Revised Document and Posting Date:  December 1, 2006
This document supersedes the document posted on October 30, 2006


Section 1 Metrics:  State Adoption and Infrastructure

Compliance Requirement:  Adopt NIMS at the state/territorial level for all government departments and/or agencies; as well as promote and encourage NIMS 
adoption by associations, utilities, non-governmental organizations (NGOs) and private sector incident management and response organizations.

Monitor formal adoption of NIMS by all local and tribal jurisdictions.

(Tier1) 1. Has the State/Territory formally adopted NIMS as the all-hazards, incident management system for implementation by all State/Territory-level departments and/or agencies?

[  ] Yes
[  ] No

(Tier1) If “Yes,” what legal authority was used to adopt NIMS:  [Check all that apply.]

[  ] Executive Order
[  ] Proclamation
[  ] Resolution 
[  ] Legislation
[  ] Other legal authority, explain: [			]

(Tier1) If “No,” which of the following impedes adoption:  [Check all that apply.]

[  ] Plans
[  ] Policy
[  ] Personnel
[  ] Funding
[  ] Exercise
[  ] Education
[  ] Other impediments, explain: [			]

2. For each of the following, indicate to which groups and with which methods the State/Territory has promoted and encouraged the adoption of NIMS: [Check all that apply.]

Associations (e.g., professional organization or trade associations)

[  ] Meetings(e.g.,. committees, conferences, working groups, etc.)
[  ] Mailings (e.g., newsletters, letters, etc.)
[  ] Email or other electronic means (e.g., websites)
[  ] Exercises (e.g., drills, tabletop, full-scale)
[  ] Other methods used to promote and encourage the adoption of NIMS

Critical Infrastructure

[  ] Meetings(e.g.,. committees, conferences, working groups, etc.)
[  ] Mailings (e.g., newsletters, letters, etc.)
[  ] Email or other electronic means (e.g., websites)
[  ] Exercises (e.g., drills, tabletop, full-scale)
[  ] Other methods used to promote and encourage the adoption of NIMS

Utilities (e.g., transportation, electric, water)

[  ] Meetings(e.g.,. committees, conferences, working groups, etc.)
[  ] Mailings (e.g., newsletters, letters, etc.)
[  ] Email or other electronic means (e.g., websites)
[  ] Exercises (e.g., drills, tabletop, full-scale)
[  ] Other methods used to promote and encourage the adoption of NIMS

Private sector incident management and response organizations

[  ] Meetings(e.g.,. committees, conferences, working groups, etc.)
[  ] Mailings (e.g., newsletters, letters, etc.)
[  ] Email or other electronic means (e.g., websites)
[  ] Exercises (e.g., drills, tabletop, full-scale)
[  ] Other methods used to promote and encourage the adoption of NIMS

Non-governmental organizations (NGOs)

[  ] Meetings(e.g.,. committees, conferences, working groups, etc.)
[  ] Mailings (e.g., newsletters, letters, etc.)
[  ] Email or other electronic means (e.g., websites)
[  ] Exercises (e.g., drills, tabletop, full-scale)
[  ] Other methods used to promote and encourage the adoption of NIMS

State/territorial departments and/or agencies

[  ] Meetings(e.g.,. committees, conferences, working groups, etc.)
[  ] Mailings (e.g., newsletters, letters, etc.)
[  ] Email or other electronic means (e.g., websites)
[  ] Exercises (e.g., drills, tabletop, full-scale)
[  ] Other methods used to promote and encourage the adoption of NIMS

Describe efforts made to promote and encourage NIMS adoption: [Narrative.			]

Which of the following impedes the promotion and encouragement of NIMS adoption:  [Check all that apply.]

[  ] Plans
[  ] Policy
[  ] Personnel
[  ] Funding
[  ] Training
[  ] Exercise
[  ] Education
[  ] Other impediments, explain: [			]

(Tier1) 3. Does the State/Territory monitor the formal adoption of NIMS by local/tribal jurisdictions?

[  ] Yes
[  ] No

(Tier1) If “Yes,” to what extent does the State/Territory monitor the formal adoption of NIMS for the following jurisdictions: [Select current level of effort.]

Local Jurisdictions

[  ] No effort has been made towards monitoring adoption of NIMS 
[  ] Developed procedures to monitor NIMS adoption, but local jurisdictions have NOT been monitored
[  ] All local jurisdictions have been monitored for formal NIMS adoption, and periodic monitoring is ongoing

Tribal Jurisdictions

[  ] No effort has been made towards monitoring adoption of NIMS 
[  ] Developed procedures to monitor NIMS adoption, but tribal jurisdictions have NOT been monitored
[  ] All tribal jurisdictions have been monitored for formal NIMS adoption, and periodic monitoring is ongoing

(Tier1) If “No,” explain: [			]

(Tier1) 4. In the table below, indicate the number of jurisdictions that have formally adopted NIMS: (Note: If tribal jurisdictions do not apply, indicate “N/A.”) 

Local

[	] Jurisdictions that have adopted NIMS 
[	] Total number of jurisdictions 

(Tier1) Which of the following impedes the adoption of NIMS:  [Check all that apply.]

