, local, and tribalgovernments, citizens, and business; and grant assistanceare included within the mitigation framework.Additionally, these branches work in tandem to trackoverall progress of the recovery effort, particularly notingpotential program deficiencies and problem areas.

Long-term environmental recovery may include cleanupand restoration of public facilities, businesses, andresidences; re-establishment of habitats and preventionof subsequent damage to natural resources; protectionof cultural or archeological sites; and protection ofnatural, cultural, and historical resources fromintentional damage during other recovery operations.

Mitigation Actions

Hazard mitigation involves reducing or eliminatinglong-term risk to people and property from hazards andtheir side effects. The JFO is the central coordinationpoint among Federal, State, local, and tribal agencies

and NGOs for beginning the process that leads to thedelivery of mitigation assistance programs.

The JFO’s Community Recovery and Mitigation Branchis responsible for coordinating the delivery of allmitigation programs within the affected area, includinghazard mitigation for:■ Grant programs for loss reduction measures (if

available);■ Delivery of loss reduction building-science expertise;■ Coordination of Federal flood insurance operations

and integration of mitigation with other programefforts;

■ Conducting flood recovery mapping to permitexpedited and accurate implementation of bothrecovery and mitigation programs;

■ Predictive modeling to protect critical assets;■ Early documentation of losses avoided due to

previous hazard mitigation measures; and■ Community education and outreach necessary to

foster loss reduction.

Branch Description

Mitigation

Activities designed to reduce or eliminate risks topersons or property or to lessen the actual orpotential effects or consequences of an incident.Mitigation measures may be implemented prior to,during, or after an incident.


The Community Recovery and Mitigation Branchworks with the Infrastructure and Human ServicesBranches and with State, local, and tribal officials tofacilitate the development of a long-term recoverystrategy for the impacted area(s).

Demobilization

When a centralized Federal coordination presence is nolonger required in the affected area, the JFO CoordinationGroup implements the demobilization plan to transferresponsibilities and close out the JFO. After the closing ofthe JFO, long-term recovery program management andmonitoring transitions to individual agencies’ regionaloffices and/or headquarters, as appropriate.

Remedial Actions

DHS formally convenes interagency meetings called“hotwashes” to identify critical issues requiringheadquarters-level attention, lessons learned, and bestpractices associated with the Federal response toIncidents of National Significance. Hotwashes typicallyare conducted at major transition points over thecourse of incident management operations, and includeState, local, and tribal participation as appropriate.

Identified issues are validated and promptly assigned toappropriate organizations for remediation, in

accordance with DHS/EPR/FEMA’s Remedial ActionManagement Program (RAMP). DHS/EPR/FEMAmanages the RAMP and coordinates, monitors, andreports the status of Federal remediation actions forissues arising from Incidents of National Significance.

After-Action Report

Following an incident, the JFO Coordination Groupsubmits an after-action report to DHS Headquartersdetailing operational successes, problems, and keyissues affecting incident management. The reportincludes appropriate feedback from all Federal, State,local, tribal, nongovernmental, and private-sectorpartners participating in the incident. The EmergencySupport Function Leaders Group (ESFLG) and theRegional Interagency Steering Committees (RISCs)—the headquarters-level and regional-level interagencyNRP preparedness organizations (described in sectionVI on page 58)—use information from these reports toupdate plans and procedures as required.

Each Federal agency involved should keep records of itsactivity to assist in preparing its own after-action report.The DHS OSLGCP has established and maintains theLessons Learned Information Sharing system (formerlyReady-Net) as the national repository for reports andlessons learned. The NIMS Integration Center supportsand contributes to this national system.

NRP Operations Under HSAS Threat Conditions

General

The Homeland Security Advisory System, created byHSPD-3 and administered by DHS/IAIP, is acomprehensive and effective means for disseminatinginformation regarding the risk of terrorist attacks andcoordinating appropriate response measures acrossjurisdictions and with the private sector. The HSAS iscomposed of two separate elements: threat productsand threat condition.

■ Threat products include warning (advisories) andnonwarning (information bulletins) productsdesigned to inform Federal, State, local, tribal, andnongovernmental entities and private citizens ofthreat or incident information.

■ The threat condition provides a guide to assistgovernment and private-sector entities in initiating aset of standardized actions as a result of increasedterrorist threat levels within the United States, and toinform the public on updated homeland securityrequirements. The raising of the threat conditiongenerally is reserved for threats that are credible,corroborated, and imminent. An elevated threatcondition can be applied nationally or by region, byindustry sector, or to a specific target.

During an increase in threat condition, DHS may notify,activate, and deploy NRP organizational elements in aneffort to enhance the Nation’s ability to prevent,prepare for, or respond to an attack. The decision tomobilize NRP organizational elements is based on the


Green (low), Blue (guarded),Yellow (elevated)

Under Threat Conditions Green through Yellow, the HSOC maintains directconnectivity with the NCTC and the FBI SIOC regarding the terrorist threat andmaintains situational awareness through the continued monitoring of reportedincidents.

Orange (high) When threat conditions warrant, DHS activates the IIMG to review the threatinformation, coordinate interagency activity, and recommend additionalprecautions needed to prevent, prepare for, or respond to an attack. If the threatis elevated regionally or locally, DHS considers designating a PFO and activatingemergency response teams and appropriate RRCC(s) to coordinate withregional, State, and private-sector entities and notify (or activate) regionalresources (such as the ERT) as appropriate.

Red (severe) When threat conditions warrant, DHS fully activates the NRCC, activates theRRCCs in the designated threat locations, implements Continuity of Operationsplans, and places other appropriate assets on the highest alert status. If thethreat is elevated regionally or locally, the IIMG provides recommendations forthe deployment of special teams to the area and establishment of a JFO. In theabsence of a JFO, special teams deployed in response to a terrorist threat operatein coordination with the FBI JOC.

nature and severity of the threat. In response to aheightened nationwide risk of attack, DHS may activatethe national-level elements and place certain specialteams on standby. For geographic-specific threats,DHS, in consultation with DOJ, may activate regionalelements and deploy national coordinating elementsand special teams to the affected area.

Procedures/Guidelines

Procedures/guidelines for threat conditions aredescribed below.

Threat Conditions Procedures/Guidelines


VI. Ongoing Plan Management and Maintenance

CoordinationThe Federal Government uses the “preparednessorganization” concept described in the NIMS for theongoing management and maintenance of the NRP.These organizations typically include all agencies with arole in incident management and provide a forum forcoordination of policy, planning, training, equipping,and other preparedness requirements.

Federal Headquarters Level

The HSC Domestic Threat Reduction and IncidentManagement (DTRIM) PCC and the ESFLG are theprimary Federal-level organizations for coordinatinginteragency policy related to the ongoing managementand maintenance of the NRP and related activities. Inproviding sustained management and oversight of theNRP, these organizations will comply withpreparedness guidelines and standards as identified inHSPD-5 and HSPD-8.

■ Domestic Threat Reduction and IncidentManagement Policy Coordination Committee: TheDTRIM PCC serves as the senior interagency policyoversight group for the NRP and related issues,providing an interagency forum for review of NRP-related plans, policy guidance, and issue resolution.(The DTRIM PCC replaces the FRP CatastrophicDisaster Response Group (CDRG) for ongoingmanagement and maintenance of the NRP in theseareas.)

■ Emergency Support Function Leaders Group: TheESFLG serves as the senior interagency planningoversight group for operational issues related to theNRP and its ongoing management and maintenance.The ESFLG is comprised of representatives from eachESF as well as those organizations responsible formaintaining the NRP Support and Incident Annexes.The ESFLG provides a forum for developingsupporting plans and procedures, as well as cross-coordination of functions. The ESFLG meets at leastquarterly. In addition, coordinators of the ESF,

Support, and Incident Annexes will meet annually, asa minimum, to review and update plans andprocedures, incorporate lessons learned and bestpractices, and ensure functional coordination andcontinuous improvement of all NRP elements. DHSwill develop a charter for the ESFLG further outliningits roles and responsibilities in this area.

■ Other Federal Preparedness Organizations: Otherexisting interagency preparedness organizationsgenerally are integrated through the ESF structure.For example, the National Response Team works incoordination with ESF #10 (Oil and HazardousMaterials Response) planning efforts.

Federal Regional Level

At the Federal regional level, the RISCs are responsiblefor multiagency coordination under the NRP on asteady-state basis. The RISCs support the national-levelgroups by coordinating issues and solutions that areunique to the regions. RISCs also coordinatepreparedness efforts with other regional-levelpreparedness organizations (such as the RegionalResponse Teams (RRTs) that coordinate regional ESF#10 efforts). At a minimum, the RISC is comprised ofrepresentatives from each State in the region and,where appropriate, regional-level representatives fromESF primary and support agencies. RISCs meet at leastquarterly and provide an operational-level forum forregional planning, interagency information-sharing,and coordination. Each RISC includes an executive-level committee that meets at least twice yearly toprovide executive-level guidance and oversight. DHSwill publish a charter for the RISCs further describingtheir roles and responsibilities.

State and Local Levels

At the State and local levels, various preparednessorganizations provide multiagency coordinationfunctions.


The NIMS Integration CenterIn accordance with the NIMS, the NIMS IntegrationCenter is responsible for facilitating the development andadoption of national-level standards, guidelines, and

protocols related to the NIMS. DHS/EPR/FEMA willconsult with the NIMS Integration Center in themanagement and maintenance of the NRP as appropriate.

Plan MaintenanceDHS/EPR/FEMA, in close coordination with the DHSOffice of the Secretary, is the executive agent for NRPmanagement and maintenance. The NRP will be updatedperiodically as required to incorporate new Presidentialdirectives, legislative changes, and procedural changesbased on lessons learned from exercises and actual events.This section establishes procedures for interim changesand full updates of the NRP.

■ Types of Changes. Changes include additions of newor supplementary material and deletions. Noproposed change should contradict or overrideauthorities or other plans contained in statute,Executive order, or regulation.

■ Coordination and Approval. Any department oragency with assigned responsibilities under the NRPmay propose a change to the plan. DHS is responsiblefor coordinating all proposed modifications to theNRP with primary and support agencies and otherstakeholders, as required. DHS will coordinate reviewand approval for proposed modifications through theESFLG and HSC as required.

■ Notice of Change. After coordination has beenaccomplished, including receipt of the necessarysigned approval supporting the final change language,DHS will issue an official Notice of Change.

The notice will specify the date, number, subject,purpose, background, and action required, and providethe change language on one or more numbered anddated insert pages that will replace the modified pagesin the NRP. Once published, the modifications will beconsidered part of the NRP for operational purposespending a formal revision and reissuance of the entiredocument. Interim changes can be further modified orupdated using the above process.

■ Distribution. DHS will distribute Notices of Changeto all participating agencies, DHS Headquarters andregional offices, and State emergency managementoffices. Notices of Change to other organizationswill be provided upon request.

■ Reissuance of the NRP. Working toward continuousimprovement, DHS is responsible for coordinating fullreviews and updates of the NRP every 4 years, or morefrequently if the Secretary deems necessary. The reviewand update will consider lessons learned and best prac-tices identified during exercises and responses to actualevents, and incorporate new information technologies.DHS will distribute revised NRP documents to the HSCfor the purpose of interagency review and concurrence.

The NRP will be updated periodically as required toincorporate new Presidential directives, legislativechanges, and procedural changes based on lessonslearned from exercises and actual events.

The NRP and National PreparednessThe NRP provides a key aspect of Federal departmentand agency compliance with HSPD-8, NationalPreparedness. HSPD-8 directs the Secretary ofHomeland Security to coordinate efforts to measureand improve national preparedness. For moreinformation on national preparedness, please refer to

the National Preparedness Goal. Preparedness tasksrelated to the NRP and associated supplements aresummarized below:

■ DHS develops a national domestic all-hazardspreparedness goal, in coordination with other Federal


departments and agencies, and in consultation withState and local governments. The goal establishes aNational Preparedness Assessment and ReportingSystem, which produces an annual status report to thePresident regarding the Nation’s level of preparedness.

■ Appropriate Federal departments and agencies under-take actions to support the national preparedness goal,including adoption of quantifiable performance meas-urements in the areas of training, planning, equipment,and exercises for Federal preparedness. Performancemeasures are submitted to DHS for the NationalPreparedness Assessment and Reporting System.

■ The annual report to the President includes, but isnot limited to, information on the readiness ofFederal civil response assets. Appropriate Federaldepartments and agencies are required to maintainspecialized Federal assets, such as teams, stockpiles,and caches, at levels consistent with the nationalpreparedness goal and to make them available forresponse activities as established in the NRP.

■ DHS develops and maintains a Federal responsecapability inventory, in coordination with otherappropriate Federal departments and agencies, thatincludes the performance parameters of thecapability, the timeframe within which the capabilitycan be brought to bear to an incident, and thereadiness of such capability to manage domesticincidents. Owners (respective agencies) of Federalresponse capabilities are responsible for providingDHS with updated information to ensure that theinventory is current.

■ DHS, in coordination with other appropriate Federaldepartments and agencies and in consultation withState and local governments, maintains acomprehensive National Training Program, a NationalExercise Program, and a National Lessons LearnedInformation Sharing System (formerly Ready-Net) tomeet the national preparedness goal. These programsand systems use the NIMS and include requirementsto support the NRP as appropriate.

NRP-Supporting Documents and Standards for Other Federal Emergency PlansThe NRP, as the core plan for domestic incidentmanagement, provides the structures and processes forcoordinating incident management activities forterrorist attacks, natural disasters, and otheremergencies that meet the criteria established forIncidents of National Significance. Following theguidance provided in HSPD-5, the NRP incorporatesexisting Federal emergency and incident managementplans (with appropriate modifications and revisions) asintegrated components of the NRP, as supplements, oras supporting operational plans.

Accordingly, Federal departments and agencies mustincorporate key NRP concepts and procedures forworking with NRP organizational elements whendeveloping or updating incident management andemergency response plans. When an agency develops anational interagency plan that involves events withinthe scope of Incidents of National Significance, theseplans are coordinated with DHS to ensure consistencywith the NRP, and are incorporated into the NRP, either

by reference or as a whole. DHS/EPR/FEMA willmaintain a complete set of all current nationalinteragency plans and provide ready public access tothose plans via website or other appropriate means.

Incident management and emergency response plansmust include, to the extent authorized by law:■ Principles and terminology of the NIMS;■ Reporting requirements of the NRP;■ Linkages to key NRP organizational elements (such as

the IIMG, NRCC, RRCC, JFO, etc.); and■ Procedures for transitioning from localized incidents

to Incidents of National Significance.

