FY 2007 NIMS COMPLIANCE METRICS GUIDE FOR STATES AND TERRITORIES April 2007 Questions, comments and suggested improvements related to this document are encouraged. Federal Emergency Management Agency c/o NIMS Integration Center—999 E. Street NW 500 C Street, SW Washington DC 20531 Nims-integration-center@dhs.gov www.fema.gov/emergency/nims 202.646.3850 Letter from Al Fluman, Acting Director, FEMA NIMS Integration Center: Dear State, Territory, Tribal and Local Officials, On February 28, 2003, the President issued Homeland Security Presidential Directive (HSPD)-5, Management of Domestic Incidents, which directed the Secretary of Homeland Security to develop and administer a National Incident Management System (NIMS). NIMS was established to provide a consistent nationwide template enabling Federal, State, tribal nations and local governments, as well as private-sector and nongovernmental organizations, to work together effectively and efficiently to prevent, prepare for, respond to, and recover from domestic incidents. Towards this end, the NIMS Integration Center provides strategic direction for and oversight of NIMS. A key component of this oversight is developing compliance requirements and compliance timelines for NIMS standards and guidelines. Since Fiscal Year (FY) 2005, the NIMS Integration Center has provided the States, territories, tribal nations and local governments with required annual NIMS Implementation Activities selected to enhance the national incident management capability in a consistent and cumulative approach. On October 23, 2006, the NIMS Integration Center published the FY 2007 NIMS Implementation Matrix for States and Territories and the FY 2007 NIMS Implementation Matrix for Tribal and Local Jurisdictions. These matrices outline implementation requirements that must be met by September 30, 2007 to be considered NIMS compliant. Also released on October 23, 2006, were the FY 2007 NIMS Compliance Metrics: States and Territories and FY 2007 NIMS Compliance Metrics: Tribal and Local Jurisdictions. These performance-based metrics will be used to determine compliance in FY 2007. The NIMS Integration Center has developed FY 2007 NIMS Compliance Metrics Guide for States and Territories assist you in the measurement and reporting of NIMS compliance. It provides specific guidance on how use the metrics to report the key information required to assess NIMS implementation. In order to be designated compliant in FY 2007, you must answer in the affirmative the critical activity (“Tier 1”) metrics included and explained in this guidance. State departments and agencies, tribal nations or local governments that can not affirmatively answer these Tier 1 metrics will be required to submit a Corrective Action Plan to your State or Territorial NIMS Coordinator outlining how you will implement the required activity within 120 days. To improve the efficiency and effectiveness of compliance monitoring and reporting, the NIMS Integration Center has significantly upgraded the NIMS Capability Assessment Support tool (NIMCAST). As a result, the NIMS Compliance Assistance Support Tool (NIMSCAST) now incorporates all of the compliance metrics for FY 2007. Jurisdictions are strongly urged to take advantage of this resource. Additional information on NIMSCAST is available at http://www.fema.gov/nimcast/index.jsp. I look forward to working with you on the continued development of NIMS. Al Fluman, Acting Director NIMS Integration Center Federal Emergency Management Agency 500 C Street, SW Washington, DC 20472 (202) 646-3850 NIMS-Integration-Center@dhs.gov FY 2007 NIMS COMPLIANCE GUIDANCE FOR STATE AND TERRITORIES TABLE OF CONTENTS I. Purpose 6 II. References 6 III. Overview 6 IV. FY 2007 NIMS Implementation Activities 7 V. Compliance Roles and Responsibilities 10 VI. FY 2007 NIMS Compliance 11 VII. Compliance Reporting Using the FY 2007 Metrics 12 VIII. Using NIMSCAST to Report Compliance 16 IX. Use of Compliance Measurement in Federal Preparedness Assistance Programs 17 X. FY 2007 Metrics Instructions 17 XI. Summary 17 NIMS Compliance Metrics Instructions: State and Terrority 19 Section 1: Adoption and Infrastructure 19 1.1 Formal Adoption 20 1.2 Adoption Method 22 1.3 Monitoring Tribal/Local Adoption 24 1.4 Quantify Tribal/ Local Adoption 25 1.5 Establish Process to Communicate, Monitor and Implement NIMS 27 1.6 State/Territory NIMS Coordinator 28 1.7 Funding Linked to FY06 NIMS Implementation Requirements 30 1.8 NIMS Compliance Review as a Part of Grant Related Audits 31 1.9 Monitor and Assess Outreach and Implementation of NIMS 32 1.10 Departments/Agencies Principle NIMS Coordinator 34 Section 2: Command and Management 35 2.1 Implementation of NIMS-Prescribed ICS for All-Hazards Incident Response 36 2.2 Implementation of NIMS-Prescribed ICS for Preplanned Events 38 2.3 Consistent Application of Incident Action Planning 40 2.4 Consistent Application of Common Communications Plans 41 2.5 Incident Action Plan Concepts 42 2.6 Communication Plan Components 44 2.7 Encouraging Multi-Agency Coordination Systems (MACS) 46 2.8 Designation or Utilization of Multi-Agency Coordination Systems 47 2.9 MACS Functions Coordinated by State/Territory 49 2.10 Public Information System (PIS) Included in Emergency Operations Plan (EOP) 50 2.11 Types of Information that PIS Can Gather, Verify, Coordinate and Disseminate 52 Section 3: Preparedness Planning 53 3.1 NIMS Baseline Established 54 3.2 Utilization of Federal Preparedness Funding to Improve NIMS Preparedness and Response Activities 56 3.3 Quantify State/Territory Department/Agencies that have incorporated NIMS with Emergency Management of Response Functions 58 3.4 Extent of NIMS Concepts/Principles Incorporation 60 3.5 Integration of Plans with Federal Response as Described in NRP 62 3.6 Promotion of Intrastate and Interagency Mutual Aid Agreements 63 3.7 Promotion of Mutual Aid Agreements with Private Sector and NGOs 65 3.8 Types of Mutual Aid Agreements Trained and/or Exercised 66 Section 4: Preparedness Training 67 4.1 Training Conformation with NIMS National Standard Curriculum 68 4.2 Quantity of Facilities Used to Deliver NIMS Training 69 4.3 Communicate, Coordinate and Track NIMS Training 70 4.4 Document Training Status of Personnel 71 4.5 Quantify Trained Personnel 72 Section 5: Metrics: Preparedness Exercise 74 5.1 NIMS/ICS Incorporated into Exercises 75 5.2 Quantity of Exercises that Evaluate NIMS Implementation 76 5.3 Existence of an All-Hazard Exercise Program 77 5.4 Quantity of Exercises with Multi-Disciplinary and/or Multi-Jurisdictional Component 78 5.5 Quantity of Exercises Requiring Activation of NRP in FY06 79 5.6 FY07 Exercises Incorporating Activation of NRP 80 5.7 After Action Reports and/or Lessons Learned 81 5.8 Incorporation of Corrective Action Plans, After Action Reports, and/or Lessons Learned 82 5.9 Maintenance of Corrective Action Program 84 Section 6: Resource Management 85 6.1 Inventory of Response Assets 86 6.2 Response Asset Inventory Developed 87 6.3 Resource Typing for Response Assets 88 6.4 Number of Local/Tribal Jurisdictions that have Provided Inventory of Resources 89 6.5 Acquisition Adoption of Interoperability Standards 91 6.6 Incorporation of Standard Equipment List and Other Federal Standards Data 92 6.7 State Validation of Inventory 93 6.8 Utilization of Response Asset Inventory 94 Section 7: Communication and Information Management 95 7.1 Implementation of Communication Standards During Multi-Agency and/or Multi-Jurisdictional Events 96 7.2 Methods to Ensure Consistent and Accurate information During Incident 97 List of Acronyms 98 Terms of Reference 99 FY 2007 NIMS COMPLIANCE METRICS GUIDE FOR STATES AND TERRITORIES I. Purpose The purpose of the FY 2007 NIMS Compliance Metrics Guide for States and Territories is to provide clear guidance and instruction to State and territorial officials on measuring and reporting performance on the implementation activities required for NIMS compliance in FY 2007. II. References * Homeland Security Presidential Directive (HSPD) 5, Management of Domestic Incidents * National Incident Management System, FEMA 501, March 1, 2004 * FY2005 NIMS Compliance letter to Governors, September 8, 2004 * FY2006 Letter to the Governors, October 4, 2005 * FY2006 Summary of NIMS Implementation Schedule * FY2006 NIMS State and Territory Compliance Activities * FY2006 NIMS Tribal Government and Local Jurisdiction Compliance Activities * FY2007 Letter to Governors, October 23, 2007 * FY2007 NIMS Implementation Activities Schedule * FY2007 NIMS Implementation Matrix for States and Territories * FY2007 NIMS Compliance Metrics: State and Territories * FY2007 NIMS Implementation Matrix for Tribal and Local Jurisdictions * FY2007 NIMS Compliance Metrics: Tribes and Local Jurisdictions III. Overview On September 8, 2004, in a letter to the Nation’s Governors, the NIMS Integration Center outlined the initial steps that States, territories, tribal nations, and local jurisdictions needed to take in FY 2005 to implement NIMS. The activities outlined in that letter provided the foundation for NIMS implementation and compliance today. Since that time, the NIMS Integration Center has expanded on this foundation and added an additional 24 activities – each selected to enhance the way incidents are managed at all levels of government. This consistent and cumulative implementation of NIMS activities nationwide will result in a continually improving national capability to prevent, prepare for, respond to and recover from any incident. The NIMS Integration Center has developed the FY 2007 NIMS Compliance Metrics Guide for States and Territories to provide officials with the tools necessary to capture and measure progress towards NIMS implementation and compliance. In FY’s 2005-2006, States and territories self-certified NIMS compliance by signing and submitting the NIMS Certification Form to the NIMS Integration Center. Many States and territories documented their NIMS implementation using the NIMS Capability Assessment Support Tool (NIMCAST). States and territories certified performance and compliance on behalf of local jurisdictions. In FY07, the NIMS Integration Center has transitioned measurement of NIMS compliance from