[  ] Plans
[  ] Policy
[  ] Personnel
[  ] Funding
[  ] Training
[  ] Education
[  ] Other impediments, explain: [			]

Tribal

[	] Jurisdictions that have adopted NIMS 
[	] Total number of jurisdictions

(Tier1) Which of the following impedes the adoption of NIMS:  [Check all that apply.]

[  ] Plans
[  ] Policy
[  ] Personnel
[  ] Funding
[  ] Training
[  ] Education
[  ] Other impediments, explain: [			]

Compliance Requirement:  Establish a planning process to ensure the communication and implementation of NIMS requirements across the State/Territory, including local/tribal jurisdictions. This process must provide a means for measuring progress and facilitate reporting.

(Tier1) 5. Has the State/Territory developed a process to communicate, monitor, and implement NIMS requirements to the following: (Note: If tribal jurisdictions do not apply, indicate “N/A.”)

State/Territory

Communicate NIMS requirements

[  ] Yes
[  ] No

Develop a NIMS implementation strategy (e.g. schedules, tables, etc.)

[  ] Yes
[  ] No

Local

Communicate NIMS requirements

[  ] Yes
[  ] No

Develop a NIMS implementation strategy (e.g. schedules, tables, etc.)

[  ] Yes
[  ] No

Tribal

Communicate NIMS requirements

[  ] Yes
[  ] No
[  ] N/A

Develop a NIMS implementation strategy (e.g. schedules, tables, etc.)

[  ] Yes
[  ] No
[  ] N/A

(Tier1) Which of the following impedes establishing a process to communicate, monitor and implement NIMS requirements:  [Check all that apply.]

[  ] Plans
[  ] Policy
[  ] Personnel
[  ] Funding
[  ] Training
[  ] Education
[  ] Other impediments, explain: [			]

NEW FOR FY07 Compliance Requirement: Monitor and assess outreach and implementation of NIMS requirements across the State/Territory, including local/tribal jurisdictions.

6. Has the State/Territory monitored and assessed outreach and implementation of NIMS requirements for the following: 

State/Territory

Conduct a baseline assessment for the implementation of NIMS requirements

[  ] Yes
[  ] No
[  ] N/A

Develop a strategy for full NIMS implementation and monitoring

[  ] Yes
[  ] No
[  ] N/A

Local/Tribal

[  ] Yes
[  ] No
[  ] N/A

Develop a strategy for full NIMS implementation and monitoring

[  ] Yes
[  ] No
[  ] N/A

If “No,” which of the following impedes monitoring and assessing outreach and implementation of NIMS requirements:  [Check all that apply.]

[  ] Plans
[  ] Policy
[  ] Personnel
[  ] Funding
[  ] Training
[  ] Education
[  ] Other impediments, explain: [			]

Compliance Requirement:  Designate a single point of contact within the state/territorial government to serve as the principal coordinator for NIMS implementation statewide.

(Tier1) 7. Has the State/Territory designated a single point of contact within the state/territorial government with the authority to serve as the principal coordinator for overall statewide NIMS implementation?

[  ] Yes
[  ] No

(Tier1) If “Yes,” who has been designated?  _____________________ (Name, Title, Email Address, Phone Number, and Mailing Address)
What was the date of appointment?  _____________________

(Tier1) If “No,” when will the State/Territory designate a single point of contact for NIMS implementation? ______________ (Date)

Which of the following impedes designating a single point of contact for NIMS implementation:  [Check all that apply.]

[  ] Plans
[  ] Policy
[  ] Personnel
[  ] Funding
[  ] Training
[  ] Education
[  ] Other impediments, explain: [			]

NEW FOR FY07 Compliance Requirement: For departments and/or agencies identified within the state/territorial NIMS implementation plan, designate a single point of contact to serve as principal coordinator for NIMS implementation.

8. Has the State/Territory required departments and/or agencies identified within the state/territorial NIMS implementation plan to designate a single point of contact as principal coordinator for NIMS implementation?

[  ] Yes
[  ] No

If “Yes,” indicate in the table below the number of principal coordinators for NIMS implementation:

[	] Number of NIMS principal coordinators
[	] Total number of departments and/or agencies

If “No,” which of the following impedes designating a single point of contact for NIMS implementation:  [Check all that apply.]

[  ] Plans
[  ] Policy
[  ] Personnel
[  ] Funding
[  ] Training
[  ] Education
[  ] Other impediments, explain: [			]

Compliance Requirement:  To the extent permissible by law, ensure that Federal preparedness funding to state/territorial departments and/or agencies and tribal/local jurisdictions is linked to the satisfactory progress in meeting the requirements related to FY06 NIMS implementation requirements.

(Tier1) 9. Does the State/Territory monitor compliance with FY06 NIMS implementation requirements as a condition to distribute DHS funding and other Federal preparedness funding to the following:

State/Territorial departments and/or agencies:

(Tier1) DHS Funding

[  ] Yes
[  ] No

If “No,” explain:  [			]

Other Federal Preparedness Funding

[  ] Yes
[  ] No

If “No,” explain:  [			]

(Tier1) Which of the following impedes monitoring compliance with FY06 NIMS implementation requirements:  [Check all that apply.]

[  ] Plans
[  ] Policy
[  ] Personnel
[  ] Funding
[  ] Training
[  ] Exercise
[  ] Education
[  ] Other impediments, explain: [			]

Has the State/Territory completed NIMCAST?

