Lesson 4: National Preparedness System

Lesson Overview

This lesson provides an introduction to the National Preparedness System.

Upon completion of this lesson, you will be able to:

  • Describe the intent of the National Preparedness System.
  • Describe the six components of the National Preparedness System.
Overview

Now that we’ve reviewed the National Preparedness Goal, the intent of the goal, its mission areas, and core capabilities, we can begin to discuss the National Preparedness System (NPS). The intent of this system is to provide the approach, resources, and tools to aid the whole community in its preparedness activities to achieve the National Preparedness Goal.

The remainder of this course presents information about each of the six components of the National Preparedness System. It is important to remember that these components are not necessarily linear steps. Efforts within a given component may be ongoing, take place concurrently with other components, or be repeated based on the outcomes from an earlier component.

 

Preparedness System Cycle with the following six major components: (1) Identifying and Assessing Risk, (2) Estimating Capability Requirements, (3) Building and Sustaining Capabilities, (4) Planning to Deliver Capabilities, (5) Validating Capabilities, and (6) Reviewing and Updating
Preparedness Resource Library

We encourage you to review and become familiar with the following documents that support this course:

Identifying and Assessing Risk

The first component of the National Preparedness System is Identifying and Assessing Risk. A risk assessment collects information regarding threats and hazards and includes the projected consequences or impacts.

Knowledge of these risks allows a community to make informed decisions about how to manage risk and develop needed capabilities.

Smaller representation of the Preparedness System Cycle with the first component highlighted and labeled 1 Threat and Hazard Identification and Risk Assessment
The Threat and Hazard Identification and Risk Assessment (THIRA) process supports the Identifying and Assessing Risk component by providing a common, consistent approach that enables jurisdictions to identify and assess risks and associated impacts. THIRA incorporates the whole community in a four-step process, shown below.
Step 1: Identify the Threats and Hazards of ConcernStep 2: Give the Threats and Hazards ContextStep 3: Establish Capability TargetsStep 4: Apply the Results
THIRA process steps including: (1) Identify the threats and hazards of concern, (2) Give the threats and hazards context, (3) Establish capability targets, and (4) Apply the results.

Familiarity with the THIRA process will help you understand how this process contributes to the National Preparedness System. Click each step to find out additional information.

Smaller representation of the Preparedness System Cycle with the first component highlighted and labeled 1 THIRA Process Outputs
Each of the steps in the THIRA process has specific outputs and the process results in a list of resources needed to meet capability targets.
Smaller representation of the Preparedness System Cycle with the first component highlighted and labeled 1 THIRA Benefits and Results

The THIRA process allows communities to use a whole community approach to manage risk and to achieve desired outcomes by:

  • Identifying opportunities for prevention, protection, and mitigation
  • Informing planning efforts
  • Creating targeted applications for federal preparedness grants
  • Highlighting areas where more mutual aid agreements are needed, etc.
  • Building capabilities by investing their resources, including human, contractual, academic, research and development, local/state funds, and Federal grant funds.
Smaller representation of the Preparedness System Cycle with the first component highlighted and labeled 1 Learning More about THIRA

You can learn more about THIRA from the following source:

Estimating Capability Requirements

Once the risks have been assessed, the jurisdiction needs to understand what capabilities are required to address those risks.

Estimating Capability Requirements is the second component of the National Preparedness System. Capability estimation involves:

  • Determining the capabilities needed to address the identified risks.
  • Assessing current capability levels.
  • Identifying capabilities that should be sustained as well as gaps and shortfalls that should be addressed.

As discussed earlier in this lesson, THIRA supports estimating capability requirements by determining the capabilities needed to address the identified risks.