The broader range of NRP-supporting documentsincludes strategic, operational, tactical, and incident-specific or hazard-specific contingency plans andprocedures. Strategic plans are developed byheadquarters-level entities based on long-range goals,objectives, and priorities. Operational-level plansmerge the on-scene tactical concerns with overall


National IncidentManagement System

The NIMS provides a core set of doctrine, concepts, terminology, andorganizational processes to enable effective, efficient, and collaborative incidentmanagement at all levels.

National Interagency Plans National interagency plans are based either on statutory or regulatory authorities,and/or specific contingencies and types of incidents. These plans provide protocolsfor managing the preponderance of incidents that are likely to occur at all levels ofgovernment and that normally can be managed without the need for DHScoordination. These plans can be implemented independently or concurrently with the NRP.

When the NRP is activated, these interagency plans are incorporated as supportingand/or operational plans. Examples of national interagency plans that areincorporated into the NRP as supporting and/or operational plans include:■ National Oil and Hazardous Substances Pollution Contingency Plan;■ Mass Migration Emergency Plan;■ National Search and Rescue Plan;■ National Infrastructure Protection Plan; and■ National Maritime Security Plan.

For purposes of full incorporation into the NRP, these plans will be referred to asNRP supplements for the specific contingency or mission area that constitutes themain focus of such plans. The comprehensive listing of national interagency plansincluded as Appendix 4 provides a brief description of each of these plans.

Agency-Specific Plans Agency-specific plans are created to manage single hazards or contingencies underthe purview of the responsible department or agency. An example of an agency-specific plan is the NRC’s Incident Response Plan.

Operational Supplements Operational supplements typically are detailed plans relating to specific incidents orevents. Operational supplements routinely are developed to support NSSEs.

Regional Plans Regional plans typically are operational supplements to national plans and provideregion-specific procedures and guidance. Examples of regional plans includeregional contingency plans (RCPs) mandated by the NCP to organize oil andhazardous substance contamination response.

strategic objectives. Tactical plans include detailed,specific actions and descriptions of resources requiredto manage an actual or potential incident. Contingencyplans are based on specific scenarios and planning

assumptions related to a geographic area or theprojected impacts of an individual hazard. Thefollowing is a brief description of NRP-relateddocuments:

Document Description


State/Local/TribalEmergency Operations Plans

State/local/tribal emergency operations plans are created to address a variety ofhazards. Examples include:■ State emergency operations plans designed to support State emergency

management functions.■ Area contingency plans designed to prevent, prepare for, respond to, and recover

from oil and hazardous substance incidents. These plans are developed at thedirection of Federal OSCs in consultation with organizations at the State,regional, local, and tribal levels.

■ Local emergency operations plans created at the municipal level to complementState emergency operations plans.

State/Local/TribalMultihazard Mitigation Plans

State/local/tribal multihazard mitigation plans are developed by States, territories,tribes, and local communities to provide a framework for understandingvulnerability to and risk from hazards, and identifying the pre-disaster and post-disaster mitigation measures to reduce the risk from those hazards. Multihazardmitigation planning requirements were established by Congress through theStafford Act, as amended by the Disaster Mitigation Act of 2000.

Private-Sector Plans Private-sector plans are developed by privately owned companies/corporations.Some planning efforts are mandated by statute (e.g., nuclear power plantoperations), while others are developed to ensure business continuity.

Volunteer andNongovernmentalOrganization Plans

Volunteer and nongovernmental organization plans are plans created to supportlocal, State, regional, and Federal emergency preparedness, response, and recoveryoperations. Plans include a continuous process of assessment, evaluation, andpreparation to ensure that the necessary authorities, organization, resources,coordination, and operation procedures exist to provide effective delivery ofservices to disaster clients as well as provide integration into planning efforts at allgovernment levels.

International PlansInternational plans between the Federal Government and foreign countriestypically deal with natural disasters, mass-casualty incidents, pollution incidents,terrorism, or public health emergencies.

Procedures Procedures provide operational guidance for use by emergency teams and otherpersonnel involved in conducting or supporting incident management operations.These documents fall into five basic categories:■ Overviews that provide a brief concept summary of an incident management

function, team, or capability;■ Standard operating procedures (SOPs), standard operating guidelines (SOGs), or

operations manuals that provide a complete reference document, detailing theprocedures for performing a single function (i.e., SOP/SOG) or a number ofinterdependent functions (i.e., operations manual);

■ Field operations guides (FOGs) or handbooks that are produced as a durablepocket or desk guide, containing essential tactical information needed toperform specific assignments or functions;

■ Point of contact (POC) lists; and■ Job aids such as checklists or other tools for job performance or job training.

Document Description

For the purposes of the NRP, the following terms anddefinitions apply.

Accountable Property. Property that: 1) has anacquisition cost that is $15,000 or more; 2) has aunique, identifiable serial number (e.g., computer ortelecommunications equipment); and 3) is considered“sensitive” (i.e., easily pilferable), such as cellularphones, pagers, and laptop computers.

Agency. A division of government with a specificfunction offering a particular kind of assistance. InICS, agencies are defined either as jurisdictional (havingstatutory responsibility for incident management) or asassisting or cooperating (providing resources or otherassistance).

Agency Representative. A person assigned by aprimary, assisting, or cooperating Federal, State, local,or tribal government agency or private entity that hasbeen delegated authority to make decisions affectingthat agency’s or organization’s participation in incidentmanagement activities following appropriateconsultation with the leadership of that agency.

Area Command (Unified Area Command). Anorganization established (1) to oversee the management ofmultiple incidents that are each being handled by an ICSorganization or (2) to oversee the management of large ormultiple incidents to which several Incident ManagementTeams have been assigned. Area Command has theresponsibility to set overall strategy and priorities, allocatecritical resources according to priorities, ensure thatincidents are properly managed, and ensure that objectivesare met and strategies followed. Area Command becomesUnified Area Command when incidents aremultijurisdictional. Area Command may be established atan EOC facility or at some location other than an ICP.

Available Resources. Resources assigned to anincident, checked in, and available for use, normallylocated in a Staging Area.

Awareness. The continual process of collecting,analyzing, and disseminating intelligence, information,and knowledge to allow organizations and individualsto anticipate requirements and to react effectively.

Casualty. Any person who is declared dead or ismissing, ill, or injured.

Catastrophic Incident. Any natural or manmadeincident, including terrorism, that results inextraordinary levels of mass casualties, damage, ordisruption severely affecting the population,infrastructure, environment, economy, national morale,and/or government functions. A catastrophic eventcould result in sustained national impacts over aprolonged period of time; almost immediately exceedsresources normally available to State, local, tribal, andprivate-sector authorities in the impacted area; andsignificantly interrupts governmental operations andemergency services to such an extent that nationalsecurity could be threatened. All catastrophic events areIncidents of National Significance.

Chain of Command. A series of command, control,executive, or management positions in hierarchicalorder of authority.

Civil Transportation Capacity. The total quantity ofprivately owned transportation services, equipment,facilities, and systems from all transportation modesnationally or in a prescribed area or region.

Coastal Zone. As defined by the NCP, means all U.S.waters subject to tide, U.S. waters of the Great Lakes,specified ports and harbors on inland rivers, waters ofthe contiguous zone, other water of the high seassubject to the NCP, and the land surface or landsubstrata, ground waters, and ambient air proximal tothose waters. The term “coastal zone” delineates anarea of Federal responsibility for response action.Precise boundaries are determined by EPA/USCGagreements and identified in RCPs.

Command Staff. In an incident managementorganization, the Command Staff consists of theIncident Command and the special staff positions ofPublic Information Officer, Safety Officer, LiaisonOfficer, and other positions as required, who reportdirectly to the Incident Commander. They may have anassistant or assistants, as needed.


Appendix 1

Glossary of Key Terms

Common Operating Picture (COP). A broad view ofthe overall situation as reflected by situation reports,aerial photography, and other information orintelligence.

Community Recovery. In the context of the NRP andits annexes, the process of assessing the effects of anIncident of National Significance, defining resources,and developing and implementing a course of action torestore and revitalize the socioeconomic and physicalstructure of a community.

Consequence Management. Predominantly anemergency management function and includedmeasures to protect public health and safety, restoreessential government services, and provide emergencyrelief to governments, businesses, and individualsaffected by the consequences of terrorism. Therequirements of consequence management and crisismanagement are combined in the NRP. See also CrisisManagement.

Contiguous Zone. The zone of the high seas, establishedby the United States under Article 24 of the Conventionon the Territorial Sea and Contiguous Zone, that iscontiguous to the territorial sea and that extends 9 milesseaward from the outer limit of the territorial sea.

Credible Threat. A potential terrorist threat that, basedon a threat assessment, is credible and likely to involveWMD.

Crisis Management. Predominantly a law enforcementfunction and included measures to identify, acquire,and plan the use of resources needed to anticipate,prevent, and/or resolve a threat or act of terrorism.The requirements of consequence management andcrisis management are combined in the NRP. See alsoConsequence Management.

Critical Infrastructures. Systems and assets, whetherphysical or virtual, so vital to the United States that theincapacity or destruction of such systems and assetswould have a debilitating impact on security, nationaleconomic security, national public health or safety, orany combination of those matters.

Cultural Resources. Cultural resources include historicand prehistoric structures, archeological sites, culturallandscapes, and museum collections.

Cyber. Pertaining to computers and their supportsystems, such as servers, routers, and switches, thatsupport critical infrastructure.

Defense Support of Civil Authorities (DSCA). Refersto DOD support, including Federal military forces, DODcivilians and DOD contractor personnel, and DODagencies and components, for domestic emergenciesand for designated law enforcement and other activities.

Deputy. A fully qualified individual who, in theabsence of a superior, could be delegated the authorityto manage a functional operation or perform a specifictask. In some cases, a deputy could act as relief for asuperior and therefore must be fully qualified in theposition. Deputies can be assigned to the IncidentCommander, General Staff, and Branch Directors.

Disaster. See Major Disaster.

Disaster Recovery Center (DRC). A facility establishedin a centralized location within or near the disaster areaat which disaster victims (individuals, families, orbusinesses) apply for disaster aid.

District Response Group. Established in eachDHS/USCG District, the District Response Group isprimarily responsible for providing the OSC technicalassistance, personnel, and equipment during responsestypically involving marine zones.

Emergency. As defined by the Stafford Act, anemergency is “any occasion or instance for which, inthe determination of the President, Federal assistance isneeded to supplement State and local efforts andcapabilities to save lives and to protect property andpublic health and safety, or to lessen or avert the threatof a catastrophe in any part of the United States.”

Emergency Operations Center (EOC). The physicallocation at which the coordination of information andresources to support domestic incident managementactivities normally takes place. An EOC may be atemporary facility or may be located in a more centralor permanently established facility, perhaps at a higherlevel of organization within a jurisdiction. EOCs maybe organized by major functional disciplines (e.g., fire,law enforcement, and medical services), by jurisdiction(e.g., Federal, State, regional, county, city, tribal), or bysome combination thereof.


Emergency Operations Plan (EOP). The “steady-state”plan maintained by various jurisdictional levels formanaging a wide variety of potential hazards.

Emergency Public Information. Information that isdisseminated primarily in anticipation of an emergencyor during an emergency. In addition to providingsituational information to the public, it also frequentlyprovides directive actions required to be taken by thegeneral public.

Emergency Response Provider. Includes Federal, State,local, and tribal emergency public safety, lawenforcement, emergency response, emergency medical(including hospital emergency facilities), and relatedpersonnel, agencies, and authorities. (See section 2(6),Homeland Security Act of 2002, Public Law 107-296,116 Stat. 2135 (2002).) Also known as “emergencyresponder.”

Emergency Support Function (ESF). A grouping ofgovernment and certain private-sector capabilities intoan organizational structure to provide the support,resources, program implementation, and services thatare most likely to be needed to save lives, protectproperty and the environment, restore essential servicesand critical infrastructure, and help victims andcommunities return to normal, when feasible,following domestic incidents. The ESFs serve as theprimary operational-level mechanism to provideassistance to State, local, and tribal governments or toFederal departments and agencies conducting missionsof primary Federal responsibility.

Emerging Infectious Diseases. New or recurringinfectious diseases of people, domestic animals, and/orwildlife, including identification, etiology, pathogenesis,zoonotic potential, and ecological impact.

Environment. Natural and cultural resources andhistoric properties as those terms are defined in thisglossary and in relevant laws.

Environmental Response Team. Established by EPA,the Environmental Response Team includes expertise inbiology, chemistry, hydrology, geology, andengineering. The Environmental Response Teamprovides technical advice and assistance to the OSC forboth planning and response to discharges and releasesof oil and hazardous substances into the environment.

Evacuation. Organized, phased, and supervisedwithdrawal, dispersal, or removal of civilians fromdangerous or potentially dangerous areas, and theirreception and care in safe areas.

Facility Management. Facility selection andacquisition, building services, information systems,communications, safety and health, and physicalsecurity.

Federal. Of or pertaining to the Federal Governmentof the United States of America.

Federal Coordinating Officer (FCO). The Federalofficer who is appointed to manage Federal resourcesupport activities related to Stafford Act disasters andemergencies. The FCO is responsible for coordinatingthe timely delivery of Federal disaster assistanceresources and programs to the affected State and localgovernments, individual victims, and the private sector.

Federal Emergency Communications Coordinator(FECC). That person, assigned by GSA, who functionsas the principal Federal manager for emergencytelecommunications requirements in major disasters,emergencies, and extraordinary situations, whenrequested by the FCO or FRC.

Federal On-Scene Coordinator (FOSC or OSC). TheFederal official predesignated by the EPA or the USCGto coordinate responses under subpart D of the NCP, orthe government official designated to coordinate anddirect removal actions under subpart E of the NCP.

Federal Resource Coordinator (FRC). The Federalofficial appointed to manage Federal resource supportactivities related to non-Stafford Act incidents. The FRCis responsible for coordinating support from otherFederal departments and agencies using interagencyagreements and MOUs.

First Responder. Local and nongovernmental police,fire, and emergency personnel who in the early stagesof an incident are responsible for the protection andpreservation of life, property, evidence, and theenvironment, including emergency response providersas defined in section 2 of the Homeland Security Act of2002 (6 U.S.C. 101), as well as emergencymanagement, public health, clinical care, public works,and other skilled support personnel (such as



equipment operators) who provide immediate supportservices during prevention, response, and recoveryoperations. First responders may include personnelfrom Federal, State, local, tribal, or nongovernmentalorganizations.

Food and Nutrition Service (FNS) Disaster Task Force.The Food Security Act of 1985 (Public Law 99-198)requires the Secretary of Agriculture to establish aDisaster Task Force to assist States in implementing andoperating various disaster food programs. The FNSDisaster Task Force coordinates the overall FNS responseto disasters and emergencies. It operates under thegeneral direction of the Administrator of FNS.