self-certification to performance-based questions and a measurement system of “metrics.” NIMCAST has been expanded to incorporate these metrics and provide stakeholders with an efficient and effective way to collect and report on implementation activities. FY 2007 compliance with NIMS requirements will be based on the performance-based responses to these metrics. A NIMS compliant State, territory, tribal nation or local jurisdiction will be able to report that they have successfully integrated the required implementation activities into their incident management system. State departments or agencies, tribal nations or local jurisdictions that have not integrated the required activities must provide a plan for meeting the compliance requirements within 120 days to the State or Territorial NIMS Coordinator. IV. FY 2007 NIMS Implementation Activities In October 2006, the NIMS Integration Center released new implementation activities that States, territories, tribal nations and local jurisdictions must take by the end of FY 2007 (September 30, 2007) to comply with NIMS. These implementation requirements are in addition to the NIMS requirements released in FYs 2005 and 2006. As illustrated in Figure 1, State, territory, tribal nations, and local governments must demonstrate continuous support of all NIMS implementation activities required or underway in order to achieve NIMS compliance. Figure 1: NIMS Compliance Figures 2 and 3 summarize all on-going NIMS implementation activities that have been prescribed by the NIMS Integration Center in FYs 2005 and FY 2006, as well as the seven new activities for States and territories and six new activities for tribal nations and local jurisdictions required for FY 2007. State, territorial, tribal nations and local jurisdictions should bear in mind that implementation activities for previous fiscal years remain on-going commitments in the present fiscal year. STATE AND TERRITORY NIMS IMPLEMENTATION ACTIVITIES FY 2007 1. Designate a singe point of contact within each of the jurisdiction’s departments and agencies 2. Monitor and assess outreach and implementation of NIMS Requirements 3. Establish public information system to gather, verify, coordinate, and disseminate information during an incident 4. Complete training—ICS-300, ICS-400 5. Validate that inventory of response assets conforms to FEMA Resource Typing Standards 6. Utilize response asset inventory for Emergency Management Assistance Compact (EMAC) requests, exercises, and actual events 7. Develop systems and processes to ensure that incident managers at all levels share a common operating picture of an incident FY 2006 8. Adopted NIMS for all government departments and agencies; as well as promote and encourage NIMS adoption by associations, utilities, non-governmental organizations (NGOs) and private sector incident management and response organizations 9. Monitor formal adoption of NIMS by all tribal and local jurisdictions 10. Establish a planning process to ensure the communication and implementation of NIMS requirements, providing a means for measuring progress and facilitate reporting 11. Designate a single point of contact to serve as the principal coordinator for NIMS implementation 12. To the extent permissible by law, ensure that Federal preparedness funding to State and territorial agencies and tribal and local jurisdictions is linked to satisfactory progress in meeting FY2006 NIMS implementation requirements 13. To the extent permissible by State and territorial law and regulations, audit agencies and review organizations routinely included NIMS implementation requirements in all audits associated with Federal preparedness grant funds, validating the self-certification process for NIMS compliance 14. Manage all emergency incidents and pre-planned (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 15. 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 EOC, regional and Federal EOCs, and NRP organizational elements. 16. Institutionalize, within the framework of ICS, the Public Information System (PIS), comprising of the Joint Information System (JIS) and a Joint Information Center (JIC). 17. Establish NIMS baseline against the FY 2005 and FY 2006 implementation requirements 18. Develop and implement a system to coordinate and leverage all Federal preparedness funding to implement the NIMS 19. 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 20. Participate in and promote intrastate and interagency mutual aid agreements, to include agreements with the private sector and non-governmental organizations 21. Leverage training facilities to coordinate and deliver NIMS training requirements in conformance with the NIMS National Standard Curriculum 22. Complete training—IS-700 NIMS: An Introduction, Complete IS-800 NRP: An Introduction; ICS-100 and ICS-200 23. Incorporate NIMS/ICS into training and exercises 24. Participate in an all-hazard exercise program based on NIMS that involves responders from multiple disciplines and multiple jurisdictions 25. Incorporate corrective actions into preparedness and response plans and procedures 26. Inventory response assets to conform to FEMA Resource Typing standards 27. Develop State plans for the receipt and distribution of resources as outlined in the National Response Plan (NRP) Catastrophic Incident Annex and Catastrophic Incident Supplement 28. To the extent permissible by State and local law, ensure that relevant national standards and guidance to achieve equipment, communication and data interoperability are incorporated into State and local acquisition programs 29. Apply standardized and consistent terminology, including the establishment of plain language communications standards across public safety sector FY 2005 30. Support the successful adoption and implementation of the NIMS 31. To the extent permissible by law, ensure that Federal preparedness funding, including DHS Homeland Security Grant Program and the Urban Areas Security Initiative (UASI), support NIMS implementation at the State and local levels Incorporate NIMS into existing training programs and exercises 32. Coordinate and provide technical assistance to local entities regarding NIMS institutionalized used of ICS 33. Incorporate NIMS into Emergency Operations Plans (EOP) 34. Promote intrastate mutual aid agreements, to include agreements with private sector and non-governmental organizationsFigure 2: State and Territory NIMS Implementation Activities for FYs 2005-2006 TRIBAL NATION AND LOCAL GOVERNMENT NIMS IMPLEMENTATION ACTIVITIES FY 2007 1. Designate a single point of contact to serve as the principal coordinator for NIMS implementation 2. Establish public information system to gather, verify, coordinate, and disseminate information during an incident 3. Complete training—ICS-300, ICS-400 4. Validate that inventory of response assets conforms to FEMA Resource Typing Standards 5. Utilize response asset inventory for Emergency Management Assistance Compact (EMAC) requests, exercises, and actual events 6. Develop systems and processes to ensure that incident managers at all levels share a common operating picture of an incident FY 2006 7. Adopted NIMS for all government departments and agencies; as well as promote and encourage NIMS adoption by associations, utilities, non-governmental organizations (NGOs) and private sector incident management and response organizations 8. Manage all emergency incidents and pre-planned (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 9. 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 EOC and regional and/ Federal EOCs and /NRP organizational elements 10. Institutionalize, within the framework of ICS, the Public Information System (PIS), comprising of the Joint Information System (JIS) and a Joint Information Center (JIC) 11. Establish NIMS baseline against the FY 2005 and FY 2006 implementation requirements 12. Develop and implement a system to coordinate and leverage all Federal preparedness funding to implement the NIMS 13. 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 14. Participate in and promote intrastate and interagency mutual aid agreements, to include agreements with the private sector and non-governmental organizations 15. Complete training—IS-700 NIMS: An Introduction, Complete IS-800 NRP: An Introduction; ICS-100 and ICS-200 16. Participate in an all-hazard exercise program based on NIMS that involves responders from multiple disciplines and multiple jurisdictions 17. Incorporate corrective actions into preparedness and response plans and procedures 18. Inventory response assets to conform to FEMA Resource Typing standards 19. To the extent permissible by State and local law, ensure that relevant national standards and guidance to achieve equipment, communication and data interoperability are incorporated into State and local acquisition programs 20. Apply standardized and consistent terminology, including the establishment of plain language communications standards across public safety sector FY 2005 21. Support the successful adoption and implementation of the NIMS 22. Promote intrastate mutual aid agreements, to include agreements with private sector and non-governmental organizations 23. Incorporate NIMS into Emergency Operations Plans (EOP)Figure 3: Tribal Nation and Local NIMS Implementation Activities for FYs 2005-2006 V. Compliance Roles and Responsibilities Successful implementation of the NIMS requires the commitment of all States, territories, tribal nations, local jurisdictions, and non-governmental and private sector organizations that actively prevent, prepare for, respond to, and recover from an incident. Clear understanding of the roles and responsibilities for stakeholders in demonstrating compliance is critical for NIMS implementation and performance measurement. States and Territories States and territories are responsible for overseeing NIMS implementation and compliance reporting within their borders. In FY07, States and territories should: 1. Review the FY 2007 NIMS packet, including FY 2007 Implementation matrices, metrics, and associated guidance document; 2. Develop and implement a plan for gathering information and identifying appropriate stakeholders who will contribute information