Smaller representation of the Preparedness System Cycle with the second component highlighted and labeled 2 Examining Current Capability Levels
Once the required resources have been determined, the jurisdiction can then examine current capability levels and consider methods to manage risk and reduce requirements. The following are examples of questions that should be asked at this point:
  • What requirements can be reduced through prevention, protection, and mitigation?
  • What resources do we currently have that should be sustained?
  • What resources are available through mutual aid or from the private sector?
  • Which resources and capabilities need to be built?
Smaller representation of the Preparedness System Cycle with the second component highlighted and labeled 2 Involving the Whole Community
Examination of current capability levels considers input from a variety of sources, including:
  • Subject-matter experts.
  • Lessons learned from exercises.
  • Past incidents.
This examination should occur in partnership with whole community partners from the private and nonprofit sectors, faith-based organizations, and community-based organizations. The result should be the identification of capabilities that should be sustained as well as gaps or shortfalls that should be addressed.
Smaller representation of the Preparedness System Cycle with the second component highlighted and labeled 2Example: Analyzing Risks and Estimating Capabilities

Now that you have a basic understanding of the relationship between THIRA and the National Preparedness System, let’s look at an example of how one jurisdiction conducted risk assessment and capability estimation using THIRA.

Through a risk assessment, the jurisdiction identified threats and hazards of concern and the potential impacts on the community. In the process, they determined they were at risk for various natural, technological, and human-caused hazards that could result in mass casualties.

Next, they considered the capabilities they would need in order to address those risks and, using THIRA, identified capability targets—what they want to achieve for each capability. One of the jurisdiction’s findings was that it needed the ability to treat 500 injured or exposed people in the first 8 hours after an incident.

They compared that target with their current capability—treatment of 400 people in 8 hours—and found they had a capability gap. The jurisdiction will use this information in deciding what actions it will take (such as engaging the private sector) to acquire the capability needed to treat an additional 100 people in the required timeframe.
Building and Sustaining Capabilities

After completing the capability estimation, the jurisdiction is ready to develop a strategy to build and sustain the needed capabilities to achieve the National Preparedness Goal and local capability targets.

Working together, planners, government officials, and elected leaders can develop strategies to obtain and allocate resources effectively. These include:

  • Leveraging the Whole Community
  • Mutual Aid
  • Resource Management
  • Training and Education

Let’s take a closer look at these strategies.

Smaller representation of the Preparedness System Cycle with the third component highlighted and labeled 3 Leveraging the Whole Community
Developing capabilities means finding, connecting to, and strengthening community resources by leveraging the expertise and capacity of:
  • Individuals and households.
  • Private and nonprofit sectors.
  • Community entities including advocacy and faith-based organizations.
  • Other levels of government.
Smaller representation of the Preparedness System Cycle with the third component highlighted and labeled 3 Whole Community Case Study: Miami-Dade C.O.R.E.

Miami-Dade County is a large, culturally diverse county that is home to approximately 2.5 million people. The Miami-Dade C.O.R.E. (Communities Organized to Respond in Emergencies) Program supports emergency management to meet the needs of the whole community.

In its initial year, C.O.R.E.:

  • Assembled a large network of resources and people including more than 250 additional community volunteers.
  • Established new methods to assist over 8,000 community members.
  • Identified facilities as potential sites for feeding, shelter, and commodity distribution.
  • Identified 65 houses of worship, community groups, and religious broadcasters to support disaster communications and language translation services.
  • Trained community leaders in the Incident Command System.
This program is an example of one initiative fostered by the U.S. Department of Homeland Security’s Center for Faith-based & Neighborhood Partnerships.
Smaller representation of the Preparedness System Cycle with the third component highlighted and labeled 3 Mutual Aid and Assistance

Jurisdictions may also choose to use mutual aid agreements to fill gaps or work with partners to develop regional capabilities. The primary objective of these types of agreements is to facilitate rapid, short-term deployment of emergency support prior to, during, and after an incident.

Additional information is available in the IS-706 NIMS Intrastate Mutual Aid course.

Smaller representation of the Preparedness System Cycle with the third component highlighted and labeled 3What Are Mutual Aid and Assistance Agreements?
Mutual aid and assistance agreements are agreements between agencies, organizations, and jurisdictions that provide a mechanism to quickly obtain emergency assistance in the form of personnel, equipment, materials, and other associated services. A signed agreement does not guarantee aid but initiates the process of identifying and classifying the need for aid Click on the types of agreements below for more information.