[  ] Yes
[  ] No

If “No,” which of the following impedes completing NIMCAST:  [Check all that apply.]

[  ] Plans
[  ] Policy
[  ] Personnel
[  ] Funding
[  ] Exercise
[  ] Education
[  ] Other impediments, explain: [			]

Local jurisdictions:

(Tier1) DHS Funding

[  ] Yes
[  ] No

(Tier1) If “No,” explain:  [			]

Other Federal Preparedness Funding

[  ] Yes
[  ] No

If “No,” explain:  [			]

(Tier1) which of the following impedes monitoring compliance with FY06 NIMS implementation requirements:  [Check all that apply.]

[  ] Plans
[  ] Policy
[  ] Personnel
[  ] Funding
[  ] Training
[  ] Exercise
[  ] Education
[  ] Other impediments, explain: [			]

Tribal jurisdictions:

DHS Funding

[  ] Yes
[  ] No
[  ] N/A

Explain:  [			]

Other Federal Preparedness Funding

[  ] Yes
[  ] No
[  ] N/A

Explain:  [			]

Which of the following impedes monitoring compliance with FY06 NIMS implementation requirements:  [Check all that apply.]

[  ] Plans
[  ] Policy
[  ] Personnel
[  ] Funding
[  ] Training
[  ] Exercise
[  ] Education
[  ] Other impediments, explain: [			]

Compliance Requirement:  To the extent permissible by state/territorial law and regulations, audit agencies and review organizations should routinely include NIMS implementation requirements in all audits associated with Federal preparedness grant funds.  This process will validate the self-certification process for NIMS compliance.

(Tier 1) 10. Does the State/Territory review NIMS compliance as a part of grant-related state/territorial audits of:

state/territorial departments and/or agencies:

(Tier 1) DHS Funding

[  ] Yes
[  ] No

(Tier 1) Explain:  [			]

Other Federal Preparedness Funding

[  ] Yes
[  ] No

Explain:  [			]

(Tier 1) Which of the following impedes the state/territorial review of NIMS compliance for state/territorial departments and/or agencies:  [Check all that apply.]

[  ] Plans
[  ] Policy
[  ] Personnel
[  ] Funding
[  ] Training
[  ] Exercise
[  ] Education
[  ] Other impediments, explain: [			]

Local jurisdictions:

(Tier 1) DHS Funding

[  ] Yes
[  ] No

(Tier 1) Explain:  [			]

Other Federal Preparedness Funding

[  ] Yes
[  ] No

Explain:  [			]

(Tier 1) Which of the following impedes the state/territorial review of NIMS compliance for local jurisdictions:  [Check all that apply.]

[  ] Plans
[  ] Policy
[  ] Personnel
[  ] Funding
[  ] Training
[  ] Exercise
[  ] Education
[  ] Other impediments, explain: [			]

Tribal jurisdictions:

DHS Funding

[  ] Yes
[  ] No
[  ] N/A

Explain:  [			]

Other Federal Preparedness Funding

[  ] Yes
[  ] No
[  ] N/A

Explain:  [			]

Which of the following impedes the state/territorial review of NIMS compliance for tribal jurisdictions:  [Check all that apply.]

[  ] Plans
[  ] Policy
[  ] Personnel
[  ] Funding
[  ] Training
[  ] Exercise
[  ] Education
[  ] Other impediments, explain: [			]

Section 2 Metrics:  Command and Management

Compliance Requirement:  Incident Command System (ICS): Manage all emergency incidents and preplanned (recurring/special) events in accordance with ICS organizational structures, doctrine and procedures, as defined in NIMS.  ICS implementation must include the consistent application of Incident Action Planning and Common Communications Plans, as appropriate.

(Tier 1) 1. Does the State/Territory implement NIMS-prescribed ICS for all-hazards incident response?

[  ] Yes
[  ] No

(Tier 1) If “No,” which of the following impedes implementation:  [Check all that apply.]

[  ] Plans
[  ] Personnel
[  ] Funding
[  ] Education
[  ] Training
[  ] Exercise
[  ] Other impediments, explain: [			]

2. Does the State/Territory implement NIMS-prescribed ICS for managing preplanned events?

[  ] Yes
[  ] No

If “No,” which of the following impedes implementation:  [Check all that apply.]

[  ] Plans
[  ] Personnel
[  ] Funding
[  ] Education
[  ] Training
[  ] Exercise
[  ] Other impediments, explain: [			]

3. Does ICS implementation include the consistent application of incident action planning?

[  ] Yes
[  ] No

If “No,” which of the following impedes the consistent application of incident action planning:  [Check all that apply.]

[  ] Plans
[  ] Personnel
[  ] Funding
[  ] Education
[  ] Training
[  ] Exercise
[  ] Other impediments, explain: [			]

4. Does ICS implementation include the consistent application of common communications plans?

[  ] Yes
[  ] No

If “No,” which of the following impedes the consistent application of common communication plans:  [Check all that apply.]