for FY 2007 NIMS implementation; 3. Collect information from appropriate stakeholders; and 4. Complete the FY 2007 NIMS Compliance metrics (Note: NIMSCAST may be utilized to complete the metrics). The reporting requirements for States and territories include: 1. Providing the FEMA Regional Office or the NIMS Integration Center a report measuring NIMS implementation within State/territorial departments and agencies based on the FY 2007 metrics; 2. Providing the FEMA Regional Office or the NIMS Integration Center a report measuring NIMS implementation by local jurisdictions based on the FY 2007 metrics. At a minimum, this report should reflect NIMS implementation at the county-wide level. States may elect to report on implementation by intrastate region, local jurisdiction or other organizational boundary (e.g. Homeland Security Districts, Operational Area, etc.) as appropriate; and 3. Providing the FEMA Regional Office or the NIMS Integration Center an overall measurement of State/territorial NIMS implementation based on the FY 2007 metrics. In some cases, States and territories may also coordinate NIMS implementation and collecting of NIMS implementation-related information for tribal nations. Tribal Nations Tribal nations are responsible for overseeing specific NIMS implementation activities and compliance reporting within their jurisdiction. In FY 2007, tribal nations should: 1. Coordinate Tribal NIMS implementation activities with their respective Federal, State/territory, local jurisdictions, non-governmental and private sector organizations as appropriate; 2. Disseminate NIMS information to stakeholders within their tribal nation; and 3. Provide a report measuring NIMS implementation based on the FY 2007 metrics to the State or territorial NIMS Coordinator, as appropriate. Local Jurisdictions Local jurisdictions share many implementation activities and responsibilities with States and territories and they are responsible for implementation activities specific to their jurisdiction. Given that incidents are managed locally, it is imperative that local jurisdictions implement NIMS throughout their communities, emergency management departments, and response agencies (i.e., public works, fire, emergency medical services, law enforcement etc.). In FY 2007, local jurisdictions should: 1. Coordinate local NIMS implementation activities with their respective State or territory, as appropriate; 2. Disseminate NIMS information to appropriate local departments and agencies and/or community-based groups; and 3. Provide to the State or Territorial NIMS Coordinator a report measuring NIMS implementation based on the FY 2007 metrics as appropriate. Non-governmental and Private Sector Organizations NIMS implementation depends on shared commitment and coordination between States, territories, tribal nations, local jurisdictions, non-governmental and private sector organizations that actively prevent, prepare for, respond to, and recover from an incident. The NIMS Integration Center recommends that non-governmental and private sector organizations implement NIMS activities that will ensure interoperability with State, territorial, tribal and local governments during emergency response. Information on specific recommended activities for non-governmental and private sector organizations is available at the NIMS web site, http://www.fema.gov/emergency/nims/index.shtm. VI. FY 2007 NIMS Compliance As mentioned previously, in FYs 2005 and 2006, NIMS compliance was based on self-certification of the stakeholder’s ability to implement the required NIMS activities. In FY 2007, NIMS compliance will be determined from a jurisdiction’s response to performance-based questions and a measurement system of “metrics.” The NIMS Integration Center released two sets of metrics—one for States and territories and one for tribal nations and local jurisdictions. The FY 2007 metrics have been prioritized into two “tiers” reflecting the importance of the corresponding NIMS Implementation activities. Tier 1 metrics measure those activities considered critical for NIMS Implementation. Tier 2 metrics reinforce previous year activities and measure ongoing progress towards NIMS implementation. State departments and agencies, tribal nations and local jurisdictions must respond to Tier 1 metrics affirmatively to demonstrate compliance. If the State department or agency, tribal nation or local jurisdictions has not successfully implemented all required NIMS activities, a Corrective Action Plan that outlines how compliance will be attained within 120 days must be submitted to the State or Territorial NIMS Coordinator by September 30, 2007. States, territories, tribal nations and local jurisdictions are required to respond to all FY07 Tier 1 and Tier 2 metrics questions in order to provide comprehensive assessment of the status of NIMS implementation activities nationwide. A State or territory will not be determined to be out of compliance with the required FY 2007 NIMS activities if: * The State has a department or agency, tribal nation or local jurisdiction that is unable to implement the required NIMS activities by the compliance deadline but has demonstrated in a Corrective Action Plan that the deficiency can be corrected within a reasonable time period not to exceed 120 days starting October 1, 2007. * The tribal nation or local jurisdiction that has not implemented the required NIMS activities receives no Federal preparedness funding. VII. Compliance Reporting Using the FY 2007 Metrics Organization The metrics are arranged in accordance with the FY 2007 NIMS Implementation Matrix published by the NIMS Integration Center and made available on the NIMS Web Site at http://www.fema.gov/emergency/nims/index.shtm. Developed in accordance with the five components of NIMS—Command and Management, Preparedness, Resource Management, Communication and Information Management, and Supporting Technologies, each component of the metrics reflects the FY 2007 implementation requirements. Metrics Questions Several types of questions are used to collect information. While some implementation activities can be measured by “yes” or “no” responses, others require alternate formats for response. In these cases, the metrics provides multiple-choice options (“check all that apply”) or free text explanation fields. The structure and outline of the metrics questions are provided in Figure 4 (next page). Figure 4: NIMS Compliance Metrics Components Responding to Tier 1 Metrics States, territories, tribal nations, and local jurisdictions should provide information for Tier 1 metrics that accurately reflect their level of implementation at the time of submission. In order to be considered NIMS compliant in FY07, States, territories, tribal nations and local jurisdictions must answer all Tier 1 metrics affirmatively. If the State department or agency, tribal nation or local jurisdiction has not successfully implemented all required NIMS activities, a Corrective Action Plan outlining how compliance will be attained within 120 days (no later than January 28, 2008) must be submitted to the State or Territorial NIMS Coordinator by September 30, 2007. Responding to Tier 2 Metrics Tier 2 questions are based on ongoing FY 2006 and FY 2007 NIMS implementation activities. While an affirmative answer is not required, States, territories, tribal nations, and local jurisdictions are required to respond to each question. These metrics will be used to monitor implementation and identify and prioritize future metrics. Impediments to Implementation As noted previously, FY 2007 compliance requires the successful implementation of the required activities demonstrated by an affirmative response to Tier 1 metrics questions. For metrics questions that ask for identification of the factors impeding successful implementation, examples are provided (e.g. plans, policy, personnel, funding, exercises, and training.) The metrics provide the opportunity to outline other factors preventing successful implementation. This information is critical for the NIMS Integration Center in identifying policy and programmatic obstacles to NIMS implementation. Corrective Action Plan State Department and Agencies, tribal nations and local jurisdictions that are unable to respond affirmatively to all required Tier 1 metrics must identify a Corrective Action Plan for the required activities. Corrective Action Plans must state how the department or agency, tribal nation or local jurisdiction will implement the required activity within 120 days of the compliance deadline (no later than January 28, 2008). Corrective Action Plans must be referenced in the notes section of the metric. State departments and agencies, tribal nations and local jurisdictions must submit Corrective Action Plans to the State or Territorial NIMS Coordinator by the September 30, 2007 deadline. A template has been provided in Figure 5. The Corrective Action Plan must: * Identify the Tier 1 requirement that can not be answered in the affirmative; * Identify the Tier 1 metric that can not be answered in the affirmative; * Provide a brief narrative outlining the reason for non-compliance; * List the corrective actions required to meet the Tier 1 requirement and the responsible organization; * Establish a timeline for implementing the corrective actions; and * Identify and provide contact information for the State Department or Agency, tribal organization or local jurisdiction’s NIMS implementation point of contact. The Corrective Action Plan must be referenced in NIMSCAST or other appropriate reporting mechanism and be provided for monitoring to the State or Territorial NIMS Coordinator. State Departments or Agencies, tribal nations or local jurisdiction will have 120 days to implement the Corrective Action Plan. If after 120 days, the State Department and Agency, tribal nation or local jurisdiction has not successfully implemented the Corrective Action Plan that organization may no longer be eligible to receive Federal Preparedness funding. For more information on developing a Corrective Action Plan contact the NIMS Integration Center at NIMS-Integration-Center@dhs.gov. Figure 5: Corrective Action Plan Template State and Territorial NIMS Coordinators