Click this link to access information about all types of agreements.

Smaller representation of the Preparedness System Cycle with the third component highlighted and labeled 3What Are Mutual Aid and Assistance Agreements? (continued)

Jurisdictions should be open to agreements with the appropriate entities and/or organizations (including NGOs and the private sector, where appropriate) from which they expect to receive, or to which they expect to provide, assistance. States should participate in interstate compacts and look to establish intrastate agreements that encompass all local jurisdictions. Authorized officials from each of the participating jurisdictions and/or organizations should collectively approve all mutual aid agreements and assistance agreements.

Memorandums of understanding and memorandums of agreement are needed with the private sector and NGOs, including community-based, faith-based, and national organizations such as the American Red Cross and the Salvation Army, to facilitate the timely delivery of assistance during incidents.
Smaller representation of the Preparedness System Cycle with the third component highlighted and labeled 3 What is Included in Agreements?
Agreements, preferably written, should include specify elements or provisions such as:
  • Definitions of key terms used in the agreement
  • Roles and responsibilities of individual parties
  • Procedures for requesting and providing assistance
  • Procedures, authorities, and rules for payment, reimbursement, and allocation of costs
  • Relationships with other agreements among jurisdictions

Click this link to see additional elements and provisions included in agreements.

Ultimately, a jurisdiction may need to rely on other levels of government to address a gap in capability.
Smaller representation of the Preparedness System Cycle with the third component highlighted and labeled 3 Resource Management

Organizational resources, like personnel and equipment, provide the basic tools for building and sustaining capabilities. A standardized resource management process helps jurisdictions to prepare and manage the resources needed to deliver the core capabilities.

The Resource Management component of NIMS involves three sections: Resource Management Preparedness, Resource Management During an Incident, and Mutual Aid.

Resource management preparedness involves: identifying and typing resources; qualifying, certifying and credentialing personnel; planning for resources; and acquiring, storing and inventorying resources. These activities ensure that resources are ready to mobilize when called to an incident.

Resource management during an incident involves standard methods to identify, order, mobilize and track resources. The graphic shows six primary tasks of resource management during an incident. Mutual aid involves sharing resources and services between jurisdictions or organizations.

Incident Objectives pointing down to Strategies pointing down to Tactics pointing down to circle with six steps: Identify Requirements, Order and Acquire, Mobilize, Track and Report, Demobilize, Reimburse and Restock.
Smaller representation of the Preparedness System Cycle with the third component highlighted and labeled 3 Resource Credentialing and Typing

Building and sustaining capabilities depends on having a common approach and language across mission areas. NIMS Resource Management Preparedness helps provide this common language and approach. It allows jurisdictions to inventory resources and share them through mutual aid agreements.

Qualification, Certification and Credentialing: Authorities Having Jurisdiction administer the qualification, certification and credentialing process for individuals pursuing position qualification within their jurisdiction. Nationally standardized minimum qualifications form a baseline for position qualification and certification.

Identifying and Typing Resources: resource typing defines and categorizes incident resources by capability, category, kind and type.

Together, these Resource Management Preparedness activities provide confidence that personnel and typed resources requested through mutual aid have the required capabilities in accordance with a common standard.

Smaller representation of the Preparedness System Cycle with the third component highlighted and labeled 3 Training and Education

Building and sustaining capabilities requires that all personnel and community members with roles supporting the mission areas receive the training necessary to deliver the core capabilities.

The National Training & Education System (NTES) supports the National Preparedness System by enabling the whole community to access needed training and education in support of preparedness. The NTES works with existing government training facilities, academic institutions, private organizations, and other entities that provide specialized training and education. This includes training courses provided by community colleges; state, territorial, tribal, and local public safety academies; and other facilities.