Hazard. Something that is potentially dangerous orharmful, often the root cause of an unwanted outcome.

Hazard Mitigation. Any cost-effective measure whichwill reduce the potential for damage to a facility from adisaster event.

Hazardous Material. For the purposes of ESF #1,hazardous material is a substance or material, includinga hazardous substance, that has been determined by theSecretary of Transportation to be capable of posing anunreasonable risk to health, safety, and property whentransported in commerce, and which has been sodesignated (see 49 CFR 171.8). For the purposes ofESF #10 and the Oil and Hazardous Materials IncidentAnnex, the term is intended to mean hazardoussubstances, pollutants, and contaminants as defined bythe NCP.

Hazardous Substance. As defined by the NCP, anysubstance designated pursuant to section 311(b)(2)(A)of the Clean Water Act; any element, compound,mixture, solution, or substance designated pursuant tosection 102 of the Comprehensive EnvironmentalResponse, Compensation, and Liability Act (CERCLA);any hazardous waste having the characteristicsidentified under or listed pursuant to section 3001 ofthe Solid Waste Disposal Act (but not including anywaste the regulation of which under the Solid WasteDisposal Act (42 U.S.C. § 6901 et seq.) has beensuspended by act of Congress); any toxic pollutantlisted under section 307(a) of the Clean Water Act; anyhazardous air pollutant listed under section 112 of theClean Air Act (42 U.S.C. § 7521 et seq.); and anyimminently hazardous chemical substance or mixture

with respect to which the EPA Administrator has takenaction pursuant to section 7 of the Toxic SubstancesControl Act (15 U.S.C. § 2601 et seq.).

Historic Property. Any prehistoric or historic district,site, building, structure, or object included in oreligible for inclusion in the National Register ofHistoric Places, including artifacts, records, and remainswhich are related to such district, site, building,structure, or object [16 U.S.C. § 470(w)(5)].

Incident. An occurrence or event, natural or human-caused, that requires an emergency response to protectlife or property. Incidents can, for example, includemajor disasters, emergencies, terrorist attacks, terroristthreats, wildland and urban fires, floods, hazardousmaterials spills, nuclear accidents, aircraft accidents,earthquakes, hurricanes, tornadoes, tropical storms,war-related disasters, public health and medicalemergencies, and other occurrences requiring anemergency response.

Incident Action Plan. An oral or written plancontaining general objectives reflecting the overallstrategy for managing an incident. It may include theidentification of operational resources and assignments.It may also include attachments that provide directionand important information for management of theincident during one or more operational periods.

Incident Command Post (ICP). The field location atwhich the primary tactical-level, on-scene incidentcommand functions are performed. The ICP may becollocated with the incident base or other incidentfacilities and is normally identified by a green rotatingor flashing light.

Incident Command System (ICS). A standardized on-scene emergency management construct specificallydesigned to provide for the adoption of an integratedorganizational structure that reflects the complexity anddemands of single or multiple incidents, without beinghindered by jurisdictional boundaries. ICS is thecombination of facilities, equipment, personnel,procedures, and communications operating with acommon organizational structure, designed to aid inthe management of resources during incidents. ICS isused for all kinds of emergencies and is applicable tosmall as well as large and complex incidents. ICS isused by various jurisdictions and functional agencies,

both public and private, or organized field-levelincident management operations.

Incident Commander (IC). The individual responsiblefor all incident activities, including the development ofstrategies and tactics and the ordering and release ofresources. The IC has overall authority andresponsibility for conducting incident operations and isresponsible for the management of all incidentoperations at the incident site. (See page 10 fordiscussion on DOD forces.)

Incident Management Team (IMT). The IncidentCommander and appropriate Command and GeneralStaff personnel assigned to an incident.

Incident Mitigation. Actions taken during an incidentdesigned to minimize impacts or contain the damagesto property or the environment.

Incident of National Significance. Based on criteriaestablished in HSPD-5 (paragraph 4), an actual orpotential high-impact event that requires a coordinatedand effective response by and appropriate combinationof Federal, State, local, tribal, nongovernmental, and/orprivate-sector entities in order to save lives andminimize damage, and provide the basis for long-termcommunity recovery and mitigation activities.

Information Officer. See Public Information Officer.

Infrastructure. The manmade physical systems, assets,projects, and structures, publicly and/or privatelyowned, that are used by or provide benefit to thepublic. Examples of infrastructure include utilities,bridges, levees, drinking water systems, electricalsystems, communications systems, dams, sewagesystems, and roads.

Infrastructure Liaison. Assigned by DHS/IAIP, theInfrastructure Liaison serves as the principal advisor tothe JFO Coordination Group regarding all national- andregional-level critical infrastructure and key resourcesincident-related issues.

Initial Actions. The actions taken by those respondersfirst to arrive at an incident site.

Initial Response. Resources initially committed to anincident.

Initial Response Resources (IRR). Disaster supportcommodities that may be pre-staged, in anticipation ofa catastrophic event, at a Federal facility close to adisaster area for immediate application through an NRPESF operation. The initial response resources areprovided to victims and all levels of governmentresponders immediately after a disaster occurs. They aredesigned to augment State and local capabilities.DHS/EPR/FEMA Logistics Division stores and maintainscritically needed initial response commodities forvictims and responders and pre-positions supplies andequipment when required. The initial responseresources include supplies (baby food, baby formula,blankets, cots, diapers, meals ready-to-eat, plasticsheeting, tents, and water) and equipment (emergencygenerators, industrial ice-makers, mobile kitchen kits,portable potties with service, portable showers, andrefrigerated vans).

In-Kind Donations. Donations other than cash(usually materials or professional services) for disastersurvivors.

Inland Zone. As defined in the NCP, the environmentinland of the coastal zone excluding the Great Lakesand specified ports and harbors on the inland rivers.The term “coastal zone” delineates an area of Federalresponsibility for response action. Precise boundariesare determined by EPA/USCG agreements andidentified in RCPs.

Insular Areas. Non-State possessions of the UnitedStates. The insular areas include Guam, theCommonwealth of the Northern Mariana Islands(CNMI), American Samoa, the U.S.Virgin Islands, andthe former World War II Trust Territories now known asthe Federated States of Micronesia and the Republic ofthe Marshall Islands. These last two entities, known asFreely Associated States (FAS), are still connected withthe United States through the Compact of FreeAssociation.

Interagency Modeling and Atmospheric AssessmentCenter (IMAAC). An interagency center responsiblefor production, coordination, and dissemination ofconsequence predictions for an airborne hazardousmaterial release. The IMAAC generates the singleFederal prediction of atmospheric dispersions and theirconsequences utilizing the best available resources fromthe Federal Government.


Joint Field Office (JFO). A temporary Federal facilityestablished locally to provide a central point for Federal,State, local, and tribal executives with responsibility forincident oversight, direction, and/or assistance toeffectively coordinate protection, prevention,preparedness, response, and recovery actions. The JFOwill combine the traditional functions of the JOC, theFEMA DFO, and the JIC within a single Federal facility.

Joint Information Center (JIC). A facility establishedto coordinate all incident-related public informationactivities. It is the central point of contact for all newsmedia at the scene of the incident. Public informationofficials from all participating agencies should collocateat the JIC.

Joint Information System (JIS). Integrates incidentinformation and public affairs into a cohesiveorganization designed to provide consistent,coordinated, timely information during a crisis orincident operations. The mission of the JIS is toprovide a structure and system for developing anddelivering coordinated interagency messages;developing, recommending, and executing publicinformation plans and strategies on behalf of the IC;advising the IC concerning public affairs issues thatcould affect a response effort; and controlling rumorsand inaccurate information that could underminepublic confidence in the emergency response effort.

Joint Operations Center (JOC). The JOC is the focalpoint for all Federal investigative law enforcementactivities during a terrorist or potential terroristincident or any other significant criminal incident, andis managed by the SFLEO. The JOC becomes acomponent of the JFO when the NRP is activated.

Jurisdiction. A range or sphere of authority. Publicagencies have jurisdiction at an incident related to theirlegal responsibilities and authorities. Jurisdictionalauthority at an incident can be political or geographical(e.g., city, county, tribal, State, or Federal boundarylines) or functional (e.g., law enforcement, publichealth).

Liaison Officer. A member of the Command Staffresponsible for coordinating with representatives fromcooperating and assisting agencies.

Local Government. A county, municipality, city, town,township, local public authority, school district, specialdistrict, intrastate district, council of governments(regardless of whether the council of governments isincorporated as a nonprofit corporation under Statelaw), regional or interstate government entity, or agencyor instrumentality of a local government; an Indiantribe or authorized tribal organization or, in Alaska, aNative Village or Alaska Regional Native Corporation; ora rural community, unincorporated town or village, orother public entity. (As defined in section 2(10) of theHomeland Security Act of 2002, Public Law 107-296,116 Stat. 2135, et seq. (2002).)

Long-Range Management Plan. Used by the FCO andmanagement team to address internal staffing,organization, and team requirements.

Major Disaster. As defined by the Stafford Act, anynatural catastrophe (including any hurricane, tornado,storm, high water, wind-driven water, tidal wave,tsunami, earthquake, volcanic eruption, landslide,mudslide, snowstorm, or drought) or, regardless ofcause, any fire, flood, or explosion, in any part of theUnited States, which in the determination of thePresident causes damage of sufficient severity andmagnitude to warrant major disaster assistance underthis act to supplement the efforts and availableresources of States, local governments, and disasterrelief organizations in alleviating the damage, loss,hardship, or suffering caused thereby.

Materiel Management. Requisitioning and sourcing(requirements processing); acquisition, asset visibility(resource tracking), receipt, storage, and handling;security and accountability; inventory, deployment,issue, and distribution; and recovery, reuse, anddisposition.

Mission Assignment. The vehicle used byDHS/EPR/FEMA to support Federal operations in aStafford Act major disaster or emergency declaration. Itorders immediate, short-term emergency responseassistance when an applicable State or local governmentis overwhelmed by the event and lacks the capability toperform, or contract for, the necessary work.

Mitigation. Activities designed to reduce or eliminaterisks to persons or property or to lessen the actual orpotential effects or consequences of an incident.


Mitigation measures may be implemented prior to,during, or after an incident. Mitigation measures areoften developed in accordance with lessons learned fromprior incidents. Mitigation involves ongoing actions toreduce exposure to, probability of, or potential loss fromhazards. Measures may include zoning and buildingcodes, floodplain buyouts, and analysis of hazard-relateddata to determine where it is safe to build or locatetemporary facilities. Mitigation can include efforts toeducate governments, businesses, and the public onmeasures they can take to reduce loss and injury.

Mobilization. The process and procedures used by allorganizations—Federal, State, local, and tribal—foractivating, assembling, and transporting all resources thathave been requested to respond to or support an incident.

Mobilization Center. An off-site temporary facility atwhich response personnel and equipment are receivedfrom the Point of Arrival and are pre-positioned fordeployment to an incident logistics base, to a localStaging Area, or directly to an incident site, as required.A mobilization center also provides temporary supportservices, such as food and billeting, for responsepersonnel prior to their assignment, release, orreassignment and serves as a place to out-processfollowing demobilization while awaiting transportation.

Multiagency Command Center (MACC). Aninteragency coordination center established byDHS/USSS during NSSEs as a component of the JFO.The MACC serves as the focal point for interagencysecurity planning and coordination, including thecoordination of all NSSE-related information fromother intra-agency centers (e.g., police command posts,Secret Service security rooms) and other interagencycenters (e.g., intelligence operations centers, jointinformation centers).

Multiagency Coordination Entity. Functions within abroader multiagency coordination system. It mayestablish priorities among incidents and associatedresource allocations, deconflict agency policies, andprovide strategic guidance and direction to supportincident management activities.

Multiagency Coordination System. Provides thearchitecture to support coordination for incidentprioritization, critical resource allocation,communications systems integration, and information

coordination. The components of multiagencycoordination systems include facilities, equipment,EOCs, specific multiagency coordination entities,personnel, procedures, and communications. Thesystems assist agencies and organizations to fullyintegrate the subsystems of NIMS.

Multijurisdictional Incident. An incident requiringaction from multiple agencies that each have jurisdictionto manage certain aspects of an incident. In ICS, theseincidents will be managed under Unified Command.

Mutual Aid Agreement. Written agreement betweenagencies, organizations, and/or jurisdictions that they willassist one another on request by furnishing personnel,equipment, and/or expertise in a specified manner.

National. Of a nationwide character, including theFederal, State, local, and tribal aspects of governanceand policy.

National Coordinating Center for Telecommunications.A joint telecommunications industry–FederalGovernment operation established to assist in theinitiation, coordination, restoration, and reconstitutionof NS/EP telecommunications services and facilities.

National Counterterrorism Center (NCTC). The NCTCserves as the primary Federal organization for analyzingand integrating all intelligence possessed or acquired bythe U.S. Government pertaining to terrorism andcounterterrorism, excepting purely domesticcounterterrorism information. The NCTC may, consistentwith applicable law, receive, retain, and disseminateinformation from any Federal, State, or local governmentor other source necessary to fulfill its responsibilities.

National Disaster Medical System (NDMS). Acoordinated partnership between DHS, HHS, DOD, andthe Department of Veterans Affairs established for thepurpose of responding to the needs of victims of apublic health emergency. NDMS provides medicalresponse assets and the movement of patients to healthcare facilities where definitive medical care is receivedwhen required.

National Incident Management System (NIMS). Asystem mandated by HSPD-5 that provides a consistent,nationwide approach for Federal, State, local, and tribalgovernments; the private sector; and NGOs to work



effectively and efficiently together to prepare for,respond to, and recover from domestic incidents,regardless of cause, size, or complexity. To provide forinteroperability and compatibility among Federal, State,local, and tribal capabilities, the NIMS includes a coreset of concepts, principles, and terminology. HSPD-5identifies these as the ICS; multiagency coordinationsystems; training; identification and management ofresources (including systems for classifying types ofresources); qualification and certification; and thecollection, tracking, and reporting of incidentinformation and incident resources.

National Infrastructure Coordinating Center (NICC).Managed by the DHS Information Analysis andInfrastructure Protection Directorate, the NICCmonitors the Nation’s critical infrastructure and keyresources on an ongoing basis. In the event of anincident, the NICC provides a coordinating vehicle toshare information with critical infrastructure and keyresources information-sharing entities.

National Interagency Coordination Center (NICC).The organization responsible for coordinating allocationof resources to one or more coordination centers ormajor fires within the Nation. Located in Boise, ID.