[  ] Plans
[  ] Personnel
[  ] Funding
[  ] Education
[  ] Training
[  ] Exercise
[  ] Other impediments, explain: [			]

5. Do incident action plans incorporate the following ICS concepts::

Designation of measurable objectives

[  ] Yes
[  ] No

If “No,” explain:  [			]

Designation of command staff positions

[  ] Yes
[  ] No

If “No,” explain:  [			]

Manageable span of control

[  ] Yes
[  ] No

If “No,” explain:  [			]

Clear chain of command

[  ] Yes
[  ] No

If “No,” explain: [			]

Use of plain language

[  ] Yes
[  ] No

If “No,” explain:  [			]

6. Do common communication plans address:

Utilization of communications equipment and facilities assigned to the incident

[  ] Yes
[  ] No

If “No,” explain:  [			]

Installation of and testing of all communications equipment

[  ] Yes
[  ] No

If “No,” explain:  [			]

Supervision and operation of the incident communications

[  ] Yes
[  ] No

If “No,” explain:  [			]

Distribution and recovery of communications equipment assigned to incident personnel

[  ] Yes
[  ] No

If “No,” explain: [			]

Maintenance and repair of communications equipment on site

[  ] Yes
[  ] No

If “No,” explain:  [			]

Compliance Requirement:  Multi-agency Coordination System: Coordinate and support emergency incident and event management through the development and use of integrated multi-agency coordination systems, i.e. - develop and maintain connectivity capability between local Incident Command Posts (ICP), local 911 Centers, local Emergency Operations Centers (EOCs), the state/territorial EOC and regional/Federal EOCs and NRP organizational elements.

7. Which of the following does the State/Territory provide to encourage the use of multi-agency coordination systems (MACS):

Framework (e.g., organizational capacities, state EOPs, state disaster plans)

[  ] Yes
[  ] No

If “No,” explain:  [				]

Training Curriculum

[  ] Yes
[  ] No

If “No,” explain:  [				]

Exercises

[  ] Yes
[  ] No

If “No,” explain:  [				]

8. Does the State/Territory designate or utilize MACS for:

Preplanned Events (Recurring/Special)

[  ] Yes
[  ] No

If “Yes,” explain how a MACS has been successfully utilized to manage preplanned events:  [			]

Incident-specific Hazards

[  ] Yes
[  ] No

If “Yes,” explain how a MACS has been successfully utilized to manage incident-specific hazards:  [			]

No-notice Events

[  ] Yes
[  ] No

If “Yes,” explain how a MACS has been successfully utilized to manage no-notice events:  [			]

Specific Events

[  ] Yes
[  ] No

If “Yes,” explain how a MACS has been successfully utilized to specific events:  [				]

Which of the following impedes establishing a MACS: [Check all that apply.]

[  ] Plans 
[  ] Policy
[  ] Training
[  ] Organization
[  ] Personnel 
[  ] Funding 
[  ] Other impediments, explain: [			]

9. Which of the following primary functions is coordinated by a State/Territory MACS: [Check all that apply.]

[  ] Situation assessment
[  ] Critical resource acquisition and allocation
[  ] Local/tribal, State/Territory, and Federal disaster coordination
[  ] Coordination with elected and appointed officials
[  ] Coordination of summary information
[  ] Incident priority determination
[  ] Other functions that state/territorial MACS provide, explain: [			]

Compliance Requirement:  Public Information System: Institutionalize, within the framework of ICS, the Public Information System, comprising of the Joint Information System (JIS) and a Joint Information Center (JIC).  The Public Information System will ensure an organized, integrated, and coordinated mechanism to perform critical emergency information, crisis communications and public affairs functions which is timely, accurate, and consistent.  This includes training for designated participants from the Governor’s office and key State/Territory departments and agencies.

10. Does the state/territorial Emergency Operations Plan (EOP) include processes and procedures for utilizing a Public Information System (PIS), including establishment of a Joint Information System (JIS) and a Joint Information Center (JIC) as incidents dictate?

[  ] Yes
[  ] No

If “Yes,” how many individuals are trained in utilizing the PIS [        ] out of a total of [        ]?

If “No,” explain: [			]

Which of the following impedes the inclusion of processes and procedures for utilizing a PIS into the state/territorial EOP:  [Check all that apply.]

[  ] Plans
[  ] Personnel
[  ] Funding
[  ] Education
[  ] Training
[  ] Exercise
[  ] Other impediments, explain: [			]

NEW FOR FY07 Compliance Requirement:  Ensure that the state/territorial Public Information System can gather, verify, coordinate, and disseminate information during an incident.

11. During incidents, can the PIS gather, verify, coordinate, and disseminate the following types of information: [Check all that apply.]

Critical Emergency Information

[  ] Gather
[  ] Verify
[  ] Coordinate
[  ] Disseminate

Crisis Communication

[  ] Gather
[  ] Verify
[  ] Coordinate
[  ] Disseminate

Public Affairs

[  ] Gather
[  ] Verify
[  ] Coordinate
[  ] Disseminate

Other types of information

[  ] Gather
[  ] Verify
[  ] Coordinate
[  ] Disseminate

Section 3 Metrics:  Preparedness Planning

Compliance Requirement:  Establish the State/Territory’s NIMS baseline against the FY05 and FY06 implementation requirements.

(Tier 1) 1. Has a State/Territory-level NIMS baseline been established for FY05 and/or FY06?

[  ] Yes
[  ] No

(Tier 1) If “Yes,” what tool was used:

[  ] NIMCAST
[  ] Other, explain: [			]

(Tier 1) If “No,” explain: [			]

Which of the following impedes establishing a NIMS baseline:  [Check all that apply.]