Smaller representation of the Preparedness System Cycle with the third component highlighted and labeled 3 Case Study: Training for the Whole Community

FEMA’s IS-909 course, Community Preparedness: Implementing Simple Activities for Everyone, presents program materials to support communities already engaged in, or interested in, becoming more prepared.

Materials to support new and existing neighborhood preparedness programs include 16 preparedness modules on topics ranging from preparedness on a budget to fire extinguisher operation and specific topics such as disaster planning for a pet or service animal.

In April 2012, a representative from a Dallas community-based organization reported that two people she trained using these materials were able to protect their families during violent tornadoes.

Additional information and access to the materials is available through the IS-909 course page.

Smaller representation of the Preparedness System Cycle with the third component highlighted and labeled 3 Additional Community Training Resources
Numerous programs train community members to take an active part in community preparedness. The following are examples of training resources for engaging the community. Select each link to learn more about the program.
  • Community Emergency Response Team (CERT) trains people to be better prepared to respond to emergency situations (http://www.fema.gov/community-emergency-response-teams).
  • Citizen Corps engages individuals in preparedness activities (https://www.ready.gov/citizen-corps).
  • Fire Corps supports and augments fire and emergency services through volunteers and training (http://www.firecorps.org/).
  • Medical Reserve Corps coordinates volunteer service by practicing and retired health professionals (https://mrc.hhs.gov/HomePage).
  • National Neighborhood Watch conducts Neighborhood Watch “eyes and ears” training (http://www.nnw.org/).
Click here for additional training resources.
Planning to Deliver Capabilities

Planning makes it possible to deliver the core capabilities in each mission area. Strategic and operational planning:

  • Establish priorities
  • Identify expected levels of performance and capability requirements
  • Provide the standard for assessing capabilities
  • Help stakeholders learn their roles
Smaller representation of the Preparedness System Cycle with the fourth component highlighted and labeled 4 An Integrated Approach
An integrated approach to planning helps:
  • Ensure plans are synchronized (i.e., in purpose, place, and time).
  • Promote understanding within the whole community of its roles and the desired outcomes across all mission areas.
  • Establish mutual expectations while resolving potential points of friction.
  • Determine potential resource shortfalls and foster creative strategies for addressing resource gaps.
  • Identify and coordinate the statutory authorities necessary for delivering capabilities during an emergency or imminent threat.
Smaller representation of the Preparedness System Cycle with the fourth component highlighted and labeled 4 National Planning System
The National Planning System (an element of the National Preparedness System) integrates planning efforts at all levels by providing a set of interrelated and interdependent guides and processes that:
  • Applies across the whole community and contributes to achieving the National Preparedness Goal.
  • Provides a common and layered approach for synchronized planning at all levels.
  • Establishes critical links that span across the five mission areas.
Diagram: National Planning Frameworks for mission areas; Federal Interagency Operational Plans; Regional, State, Tribal, Territorial Plans; Jurisdictional Plans (Mitigation, Emergency Operations, Recovery, COOP); Individual, Household, Business Plans
Smaller representation of the Preparedness System Cycle with the fourth component highlighted and labeled 4 National-Level Planning Documents
The key planning documents at the national level include:
  • National Planning Frameworks for the five mission areas. The frameworks are succinct, high-level descriptions for each of the five mission areas of the coordinating structures necessary to: (1) deliver the core capabilities from that mission area, and (2) support the delivery of core capabilities from the other mission areas.
  • Federal Interagency Operational Plans (FIOP) for the five mission areas. These plans are the Federal Government’s concept of operations documents. They go into more depth on how Federal agencies align resources, work together and, in some cases, how they support or complement activities that take place in the private sector and at other levels of government in the public sector. The FIOP highlights how the federal government delivers core capabilities which we discussed in the National Preparedness Goal.
  • Supporting Department-Level Operational Plans. Additional documents will describe how Federal departments and agencies will fulfill their individual responsibilities as defined in the interagency operational plans.
Graphic with the following blocks flowing from top to bottom: (1) Mission Area Frameworks; (2) Federal Interagency Operational Plans; (3) Supporting Departmental Operational Plans (4 blocks)
Smaller representation of the Preparedness System Cycle with the fourth component highlighted and labeled 4 National-Level Planning Documents (continued)

Additional information regarding the Frameworks can be found on the FEMA website:

National Planning Frameworks (http://www.fema.gov/national-planning-frameworks). This page provides links to each of the five Frameworks that are part of the National Preparedness System.