National Interagency Fire Center (NIFC). A facilitylocated in Boise, ID, that is jointly operated by severalFederal agencies and is dedicated to coordination,logistical support, and improved weather services insupport of fire management operations throughout theUnited States.

Natural Resources. Natural resources include land,fish, wildlife, domesticated animals, plants, biota, andwater. Water means salt and fresh water, surface andground water, including water used for drinking,irrigation, aquaculture, and recreational purposes, aswell as in its capacity as fish and wildlife habitat,including coral reef ecosystems as defined in 16 U.S.C.64501. Land means soil, surface and subsurfaceminerals, and other terrestrial features.

National Response Center. A national communicationscenter for activities related to oil and hazardous substanceresponse actions. The National Response Center, locatedat DHS/USCG Headquarters in Washington, DC, receivesand relays notices of oil and hazardous substances releasesto the appropriate Federal OSC.

National Response System. Pursuant to the NCP, themechanism for coordinating response actions by alllevels of government (40 CFR § 300.21) for oil andhazardous substances spills and releases.

National Response Team (NRT). The NRT, comprisedof the 16 Federal agencies with major environmentaland public health responsibilities, is the primaryvehicle for coordinating Federal agency activities underthe NCP. The NRT carries out national planning andresponse coordination and is the head of a highlyorganized Federal oil and hazardous substanceemergency response network. EPA serves as the NRTChair, and DHS/USCG serves as Vice Chair.

National Security and Emergency Preparedness (NS/EP)Telecommunications. NS/EP telecommunicationsservices are those used to maintain a state of readiness orto respond to and manage any event or crisis (local,national, or international) that causes or could causeinjury or harm to the population or damage to or loss ofproperty, or could degrade or threaten the NS/EP postureof the United States.

National Special Security Event (NSSE). A designatedevent that, by virtue of its political, economic, social, orreligious significance, may be the target of terrorism orother criminal activity.

National Strike Force. The National Strike Forceconsists of three strike teams established by DHS/USCGon the Pacific, Atlantic, and Gulf coasts. The striketeams can provide advice and technical assistance foroil and hazardous substances removal, communicationssupport, special equipment, and services.

Nongovernmental Organization (NGO). A nonprofitentity that is based on interests of its members,individuals, or institutions and that is not created by agovernment, but may work cooperatively withgovernment. Such organizations serve a publicpurpose, not a private benefit. Examples of NGOsinclude faith-based charity organizations and theAmerican Red Cross.

Nuclear Incident Response Team (NIRT). Created bythe Homeland Security Act to provide DHS with anuclear/radiological response capability. Whenactivated, the NIRT consists of specialized Federalresponse teams drawn from DOE and/or EPA. These

teams may become DHS operational assets providingtechnical expertise and equipment when activatedduring a crisis or in response to a nuclear/radiologicalincident as part of the DHS Federal response.

On-Scene Coordinator (OSC). See Federal On-SceneCoordinator.

Pollutant or Contaminant. As defined in the NCP,includes, but is not limited to, any element, substance,compound, or mixture, including disease-causingagents, which after release into the environment andupon exposure, ingestion, inhalation, or assimilationinto any organism, either directly from theenvironment or indirectly by ingestion through foodchains, will or may reasonably be anticipated to causedeath, disease, behavioral abnormalities, cancer, geneticmutation, physiological malfunctions, or physicaldeformations in such organisms or their offspring.

Preparedness. The range of deliberate, critical tasksand activities necessary to build, sustain, and improvethe operational capability to prevent, protect against,respond to, and recover from domestic incidents.Preparedness is a continuous process involving effortsat all levels of government and between governmentand private-sector and nongovernmental organizationsto identify threats, determine vulnerabilities, andidentify required resources.

Prevention. Actions taken to avoid an incident or tointervene to stop an incident from occurring.Prevention involves actions taken to protect lives andproperty. It involves applying intelligence and otherinformation to a range of activities that may includesuch countermeasures as deterrence operations;heightened inspections; improved surveillance andsecurity operations; investigations to determine the fullnature and source of the threat; public health andagricultural surveillance and testing processes;immunizations, isolation, or quarantine; and, asappropriate, specific law enforcement operations aimedat deterring, preempting, interdicting, or disruptingillegal activity and apprehending potential perpetratorsand bringing them to justice.

Principal Federal Official (PFO). The Federal officialdesignated by the Secretary of Homeland Security toact as his/her representative locally to oversee,

coordinate, and execute the Secretary’s incidentmanagement responsibilities under HSPD-5 forIncidents of National Significance.

Private Sector. Organizations and entities that are notpart of any governmental structure. Includes for-profitand not-for-profit organizations, formal and informalstructures, commerce and industry, private emergencyresponse organizations, and private voluntaryorganizations.

Public Assistance Program. The program administeredby FEMA that provides supplemental Federal disastergrant assistance for debris removal and disposal,emergency protective measures, and the repair,replacement, or restoration of disaster-damaged,publicly owned facilities and the facilities of certainprivate nonprofit organizations.

Public Health. Protection, safety, improvement, andinterconnections of health and disease preventionamong people, domestic animals and wildlife.

Public Information Officer (PIO). A member of theCommand Staff responsible for interfacing with thepublic and media or with other agencies with incident-related information requirements.

Public Works. Work, construction, physical facilities,and services provided by governments for the benefitand use of the public.

Radiological Emergency Response Teams (RERTs).Teams provided by EPA’s Office of Radiation andIndoor Air to support and respond to incidents or sitescontaining radiological hazards. These teams provideexpertise in radiation monitoring, radionuclideanalyses, radiation health physics, and risk assessment.RERTs can provide both mobile and fixed laboratorysupport during a response.

Recovery. The development, coordination, andexecution of service- and site-restoration plans forimpacted communities and the reconstitution ofgovernment operations and services throughindividual, private-sector, nongovernmental, and publicassistance programs that: identify needs and defineresources; provide housing and promote restoration;address long-term care and treatment of affected


persons; implement additional measures forcommunity restoration; incorporate mitigationmeasures and techniques, as feasible; evaluate theincident to identify lessons learned; and developinitiatives to mitigate the effects of future incidents.

Regional Emergency Transportation Coordinator(RETCO). A senior-level executive from a DOToperating administration who is predesignated by DOTorder to serve as the regional representative of theSecretary of Transportation for emergencytransportation preparedness and response, includingoversight of ESF #1. Depending upon the nature andextent of the disaster or major incident, the Secretarymay designate another official in this capacity.

Regional Response Teams (RRTs). Regionalcounterparts to the National Response Team, the RRTscomprise regional representatives of the Federalagencies on the NRT and representatives of each Statewithin the region. The RRTs serve as planning andpreparedness bodies before a response, and providecoordination and advice to the Federal OSC duringresponse actions.

Resources. Personnel and major items of equipment,supplies, and facilities available or potentially availablefor assignment to incident operations and for whichstatus is maintained. Resources are described by kindand type and may be used in operational support orsupervisory capacities at an incident or at an EOC.

Response. Activities that address the short-term, directeffects of an incident. Response includes immediateactions to save lives, protect property, and meet basichuman needs. Response also includes the execution ofemergency operations plans and of incident mitigationactivities designed to limit the loss of life, personalinjury, property damage, and other unfavorableoutcomes. As indicated by the situation, responseactivities include: applying intelligence and otherinformation to lessen the effects or consequences of anincident; increased security operations; continuinginvestigations into the nature and source of the threat;ongoing public health and agricultural surveillance andtesting processes; immunizations, isolation, orquarantine; and specific law enforcement operationsaimed at preempting, interdicting, or disrupting illegalactivity, and apprehending actual perpetrators andbringing them to justice.

Senior Federal Official (SFO). An individual representinga Federal department or agency with primary statutoryresponsibility for incident management. SFOs utilizeexisting authorities, expertise, and capabilities to aid inmanagement of the incident working in coordinationwith other members of the JFO Coordination Group.

Shared Resources (SHARES) High Frequency RadioProgram. SHARES provides a single, interagencyemergency message handling system by bringingtogether existing HF radio resources of Federal, State,and industry organizations when normalcommunications are destroyed or unavailable for thetransmission of NS/EP information.

Situation Assessment. The evaluation andinterpretation of information gathered from a varietyof sources (including weather information andforecasts, computerized models, GIS data mapping,remote sensing sources, ground surveys, etc.) that,when communicated to emergency managers anddecisionmakers, can provide a basis for incidentmanagement decisionmaking.

State. Any State of the United States, the District ofColumbia, the Commonwealth of Puerto Rico, the U.S.Virgin Islands, Guam, American Samoa, theCommonwealth of the Northern Mariana Islands, andany possession of the United States. (As defined insection 2(14) of the Homeland Security Act of 2002,Public Law 107-296, 116 Stat. 2135, et seq. (2002).)

Strategic. Strategic elements of incident managementare characterized by continuous, long-term, high-levelplanning by organizations headed by elected or othersenior officials. These elements involve the adoption oflong-range goals and objectives, the setting ofpriorities, the establishment of budgets and other fiscaldecisions, policy development, and the application ofmeasures of performance or effectiveness.

Strategic Plan. A plan that addresses long-term issuessuch as impact of weather forecasts, time-phasedresource requirements, and problems such aspermanent housing for displaced disaster victims,environmental pollution, and infrastructure restoration.

Subject-Matter Expert (SME). An individual who is atechnical expert in a specific area or in performing aspecialized job, task, or skill.


Supervisor of Salvage and Diving (SUPSALV). Asalvage, search, and recovery operation established bythe Department of Navy. SUPSALV has extensiveexperience to support response activities, includingspecialized salvage, firefighting, and petroleum, oil, andlubricants offloading. SUPSALV, when available, willprovide equipment for training exercises to supportnational and regional contingency planning.

Telecommunications. The transmission, emission, orreception of voice and/or data through any medium bywire, radio, other electrical electromagnetic, or opticalmeans. Telecommunications includes all aspects oftransmitting information.

Telecommunications Service Priority (TSP) Program.The NS/EP TSP Program is the regulatory,administrative, and operational program authorizingand providing for priority treatment (i.e., provisioningand restoration) of NS/EP telecommunications services.As such, it establishes the framework for NS/EPtelecommunications service vendors to provide, restore,or otherwise act on a priority basis to ensure effectiveNS/EP telecommunications services.

Terrorism. Any activity that (1) involves an act that (a)is dangerous to human life or potentially destructive ofcritical infrastructure or key resources; and (b) is aviolation of the criminal laws of the United States or ofany State or other subdivision of the United States; and(2) appears to be intended (a) to intimidate or coerce acivilian population; (b) to influence the policy of agovernment by intimidation or coercion; or (c) toaffect the conduct of a government by massdestruction, assassination, or kidnapping.

Threat. An indication of possible violence, harm, ordanger.

Transportation Management. Transportationprioritizing, ordering, sourcing, and acquisition; time-phasing plans; fleet management; and movementcoordination and tracking.

Tribe. Any Indian tribe, band, nation, or otherorganized group or community, including any AlaskanNative Village as defined in or established pursuant tothe Alaskan Native Claims Settlement Act (85 Stat. 688)[43 U.S.C.A. and 1601 et seq.], that is recognized aseligible for the special programs and services provided

by the United States to Indians because of their statusas Indians.

Unaffiliated Volunteer. An individual who is notformally associated with a recognized voluntarydisaster relief organization; also known as a“spontaneous” or “emergent” volunteer.

Unified Command. An application of ICS used whenthere is more than one agency with incidentjurisdiction or when incidents cross politicaljurisdictions. Agencies work together through thedesignated members of the Unified Command toestablish their designated Incident Commanders at asingle ICP and to establish a common set of objectivesand strategies and a single Incident Action Plan. (Seepage 10 for discussion on DOD forces.)

United States. The term “United States,” when used in ageographic sense, means any State of the United States,the District of Columbia, the Commonwealth of PuertoRico, the U.S.Virgin Islands, Guam, American Samoa, theCommonwealth of the Northern Mariana Islands, anypossession of the United States, and any waters withinthe jurisdiction of the United States. (As defined insection 2(16) of the Homeland Security Act of 2002,Public Law 107-296, 116 Stat. 2135, et seq. (2002).)

Unsolicited Goods. Donated items offered by and/orsent to the incident area by the public, the privatesector, or other source, that have not been requested bygovernment or nonprofit disaster relief coordinators.

Urban Search and Rescue. Operational activities thatinclude locating, extricating, and providing on-sitemedical treatment to victims trapped in collapsedstructures.

Volunteer. Any individual accepted to perform servicesby an agency that has authority to accept volunteerservices when the individual performs services withoutpromise, expectation, or receipt of compensation forservices performed. (See, for example, 16 U.S.C. §742f(c) and 29 CFR § 553.101.)

Volunteer and Donations Coordination Center.Facility from which the Volunteer and DonationsCoordination Team operates. It is best situated in orclose by the State EOC for coordination purposes.Requirements may include space for a phone bank,



meeting space, and space for a team of specialists toreview and process offers.

Weapon of Mass Destruction (WMD). As defined inTitle 18, U.S.C. § 2332a: (1) any explosive, incendiary,or poison gas, bomb, grenade, rocket having apropellant charge of more than 4 ounces, or missilehaving an explosive or incendiary charge of more thanone-quarter ounce, or mine or similar device; (2) anyweapon that is designed or intended to cause death orserious bodily injury through the release,

dissemination, or impact of toxic or poisonouschemicals or their precursors; (3) any weaponinvolving a disease organism; or (4) any weapon that isdesigned to release radiation or radioactivity at a leveldangerous to human life.

Wireless Priority Service (WPS). WPS allowsauthorized NS/EP personnel to gain priority access tothe next available wireless radio channel to initiate callsduring an emergency when carrier channels may becongested.