[  ] Plans
[  ] Personnel
[  ] Funding
[  ] Education
[  ] Training
[  ] Other impediments, explain: [			]

Compliance Requirement:  Coordinate and leverage all Federal preparedness funding to implement the NIMS.

(Tier 1) 2. Has the State/Territory utilized Federal preparedness funding to improve NIMS preparedness and response activities?

[  ] Yes
[  ] No

(Tier 1) If “Yes,” indicate the Federal preparedness funding sources used:

[  ] DHS, specify funding sources: [			]
[  ] Other Federal preparedness funding

(Tier 1) If “No,” explain: [			]

(Tier 1) Which of the following impedes utilizing Federal preparedness funding to improve activities:  [Check all that apply.]

[  ] Plans
[  ] Personnel
[  ] Funding
[  ] Education
[  ] Training
[  ] Exercise
[  ] Other impediments, explain: [			]

Compliance Requirement:  Revise and update plans and SOPs to incorporate NIMS and National Response Plan (NRP) components, principles, and policies, to include planning, training, response, exercises, equipment, evaluation, and corrective actions.

(Tier 1) 3. Indicate in the table below the number of state/territorial departments and/or agencies with an emergency management or emergency response function that have incorporated NIMS into the following activities:

(Tier 1) Planning

[	] Number of departments and/or agencies that have incorporated NIMS 
[	] Total number of departments and/or agencies

(Tier 1) Training Programs

[	] Number of departments and/or agencies that have incorporated NIMS 
[	] Total number of departments and/or agencies

(Tier 1) Response Activities

[	] Number of departments and/or agencies that have incorporated NIMS 
[	] Total number of departments and/or agencies

(Tier 1) Exercise Program

[	] Number of departments and/or agencies that have incorporated NIMS 
[	] Total number of departments and/or agencies

(Tier 1) Equipment Acquisition

[	] Number of departments and/or agencies that have incorporated NIMS 
[	] Total number of departments and/or agencies

(Tier 1) Evaluations

[	] Number of departments and/or agencies that have incorporated NIMS 
[	] Total number of departments and/or agencies

(Tier 1) Corrective Actions

[	] Number of departments and/or agencies that have incorporated NIMS 
[	] Total number of departments and/or agencies

4. To what extent have the following NIMS concepts and principles been incorporated into incident management policies and SOPs/SOGs:

Flexibility

[  ] Not Incorporated
[  ] Partially 
[  ] Incorporated
[  ] Fully Incorporated

Scalability

[  ] Not Incorporated
[  ] Partially 
[  ] Incorporated
[  ] Fully Incorporated

Standardization

[  ] Not Incorporated
[  ] Partially 
[  ] Incorporated
[  ] Fully Incorporated

Interoperability & Compatibility

[  ] Not Incorporated
[  ] Partially 
[  ] Incorporated
[  ] Fully Incorporated

5.  During an incident, can the following plans be integrated with the Federal response as described in the NRP:

State Emergency Operations Plan (EOP)

[  ] Yes
[  ] No

Other plans, explain [			]

[  ] Yes
[  ] No

If “No,” explain: [			]

Compliance Requirement:  Promote intrastate and interagency mutual aid agreements (to include agreements with the private sector and non-governmental organizations).

(Tier 1) 6. What actions have been taken by the State/Territory to promote intrastate and interagency mutual aid agreements: [Check all that apply.]

[  ] Developed working groups and/or committees 
[  ] Signed Memorandum of Understanding/Memorandum of Agreement 
[  ] Engaged in regular correspondence via phone/email 
[  ] Developed mutual aid templates 
[  ] Communicated the benefits of mutual aid to state/territorial departments and/or agencies 
[  ] Communicated the benefits of mutual aid to local jurisdictions 
[  ] Communicated the benefits of mutual aid to tribal jurisdictions 
[  ] Other actions taken by the State/Territory to promote intrastate and interagency mutual aid agreements, explain: [			]
[  ] No actions have been taken, explain: [			]

(Tier 1) Which of the following impedes promoting intrastate and interagency mutual aid agreements: [Check all that apply.]

[  ] Plans 
[  ] Policy
[  ] Training
[  ] Organization
[  ] Personnel 
[  ] Funding 
[  ] Other impediments, explain:  [			]

7. What actions have been taken by the State/Territory to promote mutual aid agreements with private sector and non-governmental organizations: [Check all that apply.]

[  ] Developed working groups and/or committees 
[  ] Signed Memorandum of Understanding/Memorandum of Agreement 
[  ] Engaged in regular correspondence via phone/email 
[  ] Developed mutual aid templates 
[  ] Other actions taken by the State/Territory to promote mutual aid agreements with private sector and non-governmental organizations, explain: [			]
[  ] No actions have been taken, explain: [			]

8. Indicate the types of mutual aid agreements that the State/Territory has trained and/or exercised:

Training

[  ] Interstate
[  ] Intrastate
[  ] Interagency

Exercises

[  ] Interstate
[  ] Intrastate
[  ] Interagency

Section 4 Metrics:  Preparedness: Training

Compliance Requirement:  Leverage training facilities to coordinate and deliver NIMS training requirements in conformance with the NIMS National Standard Curriculum.