Federal Interagency Operational Plans (http://www.fema.gov/federal-interagency-operational-plans). This page provides further details about the FIOPs as well as links to the existing preparedness mission area FIOPs.

Smaller representation of the Preparedness System Cycle with the fourth component highlighted and labeled 4 Planning Guidance for the Whole Community

The National Planning System provides a unified approach and common terminology to support the implementation of the National Preparedness System through plans that support an all threats and hazards approach to preparedness. These plans—whether strategic, operational, or tactical—enable the whole community to build, sustain, and deliver the core capabilities identified in the National Preparedness Goal.

More information can be found on the National Planning System site (https://www.fema.gov/media-library-data/1454504745569-c5234d4556a00eb7b86342c869531ea0/National_Planning_System_20151029.pdf).

For example, Comprehensive Planning Guides (CPGs) provide flexible decision aids, tools, and templates that jurisdictions can use to assist with the development and integration of plans. The following CPGs are available:

Smaller representation of the Preparedness System Cycle with the fourth component highlighted and labeled 4 Case Study: Whole Community Planning

On May 22, 2011, a tornado ripped through the town of Joplin, Missouri. The Category 5 tornado killed 161 people, displaced 9,000 residents, and destroyed more than 4,000 structures while damaging another 3,000.

The town united to begin the recovery planning. At the public meeting, more than 300 citizens representing a cross-section of the community began to list the recovery actions. Basic priorities, like removing debris and laying down new pavement, combined with a vision of what Joplin could become as it rebuilt.

Joplin residents formed the Citizens Advisory Recovery Team to create a plan that represented the enthusiasm, ideas, and vision of a new Joplin. Team leaders elicited everyone’s input and persuaded more people to get involved. The goal was to ensure no one felt left out.

Involving the whole community in recovery planning has paid off and has allowed Joplin to make remarkable progress in its recovery.
Validating Capabilities

Tracking progress toward achieving the National Preparedness Goal provides justification on how and where to allocate scarce resources and prioritize preparedness activities. Possible methods for validating capabilities include:

  • Exercises
  • Training and real-world events
  • Remedial Action Management Program (RAMP)
  • Comprehensive Assessment System

Together these mechanisms provide the means to evaluate and validate current capabilities at all levels of government and to actively monitor and report progress on building, sustaining, and delivering capabilities.

Smaller representation of the Preparedness System Cycle with the fifth component highlighted and labeled 5 Exercises

Exercises can test and validate plans and capabilities by highlighting strengths and revealing gaps.

National Exercise Program (NEP)

The National Exercise Program (NEP) serves as the principal exercise mechanism for examining national preparedness and measuring readiness.

In addition to NEP exercises, numerous other exercises occur that assess and validate the capabilities of organizations, agencies, and jurisdictions. For example, businesses test their ability to maintain supply chains during emergencies, and governments test their ability to protect facilities or conduct fire and rescue operations.

Smaller representation of the Preparedness System Cycle with the fifth component highlighted and labeled 5 Homeland Security Exercise and Evaluation Program (HSEEP)

In order to ensure preparedness, personnel must exercise the capabilities. The Homeland Security Exercise and Evaluation Program (HSEEP) is a capabilities- and performance-based exercise program that provides a common approach to exercise program management, design and development, conduct, evaluation, and improvement planning.

Exercise Links

Smaller representation of the Preparedness System Cycle with the fifth component highlighted and labeled 5 Training and Real-World Events

Training and real-world events also provide essential information about a community’s progress toward achieving its desired capabilities.