Appendix 2

List of AcronymsAPHIS Animal and Plant Health

Inspection Service

CBO Community-Based Organization

CDRG Catastrophic Disaster Response Group

CERCLA Comprehensive Environmental Response,Compensation, and Liability Act

CERT Community Emergency Response Team

CFO Chief Financial Officer

CI/KR Critical Infrastructure/Key Resources

CMC Crisis Management Coordinator

CNMI Commonwealth of the NorthernMariana Islands

CONPLAN U.S. Government Interagency DomesticTerrorism Concept of Operations Plan

CSG Counterterrorism Security Group

DCE Defense Coordinating Element

DCO Defense Coordinating Officer

DEST Domestic Emergency Support Team

DFO Disaster Field Office

DHS Department of Homeland Security

DMAT Disaster Medical Assistance Team

DMORT Disaster Mortuary OperationalResponse Team

DOC Department of Commerce

DOD Department of Defense

DOE Department of Energy

DOI Department of the Interior

DOJ Department of Justice

DOL Department of Labor

DOS Department of State

DOT Department of Transportation

DPA Defense Production Act

DRC Disaster Recovery Center

DRM Disaster Recovery Manager

DSCA Defense Support of Civil Authorities

DTRIM Domestic Threat Reduction andIncident Management

EAS Emergency Assistance Personnel orEmergency Alert System

EOC Emergency Operations Center

EPA Environmental Protection Agency

EPCRA Emergency Planning and Community Right-to-Know Act

EPLO Emergency Preparedness Liaison Officer

EPR Emergency Preparedness and Response

ERL Environmental Research Laboratories

ERT Environmental Response Team (EPA)

ERT-A Emergency Response Team—Advance Element

ERT-N National Emergency Response Team

ESF Emergency Support Function

ESFLG Emergency Support Function Leaders Group

EST Emergency Support Team

FAS Freely Associated States

FBI Federal Bureau of Investigation

FCO Federal Coordinating Officer

FEMA Federal Emergency Management Agency

FIRST Federal Incident Response Support Team

FMC Federal Mobilization Center

FNS Food and Nutrition Service

FOC FEMA Operations Center

FOG Field Operations Guide

FRC Federal Resource Coordinator

FRERP Federal Radiological Emergency Response Plan

FRP Federal Response Plan

GAR Governor’s Authorized Representative

GIS Geographical Information System

GSA General Services Administration

HHS Department of Health and Human Services

HQ Headquarters

HSAS Homeland Security Advisory System

HSC Homeland Security Council

HSOC Homeland Security Operations Center

HSPD Homeland Security Presidential Directive

IAIP Information Analysis and Infrastructure Protection

IC Incident Command

ICP Incident Command Post

ICS Incident Command System

IIMG Interagency Incident Management Group

IMT Incident Management Team

INRP Initial National Response Plan

IOF Interim Operating Facility

ISAO Information-Sharing and Analysis Organization

JFO Joint Field Office

JIC Joint Information Center

JIS Joint Information System

JOC Joint Operations Center

JTF Joint Task Force

JTTF Joint Terrorism Task Force

MAC Entity Multiagency Coordinating Entity

MACC Multiagency Command Center

MERS Mobile Emergency Response Support

MOA Memorandum of Agreement

MOU Memorandum of Understanding

NAHERC National Animal Health Emergency Response Corps

NASA National Aeronautics and Space Administration

NAWAS National Warning System

NCP National Oil and Hazardous SubstancesPollution Contingency Plan

NCR National Capital Region

NCS National Communications System

NCTC National Counterterrorism Center

NDMS National Disaster Medical System

NEP National Exercise Program

NGO Nongovernmental Organization

NICC National Infrastructure Coordinating Center

NICC National Interagency Coordination Center

NIMS National Incident Management System

NIPP National Infrastructure Protection Plan

NIRT Nuclear Incident Response Team

NJTTF National Joint Terrorism Task Force

NMRT National Medical Response Team

NOAA National Oceanic and Atmospheric Administration

NRC Nuclear Regulatory Commission

NRCC National Response Coordination Center

NRCS Natural Resources Conservation Service

NRP National Response Plan

NRT National Response Team

NSC National Security Council

NSP National Search and Rescue Plan

NSSE National Special Security Event

NVOAD National Voluntary OrganizationsActive in Disaster

NWCG National Wildland Coordinating Group

OIA Office of the Assistant Secretary forInformation Analysis

OSC On-Scene Coordinator


OSHA Occupational Safety and Health Administration

OSLGCP Office of State and Local GovernmentCoordination and Preparedness

PCC Policy Coordination Committee

PDA Preliminary Damage Assessment

PDD Presidential Decision Directive

PFO Principal Federal Official

POC Point of Contact

RA Reimbursable Agreement

RAMP Remedial Action Management Program

RCP Regional Contingency Plan

RCRA Resource Conservation and Recovery Act

REPLO Regional Emergency Preparedness Liaison Officer

RFI Request for Information

RISC Regional Interagency Steering Committee

RRCC Regional Response Coordination Center

RRT Regional Response Team

ROC Regional Operations Center

SAC Special Agent-in-Charge

SAR Search and Rescue

SCC Secretary’s Command Center (HHS)

SCO State Coordinating Officer

SFLEO Senior Federal Law Enforcement Official

SFO Senior Federal Official

SIOC Strategic Information and Operations Center

SOG Standard Operating Guideline

SOP Standard Operating Procedure

START Scientific and Technical Advisory and Response Team

TSA Transportation Security Administration

TSC Terrorist Screening Center

US&R Urban Search and Rescue

USACE U.S. Army Corps of Engineers

USCG U.S. Coast Guard

USDA U.S. Department of Agriculture

USSS U.S. Secret Service

VMAT Veterinarian Medical Assistance Team

WAWAS Washington Area Warning System

WMD Weapons of Mass Destruction


The principal authorities that guide the structure,development, and implementation of the NRP are statutes,Executive orders, and Presidential directives. Congress hasprovided the broad statutory authority necessary for theNRP, and the President has issued Executive orders andPresidential directives to supply authority and policydirection to departments and agencies of the ExecutiveBranch. Among the major statutes, orders, and directivesrelevant to the NRP are those summarized below.

A. Statutes and Regulations

1. The Homeland Security Act of 2002, Pub. Law 107-296, 116 Stat. 2135 (2002) (codified predominantlyat 6 U.S.C. §§ 101-557 and in other scatteredsections of the U.S.C.), established the Department ofHomeland Security with the mandate and legalauthority to protect the American people from thecontinuing threat of terrorism. In the act, Congressassigned DHS the primary missions to:■ Prevent terrorist attacks within the United States;■ Reduce the vulnerability of the United States to

terrorism at home;■ Minimize the damage and assist in the recovery

from terrorist attacks that occur; and■ Act as the focal point regarding natural and

manmade crises and emergency planning.

The Homeland Security Act gives the Secretary ofHomeland Security full authority and control over theDepartment and the duties and activities performedby its personnel, and it vests the Secretary with thebroad authority necessary to fulfill the Department’sstatutory mission to protect the American homeland.This statutory authority, combined with thePresident’s direction in HSPD-5, supports the NRP’sunified, effective approach to domestic prevention,preparedness, response, and recovery activities.

Responsibilities in the Homeland Security Act ofparticular relevance to the development andexecution of the NRP include the following:

a. Preparedness of the United States for acts ofterrorism. Executed through the DHS OSLGCP,this responsibility includes coordinatingpreparedness efforts at the Federal level, and

working with State, local, tribal, parish, andprivate-sector emergency response providers onmatters pertaining to combating terrorism.

b.Response to terrorist attacks, major disasters, andother emergencies. Executed through theDirectorate of Emergency Preparedness andResponse, this responsibility includes:■ Consolidating existing Federal emergency

response plans into a single, coordinatednational response plan;

■ Building a comprehensive national incidentmanagement system to respond to such attacksand disasters;

■ Ensuring the effectiveness of emergencyresponse providers to terrorist attacks, majordisasters, and other emergencies;

■ Providing the Federal Government’s responseto terrorist attacks, major disasters, andemergencies, including managing suchresponse; and

■ Coordinating Federal response resources in theevent of a terrorist attack, major disaster, oremergency.

c. Coordination of homeland security programswith State and local government personnel,agencies, and authorities and with the privatesector. Executed through the DHS OSLGCP andthe Private Sector Office, this responsibilityincludes:■ Coordinating to ensure adequate planning,

training, and exercise activities;■ Coordinating and consolidating appropriate

Federal Government communications andsystems of communications; and

■ Distributing or coordinating the distribution ofwarnings and information.

d.Risk analysis and risk management. DHS/IAIPhas primary authority for threat and event riskanalysis and risk management within DHS,although other DHS organizations—such as theU.S. Secret Service, the OSLGCP, and the Borderand Transportation Security Directorate—alsoengage in risk management. DHS/IAIPresponsibilities include:

Appendix 3

Authorities and References


■ Analyzing and integrating information from allavailable sources to identify, assess, detect, andunderstand terrorist threats against the UnitedStates;

■ Carrying out comprehensive assessments of thevulnerabilities of the key resources and criticalinfrastructure, including risk assessments todetermine the risks posed by particular typesof terrorist attacks within the United States;

■ Identifying priorities for and recommendingprotective and support measures for suchinfrastructure by all concerned;

■ Developing a comprehensive national plan (theNational Infrastructure Protection Plan (NIPP))for securing critical infrastructure and keyresources, such as telecommunications andpower; and

■ Conducting risk assessments and vulnerabilityassessments after other agencies haveconducted those studies and ranked top itemsbased on those studies.

e. Preventing the entry of terrorists and theinstruments of terrorism into the United States.Executed through the Border and TransportationSecurity Directorate, this responsibility includes:■ Securing the borders, territorial waters, ports,

terminals, waterways, and air, land, and seatransportation systems of the United States; and

■ Carrying out immigration enforcementfunctions.

2. The Robert T. Stafford Disaster Relief and EmergencyAssistance Act, 93 Pub. L. No. 288, 88 Stat. 143(1974) (codified as amended at 42 U.S.C. §§ 5121-5206, and scattered sections of 12 U.S.C., 16 U.S.C.,20 U.S.C., 26 U.S.C., 38 U.S.C. (2002)), establishes theprograms and processes for the Federal Governmentto provide disaster and emergency assistance to States,local governments, tribal nations, individuals, andqualified private nonprofit organizations. Theprovisions of the Stafford Act cover all hazardsincluding natural disasters and terrorist events.Relevant provisions of the Stafford Act include aprocess for Governors to request Federal disaster andemergency assistance from the President. ThePresident may declare a major disaster or emergency:■ If an event is beyond the combined response

capabilities of the State and affected localgovernments; and

■ If, based on the findings of a joint Federal-State-local PDA, the damages are of sufficient severityand magnitude to warrant assistance under theact. (Note: In a particularly fast-moving orclearly devastating disaster, DHS/EPR/FEMA maydefer the PDA process until after the declaration.)

a. If an emergency involves a subject area for whichthe Federal Government exercises exclusive orpreeminent responsibility and authority, thePresident may unilaterally direct the provision ofemergency assistance under the Stafford Act. TheGovernor of the affected State will be consultedif practicable.

b.DHS/EPR/FEMA can pre-deploy personnel andequipment in advance of an imminent StaffordAct declaration to reduce immediate threats tolife, property, and public health and safety, and toimprove the timeliness of disaster response.

c. During the immediate aftermath of an incidentwhich may ultimately qualify for assistance underthe Stafford Act, the Governor of the State in whichsuch incident occurred may request the Presidentto direct the Secretary of Defense to utilize theresources of the DOD for the purpose ofperforming on public and private lands anyemergency work that is made necessary by suchincident and that is essential for the preservation oflife and property. If the President determines thatsuch work is essential for the preservation of lifeand property, the President shall grant such requestto the extent the President determines practical.Such emergency work may only be carried out fora period not to exceed 10 days.

d.The Stafford Act directs appointment of an FCOby the President. The FCO is designated by theDHS Under Secretary for Emergency Preparednessand Response to coordinate the delivery ofFederal assistance to the affected State, local, andtribal governments and disaster victims.

e. Federal agencies must avoid duplicating resourcesand benefits for disaster victims. Disaster victimsare responsible for repayment of Federal assistanceduplicated by private insurance, or other Federalprograms, or when they have been otherwisecompensated for their disaster-related losses.


f. All authorities under the Stafford Act granted to theSecretary of Homeland Security in the HomelandSecurity Act have been redelegated to the UnderSecretary of EPR through Delegation No. 9001.

3. The Public Health Security and BioterrorismPreparedness and Response Act of 2002, Pub. L. No.107-188, 116 Stat. 294 (2002) (codified inscattered sections of 7 U.S.C., 18 U.S.C., 21 U.S.C.,29 U.S.C., 38 U.S.C., 42 U.S.C., and 47 U.S.C.(2002)), is designed to improve the ability of theUnited States to prevent, prepare for, and respond tobioterrorism and other public health emergencies.Key provisions of the act, 42 U.S.C. § 247d and §300hh among others, address the development of anational preparedness plan by HHS designed toprovide effective assistance to State and localgovernments in the event of bioterrorism or otherpublic health emergencies; operation of the NationalDisaster Medical System to mobilize and addresspublic health emergencies; grant programs for theeducation and training of public health professionalsand improving State, local, and hospital preparednessfor and response to bioterrorism and other publichealth emergencies; streamlining and clarifyingcommunicable disease quarantine provisions;enhancing controls on dangerous biological agentsand toxins; and protecting the safety and security offood and drug supplies.

4. The Defense Production Act of 1950, 64 Stat. 798(1950) (codified as amended by the DefenseProduction Act Reauthorization of 2003, Pub. L.108-195, 117 Stat. 2892 (2003) at 50 U.S.C. app.§§ 2061-2170 (2002)), is the primary authorityto ensure the timely availability of resources fornational defense and civil emergency preparednessand response. Among other things, the DPAauthorizes the President to demand that companiesaccept and give priority to government contractsthat the President “deems necessary or appropriateto promote the national defense.” The DPA defines“national defense” to include critical infrastructureprotection and restoration, as well as activitiesauthorized by the emergency preparedness sectionsof the Stafford Act. Consequently, DPA authoritiesare available for activities and measures undertakenin preparation for, during, or following a naturaldisaster or accidental or man-caused event. TheDepartment of Commerce has redelegated DPA

authority under Executive Order 12919, NationalDefense Industrial Resource Preparedness, June 7,1994, as amended, to the Secretary of HomelandSecurity to place and, upon application, toauthorize State and local governments to placepriority-rated contracts in support of Federal, State,and local emergency preparedness activities.

5. The Economy Act, 31 U.S.C. §§ 1535-1536(2002), authorizes Federal agencies to providegoods or services on a reimbursable basis to otherFederal agencies when more specific statutoryauthority to do so does not exist.

6. The Posse Comitatus Act, 18 U.S.C. § 1385 (2002),prohibits the use of the Army or the Air Force forlaw enforcement purposes, except as otherwiseauthorized by the Constitution or statute. Thisprohibition applies to Navy and Marine Corpspersonnel as a matter of DOD policy. The primaryprohibition of the Posse Comitatus Act is againstdirect involvement by active duty military personnel(to include Reservists on active duty and NationalGuard personnel in Federal service) in traditionallaw enforcement activities (to include interdictionof vehicle, vessel, aircraft, or other similar activity;directing traffic; search or seizure; an arrest,apprehension, stop and frisk, or similar activity).(Note exception under the Insurrection Statutes.)Exceptions to the Posse Comitatus Act are found in10 U.S.C. §§ 331-335 (2002) and other statutes.