(Tier 1) 1. Does State/Territory NIMS-related training conform to the NIMS National Standard Curriculum?

[  ] Yes
[  ] No

(Tier 1) If “No,” which of the following impedes NIMS-related training from conforming to the NIMS National Standard Curriculum: [Check all that apply.]

[  ] Plans
[  ] Policy
[  ] Training
[  ] Organization
[  ] Personnel
[  ] Funding
[  ] Other impediments, explain:  [			]

2. Indicate in the table below the type and number of facilities currently being utilized to deliver NIMS training (e.g., Community College, Police Training Facilities, or Other Training Facilities).

[       ] Number of Facilities Utilized
[       ] Total Number of Available Facilities

Which of the following impedes utilizing facilities to deliver NIMS training: [Check all that apply.]

[  ] Plans
[  ] Policy
[  ] Training
[  ] Organization
[  ] Personnel
[  ] Funding
[  ] Other impediments, explain:  [			]

3. The State/Territory has: [Check all that apply.]

Communicated NIMS training requirements to:

[  ] State/Territorial departments and/or agencies
[  ] Local jurisdictions
[  ] Tribal jurisdictions
[  ] Other emergency response organizations

Explain any unchecked boxes: [				]

Communicated NIMS training delivery mechanisms (online courses, classroom settings, etc.) to:

[  ] State/Territorial departments and/or agencies
[  ] Local jurisdictions
[  ] Tribal jurisdictions
[  ] Other emergency response organizations

Explain any unchecked boxes: [				]

Coordinated multiple NIMS training delivery mechanisms to:

[  ] State/Territorial departments and/or agencies
[  ] Local jurisdictions
[  ] Tribal jurisdictions
[  ] Other emergency response organizations

Explain any unchecked boxes: [				]

Established a mechanism to receive and track NIMS training results from:

[  ] State/Territorial departments and/or agencies
[  ] Local jurisdictions
[  ] Tribal jurisdictions
[  ] Other emergency response organizations

Explain any unchecked boxes: [				]

Established a mechanism to document status of NIMS trained personnel from:

[  ] State/Territorial departments and/or agencies
[  ] Local jurisdictions
[  ] Tribal jurisdictions
[  ] Other emergency response organizations

Explain any unchecked boxes: [				]

4. Does the State/Territory document training status of personnel from:

State/Territorial departments and/or agencies

[  ] Yes
[  ] No

Local jurisdictions

[  ] Yes
[  ] No

Tribal jurisdictions

[  ] Yes
[  ] No
[  ] Not applicable

Other emergency response organizations

[  ] Yes
[  ] No

Compliance Requirement:  Complete IS-700 NIMS: An Introduction. Complete IS-800 NRP: An Introduction. Complete ICS 100 and ICS 200 Training.

(Tier 1) 5. In the following table, indicate the number of people trained in the following courses (out of the total number of people identified): [Gray boxes are not applicable.]

(Tier 1) IS-700

[      ] Entry-level first responders
[      ] First line supervisors
[      ] Emergency management and response personnel in middle management
[      ] Emergency management and response personnel in command and general staff
[      ] Personnel trained as trainers 

(Tier 1) IS-700

[      ] Entry-level first responders
[      ] First line supervisors
[      ] Emergency management and response personnel in middle management
[      ] Emergency management and response personnel in command and general staff

(Tier 1) IS-800

[      ] Emergency management and response personnel in middle management
[      ] Emergency management and response personnel in command and general staff

(Tier 1) ICS-100

[      ] Entry-level first responders
[      ] First line supervisors
[      ] Emergency management and response personnel in middle management
[      ] Emergency management and response personnel in command and general staff
[      ] Personnel trained as trainers 

(Tier 1) ICS-200

[      ] Entry-level first responders
[      ] First line supervisors
[      ] Emergency management and response personnel in middle management
[      ] Emergency management and response personnel in command and general staff
[      ] Personnel trained as trainers 

(Tier 1) ICS-300

[      ] Emergency management and response personnel in middle management
[      ] Emergency management and response personnel in command and general staff
[      ] Personnel trained as trainers 

(Tier 1) ICS-400

[      ] Emergency management and response personnel in middle management
[      ] Emergency management and response personnel in command and general staff
[      ] Personnel trained as trainers 

Section 5 Metrics:  Preparedness Exercises

Compliance Requirement:  Incorporate NIMS/ICS into all State/Territory and regional training and exercises.

(Tier 1) 1.  Into which of the following activities are NIMS/ICS incorporated:

(Tier 1) State/Territory Level

[  ] Training
[  ] Exercises

(Tier 1) Regional Level

[  ] Training
[  ] Exercises

(Tier 1) Which of the following impedes incorporating NIMS/ICS into State/Territory and regional training and exercises: [Check all that apply.]

[  ] Plans
[  ] Personnel
[  ] Funding
[  ] Education
[  ] Training
[  ] Other impediments, explain: [			]

Compliance Requirement:  Participate in an all-hazard exercise program based on NIMS that involves responders from multiple disciplines and multiple jurisdictions.