Boston’s use of planned events provides an excellent example. Because special events such as the Boston Marathon can attract crowds of 1 million or more, these events provide an optimal environment to test and validate disaster plans.

Event planners, therefore, began treating special events as “planned disasters.” Agencies and organizations involved in preparing for the Marathon adopted the Incident Command System, conducted joint planning, and integrated aspects of the region’s disaster plans into the event’s operations plan. Each annual Marathon provided an opportunity to train, test, and improve their capabilities for the next event.

These preparations proved vital when bomb blasts ripped through the crowd at the 2013 Boston Marathon. Lives were saved that day because diverse agencies had used prior events to hone their abilities to work together in delivering an effective response.
Smaller representation of the Preparedness System Cycle with the fifth component highlighted and labeled 5 Lessons Learned and Corrective Actions

After testing and validating capabilities through exercises, training, real-world events, and other mechanisms, a lessons learned or corrective action program uses the information gained to identify and share lessons learned, after-action reports, and best practices when and where appropriate.

The lessons learned and corrective actions process assists in validating which core capabilities are effective, and in identifying the actions to improve, replace, or eliminate elements of capabilities that are ineffective.

Taken together, exercises, training, and real-world events, and lessons learned or corrective action program results provide the means to evaluate and validate current capabilities at all levels of government and to actively monitor and report progress on building, sustaining, and delivering capabilities. This analysis and reporting culminates in an annual National Preparedness Report. The National Preparedness Report summarizes progress in building, sustaining, and delivering the core capabilities described in the National Preparedness Goal. The report presents an opportunity to assess gains that whole community partners—including all levels of government, private and nonprofit sectors, faith-based organizations, communities, and individuals—have made in preparedness, and to identify where challenges remain.

View the National Preparedness Report (http://www.fema.gov/national-preparedness-report).

Reviewing and Updating

The implementation of the National Preparedness System will strengthen the Nation’s security and resilience.

However, the National Preparedness System does not use a static process. Changes in a community’s risks, impacts, and outcomes can and do occur as a result of various factors, including:

  • Evolving threats and hazards
  • Aging infrastructure
  • Shifts in population
  • Changes in the natural environment
  • Completion of prevention, protection, and mitigation projects
Smaller representation of the Preparedness System Cycle with the sixth component highlighted and labeled 6 Reviewing and Updating (continued)

Preparedness partners at all levels should review and update capabilities, resources, and plans on a recurring basis.

For example, the 2015 National Preparedness Report identified three new core capabilities – Environmental Response/Health and Safety, Intelligence and Information Sharing, and Operational Coordination - as meeting acceptable levels of performance but these also require sustained effort to maintain capability and meet emerging challenges.
Lesson Summary

This lesson provided an introduction to the National Preparedness System.

You should now be able to:
Course Summary

Let’s take a moment to review some of the key points presented in this course.

The Presidential Policy Directive 8 (PPD-8) calls on federal departments and agencies to work with the whole community to develop a national preparedness goal and a series of frameworks and plans related to reaching the goal.

The National Preparedness Goal sets the vision for preparedness nationwide and identifies the core capabilities necessary to achieve that vision across the five mission areas: Prevention, Protection, Mitigation, Response, and Recovery.

Each mission area described in the National Preparedness Goal includes core capabilities. These core capabilities:

  • Are distinct critical elements necessary to meet the National Preparedness Goal.
  • Are essential for the execution of each mission area: Prevention, Protection, Mitigation, Response, and Recovery.
  • Provide a common language for preparedness across the whole community.
  • Are not exclusive to any single level of government or organization.
Course Summary (continued)
The National Preparedness System outlines and describes an organized process comprised of six components to aid the whole community in its preparedness activities to achieve the National Preparedness Goal. These components include:
  • Identifying and Assessing Risk
  • Estimating Capability Requirements
  • Building and Sustaining Capabilities
  • Planning to Deliver
  • Validating Capabilities
  • Reviewing and Updating