7. The National Emergencies Act, 50 U.S.C. §§ 1601-1651 (2003), establishes procedures for Presidentialdeclaration and termination of national emergencies.The act requires the President to identify the specificprovision of law under which he or she will act indealing with a declared national emergency andcontains a sunset provision requiring the Presidentto renew a declaration of national emergency toprevent its automatic expiration. The Presidentialdeclaration of a national emergency under the act isa prerequisite to exercising any special orextraordinary powers authorized by statute for usein the event of national emergency.

8. The Comprehensive Environmental Response,Compensation, and Liability Act, 42 U.S.C. §§9601-9675 (2002), and the Federal WaterPollution Control Act (Clean Water Act), 33 U.S.C.


§§ 1251-1387 (2002), established broad Federalauthority to respond to releases or threats ofreleases of hazardous substances and pollutants orcontaminants that may present an imminent andsubstantial danger to public health or welfare andto discharges of oil. The National Oil andHazardous Substances Pollution ContingencyPlan, 40 CFR Part 300 (2003), was developed toensure coordinated and integrated response bydepartments and agencies of the FederalGovernment to prevent, minimize, or mitigate athreat to public health or welfare posed bydischarges of oil and releases of hazardoussubstances, pollutants, and contaminants.

9. The Cooperative Forestry Assistance Act of 1978, 16U.S.C. §§ 2101-2114 (2002), authorizes the Secretaryof Agriculture to assist in the prevention and controlof rural fires, and to provide prompt assistancewhenever a rural fire emergency overwhelms, orthreatens to overwhelm, the firefighting capabilities ofthe affected State or rural area.

10. The Communications Act of 1934, 47 U.S.C. §§151-615b (2002), provides the authority to grantspecial temporary authority on an expedited basisto operate radio frequency devices. It would serveas the basis for obtaining a temporary permit toestablish a radio station to be run by a Federalagency and broadcast public serviceannouncements during the immediate aftermath ofan emergency or major disaster. 47 U.S.C. § 606(2002) provides the authority for the NCS toengage in emergency response, restoration, andrecovery of the telecommunications infrastructure.

11. The Insurrection Act, 10 U.S.C. §§ 331-335(2002). Recognizing that the primary responsibilityfor protecting life and property and maintaining lawand order in the civilian community is vested inState and local governments, the InsurrectionStatutes authorize the President to direct the armedforces to enforce the law to suppress insurrectionsand domestic violence. Military forces may be usedto restore order, prevent looting, and engage inother law enforcement activities.

12. The Defense Against Weapons of Mass DestructionAct, 50 U.S.C. §§ 2301-2368 (2003), is intended toenhance the capability of the Federal Government to

prevent and respond to terrorist incidents involvingWMD. Congress has directed that DOD providecertain expert advice to Federal, State, and localagencies with regard to WMD, to include domesticterrorism rapid response teams, training in emergencyresponse to the use or threat of use of WMD, and aprogram of testing and improving the response ofcivil agencies to biological and chemical emergencies.

13. Emergencies Involving Chemical or BiologicalWeapons. Pursuant to 10 U.S.C. § 382 (2002), inresponse to an emergency involving biological orchemical WMD that is beyond the capabilities ofcivilian authorities to handle, the Attorney Generalmay request DOD assistance directly. Assistance thatmay be provided includes identifying, monitoring,containing, disabling, and disposing of the weapon.Direct law enforcement assistance—such as conduct-ing an arrest, searching or seizing evidence of crimi-nal violations, or direct participation in the collectionof intelligence for law enforcement purposes—is notauthorized unless such assistance is necessary for theimmediate protection of human life and civilian lawenforcement officials are not capable of taking theaction, and the action is otherwise authorized.

14. Emergencies Involving Nuclear Materials. Inemergencies involving nuclear materials, 18 U.S.C. §831(e)(2002) authorizes the Attorney General torequest DOD law enforcement assistance—includingthe authority to arrest and conduct searches, withoutviolating the Posse Comitatus Act—when both theAttorney General and Secretary of Defense agree thatan “emergency situation” exists and the Secretary ofDefense determines that the requested assistance willnot impede military readiness. An emergencysituation is defined as a circumstance that poses aserious threat to the United States in which (1)enforcement of the law would be seriously impairedif the assistance were not provided, and (2) civilianlaw enforcement personnel are not capable ofenforcing the law. In addition, the statute authorizesDOD personnel to engage in “such other activity asis incident to the enforcement of this section, or tothe protection of persons or property from conductthat violates this section.”

15. Volunteer Services. There are statutory exceptionsto the general statutory prohibition against acceptingvoluntary services under 31 U.S.C. § 1342 (2002)


that can be used to accept the assistance of volunteerworkers. Such services may be accepted in“emergencies involving the safety of human life orthe protection of property.” Additionally, provisionsof the Stafford Act, 42 U.S.C. §§ 5152(a), 5170a(2)(2002), authorize the President to, with theirconsent, use the personnel of private disaster relieforganizations and to coordinate their activities.

Under the Congressional Charter of 1905, 36U.S.C. §§ 300101-300111 (2002), the AmericanRed Cross and its chapters are a single nationalcorporation. The Charter mandates that theAmerican Red Cross maintain a system of domesticand international disaster relief. The American RedCross qualifies as a nonprofit organization undersection 501(c)(3) of the Internal Revenue code.

16. The Public Health Service Act, 42 U.S.C. §§ 201 etseq. Among other things, this act provides that theSecretary of HHS may declare a public healthemergency under certain circumstances (see 42 U.S.C.§ 247d), and that the Secretary is authorized todevelop and take such action as may be necessary toimplement a plan under which the personnel,equipment, medical supplies, and other resources ofthe Department may be effectively used to controlepidemics of any disease or condition and to meetother health emergencies and problems. (See 42U.S.C. § 243.) The Public Health Service Actauthorizes the Secretary to declare a public healthemergency (42 U.S.C. 247d) and to prepare for andrespond to public health emergencies (42 U.S.C.300hh). The Secretary is further empowered toextend temporary assistance to States or localities tomeet health emergencies. During an emergencyproclaimed by the President, the President has broadauthority to direct the services of the Public HealthService (42 U.S.C. § 217). Under that section, thePresident is authorized to “utilize the [Public Health]Service to such extent and in such manner as shall inhis judgment promote the public interest.”Additionally, under 42 U.S.C. § 264, the Secretary isauthorized to make and enforce quarantine regulations“necessary to prevent the introduction, transmission,or spread of communicable diseases” from foreigncountries into the States or possessions, or from oneState or possession to another. The diseases for whicha person may be subject to quarantine must bespecified by the President through an Executive order.

17. The Veterans Affairs Emergency Preparedness Act of2002, Pub. L. No. 107-287, 116 Stat. 2024 (2002)(amending and codifying various sections of 38U.S.C.). 38 U.S.C. § 1785 (2003), if funded, directsthe VA and DOD to develop training programs forcurrent health-care personnel and thoseemergency/medical personnel in training in thecontainment of nuclear, biological, and chemicalattacks and treatment of casualties. It authorizes theSecretary of Veterans Affairs to furnish hospital careand medical services to individuals responding to,involved in, or otherwise affected by a disaster oremergency during and immediately following adisaster or emergency declared by the Presidentunder the Robert T. Stafford Disaster Relief andEmergency Assistance Act, or a disaster or emergencyin which the NDMS is activated.

18. The Atomic Energy Act of 1954, 42 U.S.C. §§ 2011-2297 (2003), and the Energy Reorganization Act of1974, 5 U.S.C. §§ 5313-5316, 42 U.S.C. §§ 5801-5891 (2002), provide the statutory authority forboth the DOE and the NRC, and the foundation forNRC regulation of the Nation’s civilian use ofbyproduct, source, and special nuclear materials toensure adequate protection of public health andsafety, to promote the common defense and security,and to protect the environment.

19. The Price-Anderson Amendments Act of 1988, Pub.L. No. 100-408, 102 Stat. 1066 (1988) (amendingthe Atomic Energy Act of 1954 and codified at 42U.S.C. §§ 2014, 2210, 2273, 2282a (2003)),provides for indemnification of governments andindividuals affected by nuclear incidents.

20. Furnishing of Health-Care Services to Members ofthe Armed Forces during a War or NationalEmergency, 38 U.S.C. § 8111A (2002). During andimmediately following a period of war, or a periodof national emergency declared by the President orthe Congress that involves the use of the ArmedForces in armed conflict, the Secretary of VeteransAffairs may furnish hospital care, nursing home care,and medical services to members of the ArmedForces on active duty. The Secretary may give ahigher priority to the furnishing of care and servicesto active duty Armed Forces than others in medicalfacilities for the Department with the exception ofveterans with service-connected disabilities.


21. The Resource Conservation and Recovery Act of1976, 42 U.S.C. §§ 6901-6986 (2002), which waspassed as an amendment of the Solid Waste DisposalAct of 1965, Pub. L. 89-272, 79 Stat. 997 (1965),gave the EPA the authority to control hazardous wastefrom “cradle to grave.” This includes the generation,transportation, treatment, storage, and disposal ofhazardous waste. RCRA also set forth a frameworkfor the management of nonhazardous wastes.

22. The Occupational Safety and Health Act, 29 U.S.C.§§ 651-678 (2002), among other things, assuressafe and healthful working conditions for workingmen and women by authorizing enforcement of thestandards developed under the act; by assisting andencouraging the States in their efforts to assure safeand healthful working conditions; and by providingfor research, information, education, and training inthe field of occupational safety and health.

23. The Maritime Transportation Security Act, Pub. L.No. 107-295, 116 Stat. 2064 (2002) (codified at 46U.S.C. §§ 70102-70117 and scattered sections of theU.S.C.), requires sectors of the maritime industry toimplement measures designed to protect America’sports and waterways from a terrorist attack.

24. Flood Control and Coastal Emergencies, 33 U.S.C. §701n (2002) (commonly referred to as Public Law84-99), authorizes the USACE an emergency fundfor preparation for emergency response to naturaldisasters, flood fighting and rescue operations,rehabilitation of flood control and hurricaneprotection structures, temporary restoration ofessential public facilities and services, advanceprotective measures, and provision of emergencysupplies of water. The USACE receives funding forsuch activities under this authority from the Energyand Water Development Appropriation.

25. The Oil Pollution Act of 1990, Pub. L. No. 101-380, 104 Stat. 484 (1990) (codified as amended at33 U.S.C. §§ 1203, 1223, 1321, 2701-2761 andvarious other sections of the U.S.C. (2002)),improves the Nation’s ability to prevent andrespond to oil spills by establishing provisions thatexpand the Federal Government’s ability andprovides the money and personnel necessary torespond to oil spills. The act also created thenational Oil Spill Liability Trust Fund.

26. The Clean Air Act, 42 U.S.C. §§ 7401-7671q(2002) and 40 CFR § 80.73 (2003). The EPA maytemporarily permit a refiner, importer, or blenderto distribute nonconforming gasoline inappropriate extreme or unusual circumstances(e.g., an Act of God) that could not have beenavoided. EPA may seek DOE’s advice on fuel supplysituations when deciding whether to grant arequest to distribute nonconforming gasoline.

27. The Public Utilities Regulatory Policies Act of 1978,Pub. L. No. 95-617, 92 Stat. 3117 (1978) (codifiedat scattered sections of 15 U.S.C., 16 U.S.C., 30 U.S.C.,42 U.S.C., 43 U.S.C. (2002)), and the Powerplantand Industrial Fuel Use Act of 1978, Pub. L. No. 95-620, 92 Stat. 3289 (1978) (codified as amended at42 U.S.C. §§ 8301-8484 (2002)). The President hasauthority to prohibit any powerplant or major fuel-burning installation from using natural gas orpetroleum as a primary fuel during an emergency.

28. The Federal Power Act, 16 U.S.C. §§ 791a-828c,824a(c) (2002), 10 CFR § 205.370 (2003). TheSecretary of Energy has authority in an emergency toorder temporary interconnections of facilities and/orthe generation and delivery of electric power.

29. The Department of Energy Organization Act, Pub.L. No. 95-91, 91 Stat. 567 (1977) (codifiedpredominantly at 42 U.S.C. §§ 7101-7385o(2002)), and the Federal Power Act, 16 U.S.C. §§791a-828c (2002), 10 CFR §§ 205.350, 205.353(2003). DOE has authority to obtain currentinformation regarding emergency situations on theelectric supply systems in the United States.

30. The Department of Energy Organization Act, Pub.L. No. 95-91, 91 Stat. 567 (1977) (codifiedpredominantly at 42 U.S.C. §§ 7101-7385o(2002)), 10 CFR §§ 205.350, 205.353 (2003), andthe Federal Energy Administration Act of 1974, 15U.S.C. §§ 761-790h (2002). DOE and the NationalAssociation of State Energy Officials (NASEO) haveagreed that DOE will develop, maintain, anddistribute a contact list of State and Federalindividuals responsible for energy market assessmentand energy emergency responses, and that the Stateswill participate in the effort by providing timelyassessments of energy markets to DOE and otherStates in the event of an energy supply disruption.



31. The Energy Policy and Conservation Act, 42 U.S.C.§§ 6201-6422 (2002), as amended by the EnergyPolicy Act of 1992, Pub. L. No. 102-486, 106 Stat.2776 (1992) (as amended and codified inscattered sections of the U.S.C.). The President may,in an emergency, order Federal buildings to closeand/or conserve energy.

32. Transportation of Hazardous Material, 49 U.S.C.§§ 5101-5127 (2002). Improves the regulatoryand enforcement authority of the Secretary ofTransportation to provide adequate protectionagainst the risks to life and property inherent in thetransportation of hazardous material in commerce.

33. The Ports and Waterways Safety Act of 1978, Pub.L. No. 95-474, 92 Stat. 1471 (1978) (amendingPub. L. No. 92-340 and codified at 33 U.S.C. §§1222-1232 and 46 U.S.C. §§ 214, 391a (2002)).The Secretary of Homeland Security has authorityto establish vessel traffic systems for ports, harbors,and other navigable waterways, and to controlvessel traffic in areas determined to be hazardous(e.g., due to vessel congestion). In such emergencysituations, DOE may be asked to advise the U.S.Coast Guard on “priority” vessel movements toexpedite delivery of needed energy supplies.

34. The Energy Policy and Conservation Act, 42 U.S.C.§§ 6231-6247 (2002). DOE is authorized tocreate and maintain a Strategic Petroleum Reserve(SPR) and the President is authorized to order adrawdown of the Reserve in emergencycircumstances defined in the act.

35. The Energy Policy and Conservation Act, 42 U.S.C.§§ 6250c (2002). DOE is authorized to create andmaintain a Northeast Home Heating Oil Reserveand the President is authorized to order adrawdown of the reserve in emergencycircumstances defined in the act.