(Tier 1) 2. Indicate the number of exercises of each type (out of the total number of exercises) that evaluate NIMS implementation during the exercise:

[    /    ] Drills
[    /    ] Tabletop Exercises (TTX)
[    /    ] Functional Exercises (FE)
[    /    ] Full-Scale Exercises (FSE)
[    /    ] Other types of exercises in which NIMS has been implemented, explain: [	        ]

(Tier 1) Which of the following NIMS components are evaluated through the exercises: [Check all that apply.]

[  ] Preparedness
[  ] Communication and Information Management
[  ] Resource Management
[  ] Command and Management
[  ] Mutual Aid
[  ] Interoperability
[  } Participation of non-governmental organizations (NGOs) and private industry
[  ] Other NIMS-related components: [			]

(Tier 1) How have each of these exercises been evaluated for effectiveness of NIMS implementation? Explain: [			]

(Tier 1) Which of the following impedes evaluating NIMS implementation during exercises:  [Check all that apply.]

[  ] Plans
[  ] Personnel
[  ] Funding
[  ] Education
[  ] Training
[  ] Other impediments, explain: [			]

(Tier 1) 3.  Does the State/Territory have a comprehensive exercise program?

[  ] Yes
[  ] No

(Tier 1) If “No,” which of the following impedes developing a comprehensive exercise program: [Check all that apply.]

[  ] Plans
[  ] Personnel
[  ] Funding
[  ] Education
[  ] Training
[  ] Other impediments, explain: [			]

4. Indicate the number of functional exercises that involve a multi-disciplinary and/or multi-jurisdictional component:

Multi-disciplinary

[       ] FEMA Region
[       ] Multi-State
[       ] Sub-State Region
[       ] Other
[  ] None

Multi-jurisdictional

[       ] FEMA Region
[       ] Multi-State
[       ] Sub-State Region
[       ] Other
[  ] None

Of these, in which of the following types of exercises has NIMS been implemented as the all-hazards, incident management system: [Check all that apply.]

Multi-disciplinary

[  ] Drills
[  ] Tabletop Exercises
[  ] Functional Exercises
[  ] Full-Scale Exercises
[  ] Other

Multi-jurisdictional

[  ] Drills
[  ] Tabletop Exercises
[  ] Functional Exercises
[  ] Full-Scale Exercises
[  ] Other

Explain how these exercises evaluate the effectiveness of NIMS implementation: [			]

What number of exercises used HSEEP methodology? (Out of total number of exercises) [      /      ]

If State/Territory does not participate in multi-jurisdictional and/or multi-disciplinary, all-hazards exercises, explain: [			]

Which of the following disciplines are included in multi-disciplinary exercises that evaluate NIMS implementation: [Check all that apply.]

[  ] Public Works
[  ] Health and Medical
[  ] Fire/Hazardous Materials (HAZMAT)
[  ] Emergency Medical Services (EMS)
[  ] Law Enforcement
[  ] Search and Rescue
[  ] Animal Control and Veterinary Health
[  ] Incident Management
[  ] Other disciplines, explain: [			]

Which of the following impedes the implementation of NIMS in training and exercises: [Check all that apply.]

[  ] Plans 
[  ] Policy
[  ] Equipment
[  ] Funding 
[  ] Education
[  ] Other impediments, explain: [			]

5. During FY06, how many state/territorial exercise scenarios required the activation of the National Response Plan (NRP)? (Out of a total number of exercise scenarios)  [      /      ]

6. Are exercises being planned in FY07 that are expected to require the activation of the National Response Plan?

[  ] Yes
[  ] No

Compliance Requirement:  Incorporate corrective actions into preparedness and response plans and procedures.

(Tier 1) 7. Do state/territorial departments and/or agencies develop after action reports and/or lessons learned following exercises?

[  ] Yes
[  ] No

(Tier 1) If “No,” explain: [			]

(Tier 1) Which of the following impedes developing after action reports and/or lessons learned:  [Check all that apply.]

[  ] Plans
[  ] Policy
[  ] Personnel
[  ] Funding
[  ] Education
[  ] Training
[  ] Other impediments, explain: [			]

(Tier 1) 8. state/territorial departments and/or agencies incorporate corrective action plans, after action reports, and/or lessons learned into which of the 
following: [Check all that apply.]

[  ] Preparedness plans
[  ] Response plans
[  ] Response procedures
[  ] Recovery plans and procedures
[  ] None, explain: [			]

(Tier 1) Which of the following impedes incorporating corrective action plans, after action reports, and/or lessons learned:  [Check all that apply.]

[  ] Plans
[  ] Policy
[  ] Personnel
[  ] Funding
[  ] Education
[  ] Training
[  ] Other impediments, explain: [			]

9. Does the State/Territory utilize improvement plans and after action reports to maintain a Corrective Action Program/Remedial Action Management Program (RAMP)?

[  ] Yes
[  ] No

If “No,” explain: [			]

Section 6 Metrics:  Resource Management

Compliance Requirement:  Inventory State/Territory response assets to conform to homeland security resource typing standards. 

(Tier 1) 1.  Has the State/Territory inventoried its response resources?

[  ] Yes
[  ] No

(Tier 1) If “No,” which of the following impedes inventorying response resources: [Check all that apply.]

[  ] Plans 
[  ] Policy
[  ] Personnel
[  ] Equipment
[  ] Training
[  ] Funding 
[  ] Education
[  ] Other impediments, explain: [			]

2.  Has the State/Territory developed a response asset inventory?

[  ] Yes
[  ] No

If “No,” which of the following impedes developing a response asset inventory: [Check all that apply.]