36. The Natural Gas Policy Act of 1978, 15 U.S.C. §§3301-3432 (2002). DOE can order any interstatepipeline or local distribution company served byan interstate pipeline to allocate natural gas inorder to assist in meeting the needs of high-priority consumers during a natural gas emergency.

37. The Powerplant and Industrial Fuel Use Act of1978, 42 U.S.C. §§ 8301-8484 (2002). ThePresident has authority to allocate coal (and requirethe transportation of coal) for the use of anypowerplant or major fuel-burning installationduring an energy emergency.

38. The Low Income Home Energy Assistance Act of1981, 42 U.S.C. §§ 8621-8629 (2002). HHS hasdiscretionary funds available for distribution underthe Low Income Home Energy Assistance Program(LIHEAP), according to the criteria that relate tothe type of emergency that precipitates their need.DOE may advise HHS on the fuel supply situationfor such emergency funding.

39. The Small Business Act, 15 U.S.C. §§ 631-651e(2002). The mission of the Small BusinessAdministration is to maintain and strengthen theNation’s economy by aiding, counseling, assisting, andprotecting the interests of small businesses and byhelping families and businesses recover from incidentssuch as major disasters, emergencies, and catastrophes.

40. The Immigration Emergency Fund (IEF) wascreated by section 404(b)(1) of the Immigration andNationality Act. The IEF can be drawn upon toincrease INS’s enforcement activities, and toreimburse States and localities in providing assistanceas requested by the Secretary of the DHS in meetingan immigration emergency declared by the President.

41. The Animal Health Protection Act of 2002,7 U.S.C. 8310, consolidates all of the animal quarantineand related laws and replaces them with one flexiblestatutory framework. This act allows APHIS VeterinaryServices to act swiftly and decisively to protect U.S.animal health from a foreign pest or disease.

42. 28 CFR § 0.85 designates the FBI as the agencywith primary responsibility for investigating allcrimes for which it has primary or concurrentjurisdiction and which involve terrorist activities oracts in preparation of terrorist activities within thestatutory jurisdiction of the United States. Thiswould include the collection, coordination, analysis,management, and dissemination of intelligence andcriminal information as appropriate.


B. Executive Orders

1. Executive Order 12148, 44 Fed. Reg. 43239(1979), as amended by Exec. Order 13286, 68 Fed.Reg. 10619 (2003), designates DHS as the primaryagency for coordination of Federal disaster relief,emergency assistance, and emergency preparedness.The order also delegates the President’s relief andassistance functions under the Stafford Act to theSecretary of Homeland Security, with the exceptionof the declaration of a major disaster or emergency.

2. Executive Order 12656, 53 Fed. Reg. 47491(1988), Assignment of Emergency PreparednessResponsibilities, as amended by Exec. Order 13286,68 Fed. Reg. 10619 (2003), assigns lead andsupport responsibilities to each of the Federalagencies for national security emergencypreparedness. The amendment designates DHS asthe principal agency for coordinating programs andplans among all Federal departments and agencies.

3. Executive Order 13354, 69 Fed. Reg. 53589(2004), National Counterterrorism Center,establishes policy to enhance the interchange ofterrorism information among agencies and createsthe National Counterterrorism Center to serve asthe primary Federal organization in the U.S.Government for analyzing and integrating allintelligence information posed by the United Statespertaining to terrorism and counterterrorism.

4. Executive Order 13356, 69 Fed. Reg. 53599 (2004),Strengthening the Sharing of Terrorism Information toProtect Americans, requires the Director of CentralIntelligence, in consultation with the Attorney Generaland the other intelligence agency heads, to developcommon standards for the sharing of terrorism infor-mation by agencies within the Intelligence Communitywith 1) other agencies within the IntelligenceCommunity, 2) other agencies having counterterrorismfunctions, and 3) through or in coordination with theDepartment of Homeland Security, appropriate author-ities of State and local governments.

5. Executive Order 12580, 52 Fed. Reg. 2923(1987), Superfund Implementation, as amended bynumerous Executive orders, delegates to a numberof Federal departments and agencies the authorityand responsibility to implement certain provisions

of CERCLA. The policy and procedures forimplementing these provisions are spelled out inthe NCP and are overseen by the NRT.

6. Executive Order 12382, 47 Fed. Reg. 40531 (1982),as amended by numerous Executive orders, President’sNational Security Telecommunications AdvisoryCommittee (NSTAC). This order provides the Presidentwith technical information and advice on nationalsecurity telecommunications policy. Up to 30 mem-bers from the telecommunications and informationtechnology industries may hold seats on the NSTAC.

7. Executive Order 12472, 49 Fed. Reg. 13471 (1984),Assignment of National Security and EmergencyPreparedness Telecommunications Functions, asamended by Exec. Order 13286, 68 Fed. Reg. 10619(2003). This order consolidated several directivescovering NSEP telecommunications into acomprehensive document explaining the assignmentof responsibilities to Federal agencies forcoordinating the planning and provision of NSEPtelecommunications. The fundamental NSEPobjective is to ensure that the Federal Governmenthas telecommunications services that will functionunder all conditions, including emergency situations.

8. Executive Order 12742, 56 Fed. Reg. 1079 (1991),National Security Industrial Responsiveness, asamended by Exec. Order 13286, 68 Fed. Reg. 10619(2003). This order states that the United States musthave the capability to rapidly mobilize its resourcesin the interest of national security. Therefore, toachieve prompt delivery of articles, products, andmaterials to meet national security requirements, theGovernment may place orders and require priorityperformance of these orders.

9. Executive Order 13284, 68 Fed. Reg. 4075 (2003),Amendment of Executive Orders, and Other Actions,in Connection With the Establishment of theDepartment of Homeland Security. This orderamended previous Executive orders in order to makeprovisions for the establishment of DHS.

10. Executive Order 13286, 68 Fed. Reg. 10619(2003), Amendment of Executive Orders, and OtherActions, in Connection With the Transfer of CertainFunctions to the Secretary of Homeland Security.This order reflects the transfer of certain functions

to, and other responsibilities vested in, the Secretaryof Homeland Security, as well as the transfer ofcertain agencies and agency components to DHS,and the delegation of appropriate responsibilities tothe Secretary of Homeland Security.

11. Executive Order 12333, 46 Fed. Reg. 59941(1981), United States Intelligence Activities,designates DOE as part of the IntelligenceCommunity. It further defines counterintelligence asinformation gathered and activities conducted toprotect against espionage, sabotage, or assassinationsconducted for or on behalf of foreign powers,organizations or persons, or international terroristactivities. This order specifically excludes personnel,physical, document, or communications securityprograms from the definition of counterintelligence.

12. Executive Order 12919, 59 Fed. Reg. 29625 (1994),National Defense Industrial Resources Preparedness,as amended by Exec. Order 13286, 68 Fed. Reg.10619 (2003). This order delegates authorities andaddresses national defense industrial resource policiesand programs under the Defense Production Act of1950, as amended, except for the amendments toTitle III of the act in the Energy Security Act of 1980and telecommunication authorities under Exec.Order 12472, 49 Fed. Reg. 13471 (1984).

13. Executive Order 12777, 56 Fed. Reg. 54757(1991), Implementation of Section 311 of theFederal Water Pollution Control Act of October 18,1972, as amended, and the Oil Pollution Act of1990, as amended by Exec. Order 13286, 68 Fed.Reg. 10619 (2003). Implemented section 311 ofthe FWPCA as amended by OPA 90.

14. Executive Order 13295, 68 Fed. Reg. 17255 (2003),Revised List of Quarantinable CommunicableDiseases. Specifies certain communicable diseases forregulations providing for the apprehension,detention, or conditional release of individuals toprevent the introduction, transmission, or spread ofsuspected communicable diseases.

15. Executive Order 12196, 45 Fed. Reg. 12769(1980), Occupational Safety and Health Programsfor Federal Employees. This order sets the OSHAprogram guidelines for all agencies in the Executive

Branch except military personnel and uniquelymilitary equipment, systems, and operations.

C. Presidential Directives

1. Presidential Decision Directive 39: U.S. Policy onCounterterrorism, June 21, 1995, establishes policyto reduce the Nation’s vulnerability to terrorism,deter and respond to terrorism, and strengthencapabilities to detect, prevent, defeat, and managethe consequences of terrorist use of WMD; andassigns agency responsibilities.

2. Presidential Decision Directive 62: CombatingTerrorism, May 22, 1998, reinforces the missionsof Federal departments and agencies charged withroles in defeating terrorism.

3. Homeland Security Presidential Directive-1:Organization and Operation of the HomelandSecurity Council, Oct. 29, 2001. This directiveestablishes policies for the creation of the HSC,which shall ensure the coordination of allhomeland security-related activities amongexecutive departments and agencies and promotethe effective development and implementation ofall homeland security policies.

4. Homeland Security Presidential Directive-2:Combating Terrorism Through Immigration Policies,Oct. 29, 2001. This directive mandates that, byNovember 1, 2001, the Attorney General shallcreate the Foreign Terrorist Tracking Task Force, withassistance from the Secretary of State, the Directorof Central Intelligence, and other officers of theGovernment, as appropriate. The Task Force shallensure that, to the maximum extent permitted bylaw, Federal agencies coordinate programs toaccomplish the following: 1) deny entry into theUnited States of aliens associated with, suspected ofbeing engaged in, or supporting terrorist activity;and 2) locate, detain, prosecute, or deport any suchaliens already present in the United States.

5. Homeland Security Presidential Directive-3:Homeland Security Advisory System, Mar. 11, 2002.This directive establishes policy for the creation of aHomeland Security Advisory System, which shallprovide a comprehensive and effective means to



disseminate information regarding the risk ofterrorist acts to Federal, State, and local authoritiesand to the American people. Such a system wouldprovide warnings in the form of a set of graduated“Threat Conditions” that would increase as the riskof the threat increases. At each Threat Condition,Federal departments and agencies would implementa corresponding set of “Protective Measures” tofurther reduce vulnerability or increase responsecapability during a period of heightened alert.

6. Homeland Security Presidential Directive-4:National Strategy to Combat Weapons of MassDestruction, Dec. 2002. Sets forth the NationalStrategy to Combat Weapons of Mass Destructionbased on three principal pillars: (1)Counterproliferation to Combat WMD Use, (2)Strengthened Nonproliferation to Combat WMDProliferation, and (3) Consequence Management toRespond to WMD Use. The three pillars of the U.S.national strategy to combat WMD are seamlesselements of a comprehensive approach. Serving tointegrate the pillars are four cross-cutting enablingfunctions that need to be pursued on a prioritybasis: intelligence collection and analysis on WMD,delivery systems, and related technologies; researchand development to improve our ability to addressevolving threats; bilateral and multilateralcooperation; and targeted strategies against hostilestates and terrorists.

7. Homeland Security Presidential Directive-5:Management of Domestic Incidents, February 28,2003, is intended to enhance the ability of theUnited States to manage domestic incidents byestablishing a single, comprehensive nationalincident management system. In HSPD-5 thePresident designates the Secretary of HomelandSecurity as the PFO for domestic incidentmanagement and empowers the Secretary tocoordinate Federal resources used in response to orrecovery from terrorist attacks, major disasters, orother emergencies in specific cases. The directiveassigns specific responsibilities to the AttorneyGeneral, Secretary of Defense, Secretary of State, andthe Assistants to the President for Homeland Securityand National Security Affairs, and directs the headsof all Federal departments and agencies to providetheir “full and prompt cooperation, resources, andsupport,” as appropriate and consistent with their

own responsibilities for protecting national security,to the Secretary of Homeland Security, AttorneyGeneral, Secretary of Defense, and Secretary of Statein the exercise of leadership responsibilities andmissions assigned in HSPD-5. The directive alsonotes that it does not alter, or impede the ability tocarry out, the authorities of Federal departments andagencies to perform their responsibilities under law.

8. Homeland Security Presidential Directive-6:Integration and Use of Screening Information, Sept.16, 2003. In order to protect against terrorism, thisdirective establishes the national policy to: (1)develop, integrate, and maintain thorough, accurate,and current information about individuals known orappropriately suspected to be or have been engagedin conduct constituting, in preparation for, in aid of,or related to terrorism (Terrorist Information); and(2) use that information as appropriate and to thefull extent permitted by law to support (a) Federal,State, local, territorial, tribal, foreign-government,and private-sector screening processes, and (b)diplomatic, military, intelligence, law enforcement,immigration, visa, and protective processes.

9. Homeland Security Presidential Directive-7:Critical Infrastructure Identification, Prioritization,and Protection, Dec. 17, 2003. This directiveestablishes a national policy for Federaldepartments and agencies to identify and prioritizeU.S. critical infrastructure and key resources and toprotect them from terrorist attacks.

10. Homeland Security Presidential Directive-8:National Preparedness, Dec. 17, 2003. This directiveestablishes policies to strengthen the preparedness ofthe United States to prevent and respond to threatenedor actual domestic terrorist attacks, major disasters,and other emergencies by requiring a nationaldomestic all-hazards preparedness goal, establishingmechanisms for improved delivery of Federal pre-paredness assistance to State and local governments,and outlining actions to strengthen preparednesscapabilities of Federal, State, and local entities.

11. Homeland Security Presidential Directive-9:Defense of United States Agriculture and Food, Jan.30, 2004. This directive establishes a nationalpolicy to defend the agriculture and food system

against terrorist attacks, major disasters, and otheremergencies.

12. Homeland Security Presidential Directive-10:Biodefense for the 21st Century, April 28, 2004.This directive provides a comprehensive frameworkfor the Nation’s biodefense and, among otherthings, delineates the roles and responsibilities ofFederal agencies and departments in continuingtheir important work in this area.

13. National Security Directive 42: National Policy forthe Security of National Security Telecommunicationsand Information Systems, July 5, 1990. This directiveestablishes initial objectives of policies, and anorganizational structure to guide the conduct ofactivities to secure national security systems fromexploitation; establishes a mechanism for policydevelopment and dissemination; and assignsresponsibilities for implementation.



Appendix 4

Compendium of National/International Interagency Plans

Canada-United States JointInland Pollution Contingency Plan

Maintained by EPA and the Government of Canada, the Canada-United States JointInland Pollution Contingency Plan establishes a cooperative strategy for preparingfor and responding to accidental and unauthorized releases of hazardoussubstances along the shared inland border. The plan is applicable to situationswhere a release causes or could cause damage to the environment along theborder and poses a threat to public health, property, or welfare. The plan also maybe activated when only one country is affected by an incident, but requiresassistance from the other country. The plan is supported by five regional annexes.

Canada-United States JointMarine Contingency Plan

Maintained by DHS/USCG and the Government of Canada, the Canada-UnitedStates Joint Marine Contingency Plan (JCP) provides for a coordinated systemfor planning, preparedness, and responding to harmful substance incidents inthe contiguous waters of Canada and the United States. This plan is supportedby five geographic annexes. The annexes supplement the JCP and provide thebasic information necessary to execute an efficient and effective response inthe contiguous waters.

Department of Defense CivilDisturbance Plan

Maintained by DOD, this plan provides policy and responsibilities governingthe planning and response by DOD components for military assistance toFederal, State, and local government (including government of U.S.territories) and their law enforcement agencies for civil disturbances.

Federal Family Assistance Planfor Aviation Disasters

Maintained by the National Transportation Safety Board, the purpose of thisplan is to coordinate Federal assistance to victims and family members afteraviation disasters. The plan pertains to any domestic or foreign commercialaviation crash that occurs within the United States or its territories,possessions, and territorial seas.

Health and Medical ServicesSupport Plan for the FederalResponse to Acts of C/BTerrorism

Maintained by HHS, this plan provides a coordinated Federal response forurgent public health and medical care needs resulting from chemical orbiological terrorist threats or acts in the United States. This plan serves as asupporting document to ESF #8 - Public Health and Medical Services.

Joint Contingency PlanBetween the United MexicanStates and the United Statesof America Regarding Pollutionof the Marine Environment byDischarges of Hydrocarbons orOther Hazardous Substances

Maintained by DHS/USCG and the Government of Mexico, the MEXUS Planestablishes guidelines for coordinating bilateral responses to pollutionincidents that occur in, or threaten, coastal waters or areas of the borderzones between Mexico and the United States that could affect or threaten themarine environment of both parties. The MEXUS Plan outlines the jointresponse system and identifies agencies from both Mexico and the UnitedStates that will provide varying levels of support during a pollution incident.

Joint Contingency Plan of theUnited States of America andthe Russian Federation onCombating Pollution in theBering and Chukchi Seas

Maintained by DHS/USCG and the Russian Federation, this plan and itsoperational appendixes provide for coordinated and combined responses topollution incidents in the Bering and Chukchi Seas and augments pertinentnational, State, republic, regional, and local plans of the two Nations. Thisplan was updated and signed in March 2001.

Plan Description


National EmergencyResponse to aHighly ContagiousAnimal Disease

Maintained by USDA/APHIS, this plan provides the procedures and structures to detect,control, and eradicate a highly contagious disease as quickly as possible to return the UnitedStates to a contamination-free status. The plan coordinates actions by Federal, State, and localofficials in response to a suspected or actual foreign animal disease/emerging disease incident.Highly contagious diseases are those diseases rapidly spreading from animal to animal as wellas herd to herd. Transmission can occur via direct and indirect modes; has above normalmorbidity/mortality per unit time; and could be based on species or production.

National Oil andHazardousSubstancesPollutionContingency Plan

Maintained by the EPA in coordination with the NRT, the NCP provides the organizationalstructure and procedures for preparing for and responding to discharges of oil and releases ofhazardous substances, pollutants, and contaminants. To achieve this objective, the NCPestablishes the NRT, RRTs, and local Area Committees to coordinate planning and preparednessefforts. Federal OSCs coordinate response activities at the incident site. The NCP applies to oildischarges into or on the navigable waters of the United States (including adjoining shorelinesand into the exclusive economic zone) and to releases into the environment of hazardoussubstances, and pollutants or contaminants that may present an imminent and substantialdanger to public health or welfare.

National Plan forTelecommunicationsSupport in Non-WartimeEmergencies

Maintained by the Office of Science and Technology Policy, the National Plan forTelecommunications Support in Non-Wartime Emergencies provides procedures for planningand using national telecommunications assets and resources in support of non-wartimeemergencies, including those covered by the Disaster Relief Act of 1974, in Presidentiallydeclared emergencies and major disasters, extraordinary situations, and other emergencies.

National Search andRescue Plan

The National Search and Rescue Plan (NSP) is maintained by the National Search and RescueCommission. The NSP provides an overall plan for the interagency coordination of civil searchand rescue (SAR) operations to help the United States satisfy its humanitarian, national, andinternational SAR-related obligations. The plan assigns coordination and response responsibilitiesto DHS/USCG for aeronautical and maritime SAR within oceanic SAR regions for which theUnited States has primary responsibility. This plan covers maritime, aeronautical, and land civilSAR operations; delivery of survivors to a place of safety; and the saving of property when it canbe done in conjunction with the saving of lives. The NSP is solely intended to provide internalguidance to all signatory Federal agencies. The plan is not intended to conflict with SARresponsibilities in international instruments to which the United States is or may become a party.

U.S. Department ofHealth and HumanServices Concept ofOperations Plan(CONOPS) for PublicHealth and MedicalEmergencies

Maintained by HHS, this plan establishes a framework for the management of public healthand medical emergencies and events that require assistance from HHS. This plan covers allevents and activities (e.g., preparedness, response, recovery, etc.) deemed by the Secretary ofHHS, or his/her designee, to require a coordinated Departmental response. HHS hasprimary responsibility for public health and medical emergency planning, preparations,response, and recovery in which one or more of the following apply: local, State, or tribalresources are insufficient to address all of the public health needs; the resources of State,local, or tribal public health and/or medical authorities are overwhelmed and HHSassistance has been requested by the appropriate health authorities; or a Federal departmentor agency acting under its own authority has requested the assistance of HHS. Publichealth and medical emergencies addressed by this plan include those resulting from naturaland man-made disasters, terrorist threats, infectious disease outbreaks and pandemics, andany other circumstance that creates an actual or potential public health or medicalemergency where Federal assistance may be necessary.

Plan Description

1. The Department of Homeland Security HomelandSecurity Operations Center (DHS HSOC)continually monitors potential major disasters andemergencies. When advance warning is possible,DHS may deploy and may request other Federalagencies to deploy liaison officers and personnel toa State Emergency Operations Center (EOC) toassess the emerging situation. An RRCC may beactivated, fully or partially. Facilities, such asmobilization centers, may be established toaccommodate personnel, equipment, and supplies.

2. Immediately after an incident, local jurisdictionsrespond using available resources and notify Stateresponse elements. As information emerges, theyalso assess the situation and the need for Stateassistance. The State reviews the situation,mobilizes State resources, and informs theDHS/EPR/FEMA Regional Office of actions taken.The Governor activates the State emergencyoperations plan, proclaims or declares a state ofemergency, and requests a State/DHS jointPreliminary Damage Assessment (PDA) todetermine if sufficient damage has occurred tojustify a request for a Presidential declaration of amajor disaster or emergency. Based upon theresults of the PDA, the Governor may request aPresidential declaration and defines the kind ofFederal assistance needed. At this point, an initialassessment is also conducted of losses avoidedbased on previous mitigation efforts.

3. After the major disaster or emergency declaration, anRRCC, staffed by regional personnel, coordinatesinitial regional and field activities such as deploymentof an ERT-A. The ERT-A assesses the impact of theevent, gauges immediate State needs, and makespreliminary arrangements to set up operational fieldfacilities. (If regional resources appear to beoverwhelmed or if the event has potentially significantconsequences, DHS may deploy an ERT-N.)

4. Depending on the scope and impact of the event,the NRCC, comprised of Emergency SupportFunction (ESF) representatives and DHS/EPR/FEMAsupport staff, carries out initial activation andmission assignment operations and supports theRRCC from DHS/EPR/FEMA.

5. A Federal Coordinating Officer (FCO), appointed bythe Secretary of Homeland Security on behalf of thePresident, coordinates Federal support activities. TheFCO works with the State Coordinating Officer(SCO) to identify requirements. A Principal FederalOfficial (PFO) also may be designated as theSecretary’s representative to coordinate overallFederal interagency incident management efforts.

6. The ERT works with the affected State and conductsfield operations from the JFO. ESF primaryagencies assess the situation and identifyrequirements and help States respond effectively.Federal agencies provide resources underDHS/EPR/FEMA mission assignment or their ownauthority.

7. The IIMG convenes when needed to providestrategic-level coordination and frame courses ofaction regarding various operational and policyissues. The HSOC supports the IIMG andcoordinates with the JFO.

8. Teleregistration activates a toll-free telephonenumber individuals can call to apply for disasterassistance. A toll-free disaster helpline is establishedto answer common questions. One or more DRCsmay be opened where individuals can obtaininformation about disaster assistance, advice, andcounsel. Individual applicants are processed at theDHS/EPR/FEMA National Processing Center.Inspectors verify losses and provide documentationused to determine the types of disaster assistance tobe granted to individuals and families.


Appendix 5

Overview of Initial Federal Involvement Under the Stafford ActThis overview illustrates actions Federal agencies likely will take to assist State and local governments that areoverwhelmed by a major disaster or emergency. Key operational components that could be activated include theInteragency Incident Management Group (IIMG), National Response Coordination Center (NRCC), RegionalResponse Coordination Center (RRCC), Emergency Response Team–Advance Element (ERT-A), National EmergencyResponse Team (ERT-N), Joint Field Office (JFO), and Disaster Recovery Center (DRC).


9. As immediate response priorities are met, recoveryactivities begin. Federal and State agencies assistingwith recovery and mitigation activities convene todiscuss State needs.

10. Public Assistance Applicant Briefings are conductedfor local government officials and certain privatenonprofit organizations to inform them of availableassistance and how to apply. Applicants must first filea Request for Public Assistance. Eligible applicantswill be notified and will define each project on aProject Worksheet, which details the scope of damageand a cost estimate for repair to a pre-disastercondition. The Project Worksheet is used as the basisfor obligating funds to the State for eligible projects.

11. Throughout response and recovery, mitigation staffat the JFO examine ways to maximize mitigationmeasures in accordance with State hazard

mitigation administrative plans. Grounded in thelocal risk, and with State priorities and mitigationplans in place, DHS/EPR/FEMA and State officialscontact local officials to identify potential projectsand suggest which ones should be included in anearly implementation strategy. The strategy focuseson viable opportunities to provide funds, technicalassistance, and staff support to incorporatemitigation into the overall community recovery, toinclude the repair and replacement of damaged ordestroyed housing and infrastructure.

12. As the need for full-time interagency coordinationat the JFO ceases, the ERT plans for selective releaseof Federal resources, demobilization, and closeout.Federal agencies then work directly with theirgrantees from their regional or HQ offices toadminister and monitor individual recoveryprograms, support, and technical services.


Federal Assistance

IncidentOccurs

Homeland Security Ops Center

Monitors threats & potential incidents

NRP ResourcesMay deploy in advance

of imminent danger

FIGURE 11. Overview of initial Federal involvement under the Stafford Act

Activates

Joint Field OfficeProvides coordination of Federal resources

Delivers

Activates


or other elementsDeployed as necessary

DHS and othersImplement National

Response Plan

Activates

PresidentDeclares major disaster

or emergency

Alerts

Requests aid from

PreliminaryDamageAssessment & requestsPresidentialdeclaration

Reportsto

May convene

Interagency Incident

Management GroupFrames operationalcourses of action

Secretary, DHSReviews situation,

assesses need for disasterdeclaration & activation

of NRP elements


Evaluates situation

GovernorActivates State EOC

Mayor/CountyExecutive

Activates local EOC

Local FirstResponders

Arrive first at scene

Recommends

1. Federal departments and agencies routinely managethe response to incidents that do not rise to thelevel of an Incident of National Significance. Whena Federal entity with primary responsibility andstatutory authority for handling an incidentrequires assistance beyond its normal operations(for an incident that is not determined to be anIncident of National Significance), that agency mayrequest DHS coordination of Federal multiagencyassistance to support incident management efforts.DHS coordinates assistance using the multiagencycoordination structures in the National ResponsePlan (NRP). Generally, the requesting agencyprovides funding for the incident in accordancewith provisions of the Economy Act, unless otherstatutory authorities exist.

2. To initiate Federal-to-Federal support, requests forassistance are submitted to the DHS ExecutiveSecretary (via the Homeland Security OperationsCenter (HSOC)) for consideration and approval.Requests should include a summary of thesituation, types and amount of resources needed,financial information, and any other appropriateinformation.

3. Upon approval of the request, the Secretary ofHomeland Security issues an operations order tothe HSOC. The HSOC, through the NRCC,coordinates the activation of the appropriateEmergency Support Functions (ESFs). Additionally,the Secretary of Homeland Security designates aFederal Resource Coordinator (FRC) to serve as theSecretary's representative in the field to manageFederal resource support. A Principal Federal

Official (PFO) also may be designated as theSecretary's representative to coordinate overallFederal interagency incident management efforts.

4. The requesting agency designates a Senior FederalOfficial (SFO) to work in coordination with theFRC to identify support requirements.

5. The requesting agency also provides Comptrollersto the NRCC, RRCC, and JFO, as appropriate, tooversee financial management activities.

6. An RRCC may be activated, fully or partially, tofacilitate the deployment of resources until a JFO isestablished. Facilities, such as mobilization centers,may be established to accommodate personnel,equipment, and supplies.

7. Federal agencies provide resources underinteragency reimbursable agreements (RAs) ortheir own authority.

8. Once established, the JFO serves as the focal pointfor coordinating Federal assistance to therequesting agency and incident commandstructures on-scene.

9. As needed, the IIMG convenes to provide strategic-level coordination and frame courses of actionregarding various operational and policy issues.

10. As the need for full-time interagency coordinationat the JFO ceases, the JFO Coordination Groupplans for selective release of Federal resources,demobilization, and closeout.


Appendix 6

Overview of Federal-to-Federal Support in Non-Stafford Act SituationsThis overview illustrates actions DHS and Federal agencies likely take to support a Federal department or agency thathas requested DHS assistance to appropriately handle an incident under their jurisdiction. Key operationalcomponents that could be activated include the Interagency Incident Management Group (IIMG), National ResponseCoordination Center (NRCC), Regional Response Coordination Center (RRCC), and Joint Field Office (JFO).


* Incident not otherwise determined to be an Incident of National Significance

Federal Assistance

Incident orPotentialIncident*

FIGURE 12. Overview of Federal-to-Federal support in non-Stafford Act situations

Joint Field OfficeProvides coordination of Federal resources

Delivers

Emergency Support Functionsand other elements

as needed

DHS and othersImplement National

Response Plan

Activates

ReportssituationandrequestsDHSassistance

May convene

Interagency Incident

Management GroupFrames operational courses of action

Secretary, DHSReviews situation,

assesses need for activation of NRP components,

designates FRC


Evaluates situation

Federal Agency With Primary Jurisdiction

Determines that additionalFederal support is needed

Local First RespondersLocal, State, and Federal firstresponders arrive at scene