[  ] Plans 
[  ] Policy
[  ] Personnel
[  ] Equipment
[  ] Training
[  ] Funding 
[  ] Education
[  ] Other impediments, explain: [			]

3. Does the State/Territory use resource typing for response assets?

[  ] Yes
[  ] No

If “Yes,” has the State/Territory typed its response assets to conform to DHS standards, as identified by the NIC?

[  ] Yes
[  ] No

If “No,” explain: [			]

4. Indicate in the table below the number of jurisdictions that have provided an inventory of resources to the State/Territory:

Local

[       ] Number of jurisdictions that have provided an inventory of resources 
[       ] Total number of jurisdictions  

Tribal

[       ] Number of jurisdictions that have provided an inventory of resources 
[       ] Total number of jurisdictions
[       ] Not applicable 

Are these resources typed in accordance with NIMS?

[  ] Yes
[  ] No

Which of the following impedes the adoption of resource typing: [Check all that apply.]

[  ] Plans 
[  ] Federal Standards 
[  ] Policy
[  ] Training
[  ] Funding 
[  ] Education
[  ] Other impediments, explain: [			]

If more than one impediment checked, identify the greatest impediment: [			]

NEW FOR FY07 Compliance Requirement: Validate that the inventory of response assets conforms to homeland security resource typing standards.

5. Has the State/Territory validated the inventory of response assets?

[  ] Yes
[  ] No

If “Yes,” does the inventory conform to homeland security resource typing standards?

[  ] Yes
[  ] No

If “No,” does the State/Territory have plans to:

Build or adopt a database to serve as a response asset inventory

[  ] Yes
[  ] No

Identify resources for a response asset inventory

[  ] Yes
[  ] No

Compile data and expand the response asset inventory

[  ] Yes
[  ] No

Compliance Requirement:  To the extent permissible by state/territorial and local/tribal law, ensure that relevant national standards and guidance to achieve equipment, communication and data interoperability are incorporated into state/territorial and local/tribal acquisition programs. 

(Tier 1) 6. To what extent does the State/Territory require its acquisitions and purchases to adopt interoperable standards: 

(Tier 1) Equipment

[  ] Not Required
[  ] Partially Required
[  ] Fully Required

(Tier 1) Communications

[  ] Not Required
[  ] Partially Required
[  ] Fully Required

(Tier 1) Data

[  ] Not Required
[  ] Partially Required
[  ] Fully Required

(Tier 1) Which of the following impedes acquisitions and purchases from adopting interoperable standards: [Check all that apply.]

[  ] Plans 
[  ] Policy
[  ] Personnel
[  ] Equipment
[  ] Training
[  ] Exercise
[  ] Funding 
[  ] Education
[  ] Other impediments, explain: [			]

7. To what extent does the State/Territory's current acquisition program incorporate the Standard Equipment List (SEL) and other Federal equipment standards data when purchasing interoperable equipment:

[  ] Not Incorporated
[  ] Partially Incorporated
[  ] Fully Incorporated

NEW FOR FY07 Compliance Requirement: NEW FOR FY07 Compliance Requirement: Utilize the State/Territory response asset inventory for Intra and Inter-State Mutual Aid (such as Emergency Management Assistance Compact (EMAC)) requests, exercises, and actual events.

8. Does the State/Territory utilize the response asset inventory for:

Mutual Aid

[  ] Yes
[  ] No

If “No,” explain:  [				]

Exercises

[  ] Yes
[  ] No

If “No,” explain:  [				]

Actual Events

[  ] Yes
[  ] No

If “No,” explain:  [				]

Section 7 Metrics:  Communication and Information Management

Compliance Requirement:  Apply standardized and consistent terminology, including the establishment of plain language communications standards across the public safety sector.

(Tier 1) 1. During a multi-jurisdictional and/or multi-agency event, to what extent does the State/Territory implement the following communication standards:

(Tier 1) Plain Language

[  ] Not Implemented
[  ] Partially Implemented
[  ] Fully Implemented

(Tier 1) Standardized terminology in response operations

[  ] Not Implemented
[  ] Partially Implemented
[  ] Fully Implemented

(Tier 1) Standardized terminology in publications

[  ] Not Implemented
[  ] Partially Implemented
[  ] Fully Implemented

(Tier 1) Which of the following impedes implementing communication standards: [Check all that apply.]

[  ] Plans 
[  ] Policy
[  ] Personnel
[  ] Equipment
[  ] Training
[  ] Exercise
[  ] Funding
[  ] Education
[  ] Other impediments, explain: [                                              ]

NEW FOR FY07 Compliance Requirement: Develop systems, tools, and processes to present consistent and accurate information to incident managers at all levels (e.g., common operating picture).

2. Which of the following has the State/Territory developed to present consistent and accurate information during an incident:

Communications

[  ] Systems
[  ] Tools
[  ] Processes

Intelligence

[  ] Systems
[  ] Tools
[  ] Processes

Information Management

[  ] Systems
[  ] Tools
[  ] Processes

Information Sharing

[  ] Systems
[  ] Tools
[  ] Processes

Resource Status
[  ] Systems
[  ] Tools
[  ] Processes