will have until October 31, 2007 to review Corrective Action Plans and evaluate whether State or territorial program resources, in coordination with the tribal nation or local jurisdiction, are sufficient to achieve the corrective actions. On November 1, 2007, State or Territorial NIMS Coordinators will provide to the FEMA Regional NIMS Coordinator a summary of the Corrective Action Plans that: 1. Identifies the compliance impediments, and 2. Requests technical assistance as appropriate. The Corrective Action Plan should be referenced in NIMSCAST or other appropriate reporting mechanism and be provided for monitoring to the State or Territorial NIMS Coordinator. State departments or agencies, tribal nations or local jurisdiction will have 120 days to implement the Corrective Action Plan. If after 120 days, the State Department and Agency, tribal nation or local jurisdiction has not successfully implemented the Corrective Action Plan that organization may no longer be eligible to receive Federal Preparedness funding. More information on the NIMS Compliance Corrective Action Plans is available at the NIMS Integration Center web site, http://www.fema.gov/emergency/nims/ or by contacting the NIMS Integration Center at NIMS-Integration-Center@dhs.gov. VIII. Using NIMSCAST to Report Compliance In January 2005, the NIMS Integration Center provided the NIMS Capability Assessment Support Tool (NIMCAST) to State, territorial, tribal nations, and local governments as a free, web-based, self-assessment tool regarding jurisdictional achievement of the NIMS implementation activities. In FY 2007, NIMCAST has transitioned into NIMSCAST, which incorporates the FY 2007 Compliance Metrics. States, territories, tribal nations and local jurisdictions using NIMSCAST benefit by having a common, “real time” picture of progress toward NIMS implementation. The common picture allows NIMS coordinators at all levels to identify programmatic challenges and adjust efforts to the users below them, accordingly. At the end of the Fiscal Year, the NIMS Integration Center will compile the assessment information and use it to develop and provide technical assistance to State, territories, tribal and local jurisdictions. By the end of FY 2007, NIMSCAST will provide the NIMS Integration Center with the ability to assess NIMS implementation at the National, FEMA region, State, territory, tribal, and local jurisdictional levels. This will be utilized to provide information to Congress, identify best practices, and recognize programmatic shortfalls requiring additional guidance and technical assistance. Specific Features of the NIMSCAST have been enhanced in FY 2007 to provide stakeholders with the following: * Account control access for State, territorial, tribal and local NIMS Coordinators * Compliance status reporting on Tier 1 and Tier 2 metrics * Enhanced reporting functions * “Roll up” capabilities for consolidating reports from multiple stakeholders * Identification of the emergency management and first responder disciplines within established accounts NIMSCAST can accommodate self assessment and reporting from various stakeholders including: * FEMA Regional NIMS Coordinator * Tribal Nations * State/Territorial NIMS Coordinator * State/Territorial Departments and Agencies * Intra-state and Intra-territorial Organizations * Local governments (to include counties, municipalities, cities, towns, townships, local public authorities, school districts, special districts, intrastate districts, councils of government, regional or interstate government entities, or agencies or instrumentalities of a local government; Indian tribes or authorized tribal organizations, or in Alaska Native villages or Alaska Regional Native Corporations; rural communities, unincorporated towns or villages, or other public entities) * Non-governmental and Private Sector Organizations The NIMS Integration Center strongly encourages States and territories to assume the primary responsibility for utilizing NIMSCAST in the reporting of NIMS implementation progress for all State, territorial, tribal nations (when appropriate) and local jurisdictions. Tribal entities may use the NIMSCAST to submit their NIMS Implementation to the FEMA Region or State directly. NIMSCAST also provides States and territories with a mechanism for the distribution of specific guidance to tribal nations and local jurisdictions within their boundaries. NIMSCAST allows stakeholders at all levels access to compliance instructions and status reports as appropriate. Although all jurisdictions are strongly encouraged to use the NIMSCAST to assess their compliance, other independently-developed technical assistance tools may be used, provided that those are compatible with the metrics and report functions contained in the NIMSCAST. A link to the NIMSCAST Technical Users Guide is available on the NIMS Integration Center web site at http://www.fema.gov/emergency/nims/nims_compliance.shtm. Please look under the Templates and Tools section. IX. Use of Compliance Measurement in Federal Preparedness Assistance Programs As FY 2007 is a transition year from self certification to performance-based metrics, reports must be submitted to the NIMS Integration Center by the end September 30, 2007 using NIMSCAST or a compatible system. Federal Preparedness Assistance Program awards for FY 2008 will be based on the compliance reports supplied by the States and territories. X. FY 2007 Metrics Instructions The remainder of this guide will provide States, territories, tribal nations and local jurisdictions with specific guidance on how to approach and address the performance-based metrics for the FY07 NIMS implementation activities. Each section provides the compliance requirement, the assigned tier, and the metric that is used for assessment. Clarification on responding to each metrics is included. This clarification outlines the intended stakeholder for the metric, supporting guidance, explanation of the tier assigned to the requirement, and the definitions needed to understand the metrics options as appropriate. Questions on responding to specific compliance metrics should be directed to the NIMS-Integration-Center@dhs.gov. XI. Summary The NIMS Integration Center has developed the Guide to Fiscal Year 2007 NIMS Implementation: Compliance Metrics for States and Territories and the Guide to Fiscal Year 2007 NIMS Implementation: Compliance Metrics for Tribal and Local Jurisdictions to assist in measuring compliance with FY 2007 NIMS requirements. In FYs 2005 and FY 2006, NIMS compliance was based on self-certification. The FY 2007 NIMS Implementation Activities will be measured using a performance-based system of metrics. The FY 2007 compliance metrics have been prioritized into two “tiers” reflecting the importance of the corresponding NIMS Implementation activities. Tier 1 metrics measure those activities considered critical for NIMS Implementation, while Tier 2 metrics reinforce previous year activities and measure ongoing progress towards NIMS implementation. To be considered NIMS compliant in FY 2007, States or territories must report affirmatively that they have successfully implemented the required Tier 1 activities. State departments and agencies, tribal nations and local jurisdictions must also respond to Tier 1 metrics affirmatively to demonstrate compliance. If the department or agency, tribal nation or local jurisdictions has not successfully implemented all required NIMS activities, a Corrective Action Plan that outlines how these jurisdictions will attain compliance within 120 days (no later than January 28, 2007) must be submitted to the State or Territorial NIMS Coordinator by September 30, 2007. States, territories, tribal nations and local jurisdictions are required to respond to all FY 2007 Tier 1 and 2 metrics in order to provide comprehensive assessment of the status of NIMS implementation activities nationwide. The reporting requirements are as follows: States and Territories * Provide the FEMA Regional Office or the NIMS Integration Center a report measuring NIMS implementation within State/territorial departments and agencies based on the FY 2007 metrics; * Provide the FEMA Regional Office or the NIMS Integration Center a report measuring NIMS implementation by local jurisdictions based on the FY 2007 metrics. At a minimum, this report should reflect NIMS implementation at the county-wide level. States may elect to report on implementation by intrastate region, local jurisdiction or other organizational boundary (e.g. Homeland Security Districts, Operational Area, etc.) as appropriate; and * Provide the FEMA Regional Office or the NIMS Integration Center an overall measurement of State/territorial NIMS implementation based on the FY 2007 metrics. Tribal Nations * Provide a report to measuring NIMS implementation based on the FY 2007 metrics to the State/Territorial NIMS Coordinator or the NIMS Integration Center as appropriate. Local Jurisdictions * Provide to the State or Territorial NIMS Coordinator a report measuring NIMS implementation based on the FY 2007 metrics as appropriate. Compliance reports must be provided to the State or Territorial NIMS Coordinator, FEMA Regional NIMS Coordinator or NIMS Integration Center as appropriate by September 30, 2007. NIMS COMPLIANCE METRICS INSTRUCTIONS Section 1: Adoption and Infrastructure Section 1 addresses NIMS adoption, monitoring, communicating, and implementing NIMS across the State or jurisdiction. It also includes assessment of the implementation of NIMS, designation of a single point of contact as the NIMS coordinator, and linking Federal preparedness funding to satisfactory progress in attaining the FY 2006 NIMS implementation requirements. In Section 1, State/Territory NIMS Coordinators and Agency Representatives will be asked to respond to questions related to State adoption and infrastructure to support NIMS. Section 1 required responses include: * Formal Adoption * Adoption Method * Monitoring Tribal/Local Adoption * Quantify Tribal/Local Adoption * Establish Process to Communicate, Monitor and Implement NIMS * State/Territory NIMS Coordinator * Funding Linked to FY 2006 NIMS Implementation Requirements * NIMS Compliance Review as a Part of Grant Related Audits * Departments/Agencies NIMS Points of Contact 1.1 Formal Adoption Intended Stakeholder(s) * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Supporting Guidance * Select “Yes” if your State/Territory, or Agency/Department has taken steps toward the formal adoption of NIMS. * Select “No” if your State/Territory, or Agency/Department has made no effort toward the adoption of NIMS. Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, Emergency Operations Plan (EOP)] or additional detail on the particular question or metric. NIMS Adoption The establishment of a legal authority (e.g. executive order, proclamation, resolution, legislation, or other legal mandate) that requires all departments and agencies operating within the jurisdiction to use NIMS principles and methodologies in their all-hazards incident management system. Impediments Limitations or restrictions in conducting NIMS activities to include: * Education: The knowledge or skill obtained or developed by a learning process. * Equipment: Instrumentality needed for an undertaking or to perform a service including its associated supplies. Equipment can range from small personal items such as search and rescue gear (flashlights, dusk masks, etc.) to large-scale multi-jurisdictional systems (radio repeater systems, computer networks, etc.). * Exercise: Opportunity provided to demonstrate, evaluate, and improve the combined capability and interoperability of elements to perform assigned missions and tasks to standards necessary to achieve successful outcomes. (http://www.mwcog.org/uploads/committee-documents/tVtYVlk20051031174251.doc) * Federal Standards: Common rules, conditions, guidelines or characteristics, established by the Federal Government. * Funding: Sources Financial resources available to assist in achievement of tasks associated with NIMS implementation. * Organization: Individual teams, an overall organizational structure, and leadership at each level in the structure that comply with relevant laws, regulations, and guidance necessary to perform assigned missions and tasks. (http://www.mwcog.org/uploads/committee-documents/tVtYVlk20051031174251.doc) * Personnel: Paid and volunteer staff who meet required qualification and certification standards necessary to perform assigned missions and tasks. (http://www.mwcog.org/uploads/committee-documents/tVtYVlk20051031174251.doc) * Plans: Documents such as procedures, mutual aid agreements, strategies, and other publications that may describe some of the following: governance, management, standard operating procedures, technology, and activities in support of defined missions and tasks. (http://www.mwcog.org/uploads/committee-documents/tVtYVlk20051031174251.doc) * Policy: A course of action, guidance, or principle intended to influence and guide decisions, actions, and other matters. * Training: Specialized instruction and practice to improve performance and lead to task proficiency. 1.2 Adoption Method Intended Stakeholder * State/Territory NIMS Coordinators Supporting Guidance * If “Other Methods used to promote and encourage the adoption of NIMS” column is selected, please identify those methods in the text box “Describe efforts made to promote and encourage NIMS adoption” Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Critical infrastructure As defined in the National Response Plan (NRP), Critical Infrastructure is defined as systems and assets, whether physical or virtual, so vital to the United States that the incapacity or destruction of such systems and assets would have a debilitating impact on security, national economic security, national public health or safety, or any combination of those matters. Government Department or Agencies The State NIMS Coordinator should answer this question for State agencies only. This question does not refer to local units of government or local agencies. Response Activities that address the short-term, direct effects of an incident. Response includes immediate actions to save lives, protect property, and meet basic human needs. Response also includes the execution of emergency operations plans and incident mitigation activities designed to limit the loss of life, personal injury, property damage, and other unfavorable outcomes. For additional information please see the NRP, page 72 or the NIMS document, page 136. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 1.3 Monitoring Tribal/Local Adoption Intended Stakeholder * State/ Territory NIMS Coordinators Supporting Guidance * Select “Yes” if State/Territory, or Agency/Department has taken steps to monitor the formal adoption of NIMS. * Select “No” if State/Territory, or Agency/Department has made no effort to monitor the formal adoption of NIMS. Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Local Jurisdictions Local jurisdictions are defined as local units of government at either the municipal or county level. NIMS Adoption The establishment of a legal authority (e.g. executive order, proclamation, resolution, legislation, or other legal mandate) that requires all departments and agencies operating within the jurisdiction to use NIMS principles and methodologies in their all-hazards incident management system. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 1.4 Quantify Tribal/ Local Adoption Intended Stakeholder * State/Territory NIMS Coordinators Supporting Guidance * A jurisdiction may be politically or geographically defined to include tribal entity, city, county, parish etc. Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 1.5 Establish Process to Communicate, Monitor and Implement NIMS Intended Stakeholder * State/Territory NIMS Coordinators Supporting Guidance * Select “Yes” if State/Territory has taken steps to communicate, monitor, and implement NIMS requirements to State/Territory Agencies, Tribal entities, and/or local jurisdictions. * Select “No” if State/Territory, has not taken steps to communicate, monitor, and implement NIMS requirements to State/Territory Agencies, Tribal entities, and/or local jurisdictions. Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Strategy Plans, policies, procedures for how the State or Territory will achieve NIMS implementation. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 1.6 State/Territory NIMS Coordinator Intended Stakeholder * State/Territory NIMS Coordinators Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Principal Coordinator The Principal Coordinator for Statewide NIMS Implementation: The position designated by the State Administrative Agency (SAA) responsible for coordination of all NIMS-related directives. This includes dissemination and collection of information and monitoring and reporting on compliance activities DHS Funding DHS Funding refers to Grants and Training (G&T) grants only. Other Preparedness Funding Other Preparedness Funding includes all funding streams other than G&T that directly or indirectly support Homeland Security initiatives, e.g. Center for Disease Control and Health Resources and Services Administration preparedness funds. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 1.7 Funding Linked to FY06 NIMS Implementation Requirements Intended Stakeholder * State/Territory NIMS Coordinators Supporting Guidance * The NIMCAST is the original 75-question assessment released in January 2005. NIMCAST is available www.fema.gov/nimcast. Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. DHS Funding DHS Funding refers to G&T Federal Preparedness funding only. Other Preparedness Funding Other Preparedness Funding includes all funding streams other than G&T that directly or indirectly support Homeland Security initiatives (i.e., Center for Disease Control and Health Resources and Services Administration preparedness funds). A full list is available at the NIMS Integration Center website (www.fema.gov/emergency/nims) Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 1.8 NIMS Compliance Review as a Part of Grant Related Audits Intended Stakeholder * State/Territory NIMS Coordinators Supporting Guidance * The NIMS Integration Center will not determine how States/Territories review NIMS compliance by their State/territorial departments and/or agencies or at the Tribal and local levels. * States/territories must explain the method they chose to verify NIMS compliance as States have verified NIMS compliance through formal self-certification letters, via NIMCAST, or other independent technical assistance tools. Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. DHS Funding DHS Funding refers to Grants and Training (G&T) grants only. Other Preparedness Funding Other Preparedness Funding includes all funding streams other than G&T that directly or indirectly support Homeland Security initiatives, e.g., CDC and HRSA preparedness funds. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 1.9 Monitor and Assess Outreach and Implementation of NIMS Intended Stakeholder * State/Territory NIMS Coordinators Supporting Guidance * Select “Yes” if State/Territory has taken steps to conduct a baseline assessment for the implementation of NIMS requirements to State/Territory Agencies, Tribal entities, and/or local jurisdictions. Baseline assessment may include submission of a self-certification form or use of NIMCAST or other independent technical assistance tool. * Select “No” if State/Territory has not conducted a baseline assessment for the implementation of NIMS requirements to State/Territory Agencies, Tribal entities, and/or local jurisdictions. * Select “Yes” if State/Territory has taken any steps to develop a strategy for NIMS Implementation and monitoring to State/Territory Agencies, tribal entities, and/or local jurisdictions. * Select “No” if State/Territory has not developed a strategy for NIMS Implementation and monitoring to State/Territory Agencies, tribal entities, and/or local jurisdictions. Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Strategy Plans, policies, procedures for how the State or Territory will achieve NIMS implementation. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 1.10 Departments/Agencies Principle NIMS Coordinator Intended Stakeholder * State/Territory NIMS Coordinators Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Principal Coordinator The position designated by the State Administrative Agency (SAA) responsible for coordination of all NIMS-related directives. This includes dissemination and collection of information and monitoring and reporting on compliance activities. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. NIMS Compliance Metrics Instructions: State and Territory Section 2: Command and Management Section 2 addresses the Incident Command System (ICS), Multi-Agency Coordination Systems (MACS), and Public Information Systems (PIS) to ensure these components are incorporated and used as prescribed by NIMS. In Section 2, State/Territory NIMS Coordinators and Agency Representatives will be asked to respond to questions related to ICS, MACS, and PIS components of NIMS. Section 2 required responses include: * Implementation of NIMS-Prescribed ICS for All-Hazards Incident Response * Implementation of NIMS-Prescribed ICS for Preplanned (Recurring/Special) Events * Consistent Application of Incident Action Planning * Consistent Application of Common Communications Plans (CCPs) * Incident Action Plans Concepts * Communication Plan Components * Encouraging Multi-Agency Coordination Systems * Designation or Utilization of Multi-Agency Coordination Systems * MACS Functions Coordinated by State/Territory * PIS Included in EOP * Types of Information that PIS Can Gather, Verify, Coordinate, and Disseminate 2.1 Implementation of NIMS-Prescribed ICS for All-Hazards Incident Response Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Supporting Guidance * “NIMS-prescribed ICS” as identified in ICS-100 and ICS-200. * Select “Yes” if State/Territory has taken steps to implement ICS (i.e., integrate ICS into plans, processes, and procedures. * Select “No” if State/Territory has not implemented ICS. Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Incident Command System (ICS) A standardized on-scene emergency management system which provides for the adoption of an integrated organizational structure. ICS is the combination of facilities, equipment, personnel, procedures, and communications operating within a common organizational structure, designed to aid in the management of resources during incidents. It is used for all kinds of emergencies, and is applicable to small as well as large and complex incidents. For additional information please refer to the NIMS document, page 14 at http://www.fema.gov/pdf/emergency/nims/nims_doc_full.pdf. Incident Action Plan (IAP) An oral or written plan containing general objectives reflecting the overall strategy for managing an incident. For additional information, please see the NIMS document, page 96. Common Communication Plan An interoperable communications plan designed to be utilized for multi-agency and multi-jurisdictional incident management operations. All entities involved in managing the incident will utilize common terminology, prescribed by the NIMS, for communications. Preplanned (Recurring/Special) Events A preplanned event is a non-emergency activity. ICS can be used as the management system for a events such as parades, concerts, or sporting events etc.. For additional information please refer to the NIMS document, page 129. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 2.2 Implementation of NIMS-Prescribed ICS for Preplanned Events Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Supporting Guidance * “NIMS-prescribed ICS” as identified in ICS-100 and ICS-200. * Select “Yes” if State/Territory has taken steps to implement ICS (i.e., integrate ICS into plans, processes, and procedures) for managing pre-planned events. * Select “No” if State/Territory has not implemented ICS for managing preplanned (recurring/special) events. Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Incident Command System (ICS) A standardized on-scene emergency management system which provides for the adoption of an integrated organizational structure. ICS is the combination of facilities, equipment, personnel, procedures, and communications operating within a common organizational structure, designed to aid in the management of resources during incidents. It is used for all kinds of emergencies, and is applicable to small as well as large and complex incidents. For additional information please refer to the NIMS document, page 14 at http://www.fema.gov/pdf/emergency/nims/nims_doc_full.pdf. Incident Action Plan (IAP) An oral or written plan containing general objectives reflecting the overall strategy for managing an incident. For additional information, please see the NIMS document, page 96. Common Communication Plan (CCP) An interoperable communications plan designed to be utilized for multi-agency and multi-jurisdictional incident management operations. All entities involved in managing the incident will utilize common terminology, prescribed by the NIMS, for communications. Preplanned (Recurring/Special) Events A preplanned event is a non-emergency activity. ICS can be used as the management system for a events such as parades, concerts, or sporting events etc.. For additional information please refer to the NIMS document, page 129. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 2.3 Consistent Application of Incident Action Planning Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Incident Command System (ICS) A standardized on-scene emergency management system which provides for the adoption of an integrated organizational structure. ICS is the combination of facilities, equipment, personnel, procedures, and communications operating within a common organizational structure, designed to aid in the management of resources during incidents. It is used for all kinds of emergencies, and is applicable to small as well as large and complex incidents. For additional information please refer to the NIMS document, page 14 at http://www.fema.gov/pdf/emergency/nims/nims_doc_full.pdf . Incident Action Plan (IAP) An oral or written plan containing general objectives reflecting the overall strategy for managing an incident. For additional information, please see the NIMS document, page 96. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 2.4 Consistent Application of Common Communications Plans Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Incident Command System (ICS) A standardized on-scene emergency management system which provides for the adoption of an integrated organizational structure. ICS is the combination of facilities, equipment, personnel, procedures, and communications operating within a common organizational structure, designed to aid in the management of resources during incidents. It is used for all kinds of emergencies, and is applicable to small as well as large and complex incidents. For additional information please refer to the NIMS document, page 14 at http://www.fema.gov/pdf/emergency/nims/nims_doc_full.pdf. Common Communication Plan (CCP) An interoperable communications plan designed to be utilized for multi-agency and multi-jurisdictional incident management operations. All entities involved in managing the incident will utilize common terminology, prescribed by the NIMS, for communications. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 2.5 Incident Action Plan Concepts Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Incident Command System (ICS) A standardized on-scene emergency management system which provides for the adoption of an integrated organizational structure. ICS is the combination of facilities, equipment, personnel, procedures, and communications operating within a common organizational structure, designed to aid in the management of resources during incidents. It is used for all kinds of emergencies, and is applicable to small as well as large and complex incidents. For additional information please refer to the NIMS document, page 14 at http://www.fema.gov/pdf/emergency/nims/nims_doc_full.pdf . Incident Action Plan (IAP) An oral or written plan containing general objectives reflecting the overall strategy for managing an incident. For additional information, please see the NIMS document, page 96. Common Communication Plan (CCP) An interoperable communications plan designed to be utilized for multi-agency and multi-jurisdictional incident management operations. All entities involved in managing the incident will utilize common terminology, prescribed by the NIMS, for communications. Preplanned (Recurring/Special) Events A preplanned event is a non-emergency activity. ICS can be used as the management system for a wide range of events, e.g., parades, concerts, or sporting events. For additional information please refer to the NIMS document, page 129. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 2.6 Communication Plan Components Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Incident command system (ICS) A standardized on-scene emergency management system which provides for the adoption of an integrated organizational structure. ICS is the combination of facilities, equipment, personnel, procedures, and communications operating within a common organizational structure, designed to aid in the management of resources during incidents. It is used for all kinds of emergencies, and is applicable to small as well as large and complex incidents. For additional information please refer to the NIMS document, page 14 at http://www.fema.gov/pdf/emergency/nims/nims_doc_full.pdf . Incident Action Plan (IAP) An oral or written plan containing general objectives reflecting the overall strategy for managing an incident. For additional information, please see the NIMS document, page 96. Common Communication Plan (CCP) An interoperable communications plan designed to be utilized for multi-agency and multi-jurisdictional incident management operations. All entities involved in managing the incident will utilize common terminology, prescribed by the NIMS, for communications. Preplanned (Recurring/Special) Events A preplanned event is a non-emergency activity. ICS can be used as the management system for a events such as parades, concerts, or sporting events etc.. For additional information please refer to the NIMS document, page 129. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 2.7 Encouraging Multi-Agency Coordination Systems (MACS) Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Multi-Agency Coordination System (MACS) A MACS is a combination of facilities, equipment, personnel, procedures, and communications integrated into a common system with responsibility for coordinating and supporting domestic incident management activities (NIMS, 33) Framework A framework is defined as a conceptual structure that supports or contains set of systems and/or practices. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 2.8 Designation or Utilization of Multi-Agency Coordination Systems Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Multi-agency Coordination System (MACS) A MACS is a combination of facilities, equipment, personnel, procedures, and communications integrated into a common system with responsibility for coordinating and supporting domestic incident management activities (NIMS, 33) Preplanned (Recurring/Special) Events A preplanned event is a non-emergency activity. ICS can be used as the management system for a events such as parades, concerts, or sporting events etc.. For additional information please refer to the NIMS document, page 129. Incident-Specific Hazards An incident-specific hazard is defined as anticipated events that may or may not occur that require coordinated response to protect life or property, e.g., pandemic flu, avian flu, etc. No-Notice Events/Incident An occurrence or event, natural or human-caused, that requires an emergency response to protect life or property (i.e., terrorist attacks and threats, wildland and urban fires, floods, hazardous materials spills, nuclear accident, aircraft accident, earthquakes, hurricanes, tornadoes, public health and medical emergencies, etc.) Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 2.9 MACS Functions Coordinated by State/Territory Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Multi-agency coordination system (MACS) A MACS is a combination of facilities, equipment, personnel, procedures, and communications integrated into a common system with responsibility for coordinating and supporting domestic incident management activities (NIMS, 33) Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 2.10 Public Information System (PIS) Included in Emergency Operations Plan (EOP) Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Public Information System (PIS) The processes, procedures, and systems for communicating timely and accurate information to the public during crisis or emergency situations. For additional information please refer to the NIMS document, page 35. Joint Information System (JIS) Integrates incident information and public affairs into a cohesive organization designed to provide consistent, coordinated, timely information during a crisis or incident operations. The JIS provides a structure for developing and delivering coordinated interagency messages; developing, recommending, and executing public information plans and strategies on behalf of the Incident Commander (IC); advising the IC concerning public affairs issues that could affect a response effort; and controlling rumors and inaccurate information that could undermine public confidence in the emergency response effort. For additional information, please refer to the NIMS document, page 14. Joint Information Center (JIC) A facility established to coordinate all incident-related public information activities. It is the central point of contact for all news media at the scene of the incident. Public information officials from all participating agencies should collocate at the JIC. For additional information please refer to the NIMS document, page 14 or the NRP page 68. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 2.11 Types of Information that PIS Can Gather, Verify, Coordinate and Disseminate Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Public Information System (PIS) The processes, procedures, and systems for communicating timely and accurate information to the public during crisis or emergency situations. For additional information please refer to the NIMS document, page 35. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. NIMS Compliance Metrics Instructions: State and Territory Section 3: Preparedness Planning This section addresses the jurisdiction’s NIMS baseline, how it coordinates and leverages funding for NIMS implementation, the updating and revising of plans and SOPs to incorporate NIMS, and the level to which intrastate and interagency mutual aid agreements are used. In Section 3, State/Territory NIMS Coordinators and Agency Representatives will be asked to respond to questions related to preparedness planning and funding to support NIMS implementation. Section 3 Required Responses include: * NIMS Baseline Established * Utilization of Federal Preparedness Funding to Improve NIMS Preparedness and Response Activities * Quantify State/Territory Department/Agencies that have Incorporated NIMS with Emergency Management or Response Functions * Extent of NIMS Concepts/Principles Incorporation * Integration of Plans with Federal Response As Described in the NRP * Promotion of Intrastrate and Interagency Mutual Aid Agreements * Promotion of Mutual Aid Agreements with Private Sector and Non-Government Organizations (NGOs) * Types of Mutual Aid Agreements Trained and/or Exercised 3.1 NIMS Baseline Established Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Supporting Guidance * State/Territory can select “Yes” if a baseline was determined using any means the State/Territory [Coordinator] deemed appropriate. The baseline does not have to be NIMCAST-centric or rely on any electronic instrument. * If a NIMS Baseline has not been created, it is encouraged to complete original assessment identified in NIMCAST since 2005. Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. NIMS Baseline The NIMS baseline is an initial assessment of NIMS compliance conducted in 2005 and/or 2006 by participating jurisdictions at State, Territorial, local, and tribal levels. Tool “Tool” refers to any instrument, methodology, or process used by the jurisdiction to collect information in order to establish a NIMS baseline. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 3.2 Utilization of Federal Preparedness Funding to Improve NIMS Preparedness and Response Activities Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Supporting Guidance * Select “Yes” if the State/Territory and/or State/Territory Agency/Department applied for and received Federal Preparedness Funding. * Select “No” if the State/Territory and/or State/Territory Agency/Department applied for Federal Preparedness Funding, but did not receive award. * Select “N/A” if the State/Territory and/or State/Territory Agency/Department did not apply for Federal Preparedness Funding. Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. DHS Funding DHS Funding refers to G&T grants only. Other Preparedness Funding Other Preparedness Funding includes all funding streams other than G&T that directly or indirectly support Homeland Security initiatives, e.g., CDC and HRSA preparedness funds. NIMS Baseline The NIMS baseline is an initial assessment of NIMS compliance conducted in 2005 and/or 2006 by participating jurisdictions at State, Territorial, local, and tribal levels. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 3.3 Quantify State/Territory Department/Agencies that have incorporated NIMS with Emergency Management of Response Functions Intended Stakeholder * State/Territory NIMS Coordinators Supporting Guidance * Total Number of department and/or agencies should be specific to those State/territory executive-level departments/agencies with emergency response duties. Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Homeland Security Exercise and Evaluation Program (HSEEP) As defined by HSEEP, there are seven types of exercises; seminar, workshop, tabletop, game, drill, functional, and full scale. For additional information, please refer to Volume I of HSEEP at www.hseep.dhs.gov Equipment Acquisition The process of obtaining resources to support operational needs. Evaluations Tools used after exercises or actual events to document strengths and weaknesses in a jurisdiction's preparedness, e.g., Lessons learned or After Action Reports (AARs). Corrective Actions Improved procedures that are based on lessons learned from actual incidents or from training and exercises. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 3.4 Extent of NIMS Concepts/Principles Incorporation Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Standard Operating Procedures (SOP) A complete reference document that details the procedures for performing a single function or a number of interdependent functions. For additional information please refer to the NIMS document, page 36. Flexibility A principle of the NIMS that provides a consistent and adjustable national framework within which government and private entities at all levels can work together to manage domestic incidents, regardless of their cause, size, location, or complexity. This flexibility applies across all phases of incident management: prevention, preparedness, response, recovery, and mitigation. For additional information please refer to the NIMS document, page 2. Scalability The ability of incident managers to adapt to incidents by either expanding or reducing the resources necessary to adequately manage the incident, including the ability to incorporate multiple jurisdictions and multiple responder disciplines. Standardization A principle of the NIMS that provides a set of standardized organizational structures—such as the ICS, multi-agency coordination systems, and public information systems—as well as requirements for processes, procedures, and systems designed to improve interoperability among jurisdictions and disciplines in various area, including: training; resource management; personnel qualification and certification; equipment certification; communications and information management; technology support; and continuous system improvement. For additional information please refer to the NIMS document, page 2. Interoperability and Compatibility A principle of the NIMS that holds that systems must be able to work together and should not interfere with one another if the multiple jurisdictions, organizations, and functions that come together under the NIMS are to be effective in domestic incident management. Interoperability and compatibility are achieved through the use of such tools as common communications and data standards, digital data formats, equipment standards, and design standards. (Department of Homeland Security, National Incident Management System (March 2004), 55.) Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 3.5 Integration of Plans with Federal Response as Described in NRP Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 3.6 Promotion of Intrastate and Interagency Mutual Aid Agreements Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Mutual Aid Agreement A written agreement between agencies, organizations, and/or jurisdictions that they will assist one another, on request, by furnishing personnel, equipment, and/or expertise in a specified manner. For additional information on mutual aid, please visit http://www.fema.gov/emergency/nims/rm/ma.shtm Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 3.7 Promotion of Mutual Aid Agreements with Private Sector and NGOs Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Supporting Guidance * All rationale as to why mutual aid agreements are not in place and/or required should be identified in the “No Actions have been taken” text box. Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Mutual Aid Agreement A written agreement between agencies, organizations, and/or jurisdictions that they will assist one another, on request, by furnishing personnel, equipment, and/or expertise in a specified manner. For additional information on mutual aid, please visit http://www.fema.gov/emergency/nims/rm/ma.shtm Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 3.8 Types of Mutual Aid Agreements Trained and/or Exercised Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Supporting Guidance * State/Territory should identify whether or not their jurisdiction is aware—through training and/or exercise—of the policies, protocols, and/or procedures relating to Interstate, Intrastate, and/or Interagency mutual aid agreements. Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Mutual Aid Agreement A written agreement between agencies, organizations, and/or jurisdictions that they will assist one another, on request, by furnishing personnel, equipment, and/or expertise in a specified manner. For additional information on mutual aid, please visit http://www.fema.gov/emergency/nims/rm/ma.shtm Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. NIMS Compliance Metrics Instructions: State and Territory Section 4: Preparedness Training This section addresses how training facilities are used to coordinate and deliver NIMS training and measures the level to which jurisdiction staff is trained in various NIMS courses. In Section 4, State/Territory NIMS Coordinators and Agency Representatives will be asked to respond to questions related to the communication, delivery, and tracking of preparedness training. Section 4 Required Responses include: * Training Conformation to NIMS National Standard Curriculum * Quantity of Facilities Used to Deliver NIMS Training * Communicate, Coordinate, and Track NIMS Training * Document Training Status of Personnel * Quantify Trained Personnel 4.1 Training Conformation with NIMS National Standard Curriculum Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Supporting Guidance * “NIMS National Standard Curriculum” is referring to the “NIMS National Standard Curriculum Training Development Guidance” located on the Training component of the NIC website (www.fema.gov/emergency/nims). Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. NIMS National Standard Curriculum A curriculum designed to provide training on the NIMS. This curriculum will be built around available federal training opportunities and course offerings that support NIMS implementation. The curriculum also will serve to clarify training that is necessary for NIMS-compliance and streamline the training approval process for courses recognized by the curriculum. Initially, the curriculum will be made up of NIMS awareness training and training to support the ICS. Eventually it will expand to include all NIMS training requirements including training established to meet national credentialing standards. For additional information please refer to http://www.fema.gov/pdf/emergency/nims/nsctd.pdf Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 4.2 Quantity of Facilities Used to Deliver NIMS Training Intended Stakeholder * State/Territory NIMS Coordinators Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Available Training Facilities Locations readily and immediately available to be utilized for NIMS training. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 4.3 Communicate, Coordinate and Track NIMS Training Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 4.4 Document Training Status of Personnel Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Document Training Status Document training status can include the State requiring state agencies/departments, local jurisdictions, and tribal jurisdictions to track their own training and provide the detailed training information to the State upon request. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 4.5 Quantify Trained Personnel Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Supporting Guidance * Each State/Territory Agency must account for their own data collection. * To ensure that there is not an inappropriate duplication of data, State/Territory NIMS Coordinators must coordinate data collection with appropriate personnel from State Agencies/Departments. (Within the NIMSCAST; however, State/Territory NIMS Coordinators must realize that this data collection will automatically pre-populate from the collection submitted by the State/Territory Agencies/Departments [as well as from tribal and local jurisdictions]. Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Entry-Level First Responders Entry-level first responders are defined as any responders who are not a supervisor or manager. IS-700 National Incident Management (NIMS) An Introduction IS-800 National Response Plan (NRP) An Introduction ICS-100 Introduction to Incident Command System (ICS) ICS-200 ICS for Single Resources and Initial Action Incidents ICS-300 Intermediate ICS ICS-400 Advanced ICS Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. NIMS Compliance Metrics Instructions: State and Territory Section 5: Metrics: Preparedness Exercise This section addresses the incorporation of NIMS/ICS in training and exercises, involving multi-disciplinary and multi-jurisdictional responders in exercises, and incorporating corrective actions into preparedness and response plans and procedures. In Section 5, State/Territory NIMS Coordinators and Agency Representatives will be asked to respond to questions related to the communication, delivery, and tracking of preparedness exercises. Section 5 Required Responses include: * NIMS/ICS Incorporated into Exercises * Quantity of Exercises that Evaluate NIMS Implementation * Existence of an All-Hazard Exercise Program * Quantity of Exercises with Multi-Disciplinary and/or Mulit-jurisdictional Component * FY 2006 Exercises Requiring Activation of NRP * FY 2007 Exercises Incorporating Activation of NRP * AAR) and/or Lessons Learned * Incorporation of Corrective Action Plans (CAPs), AARs and/or Lessons Learned * Maintenance of Corrective Action Program 5.1 NIMS/ICS Incorporated into Exercises Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Supporting Guidance * Not every State/Territory or State/Territory Agencies/Departments train and/or exercises at a intrastate regional level. Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Incident Command System (ICS) A standardized on-scene emergency management system which provides for the adoption of an integrated organizational structure. ICS is the combination of facilities, equipment, personnel, procedures, and communications operating within a common organizational structure, designed to aid in the management of resources during incidents. It is used for all kinds of emergencies, and is applicable to small as well as large and complex incidents. For additional information please refer to the NIMS document, page 14 at http://www.fema.gov/pdf/emergency/nims/nims_doc_full.pdf . Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 5.2 Quantity of Exercises that Evaluate NIMS Implementation Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Supporting Guidance * This metrics collection should reflect all exercises conducted in FYs 2005-2007 which exercised NIMS principles and components. * To ensure that there is not an inappropriate duplication of data collection, State/Territory Departments/Agencies must account only for the exercises for which they were named the lead agency. State/Territory Departments/Agencies should consult State/Territory NMS Coordinator for accuracy of information. Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Incident Command System (ICS) A standardized on-scene emergency management system which provides for the adoption of an integrated organizational structure. ICS is the combination of facilities, equipment, personnel, procedures, and communications operating within a common organizational structure, designed to aid in the management of resources during incidents. It is used for all kinds of emergencies, and is applicable to small as well as large and complex incidents. For additional information please refer to the NIMS document, page 14 at http://www.fema.gov/pdf/emergency/nims/nims_doc_full.pdf . Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 5.3 Existence of an All-Hazard Exercise Program Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Exercise Program (HSEEP) As defined by HSEEP, there are seven types of exercises; seminar, workshop, tabletop, game, drill, functional, and full scale. For additional information, please refer to Volume I of HSEEP at www.hseep.dhs.gov Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 5.4 Quantity of Exercises with Multi-Disciplinary and/or Multi-Jurisdictional Component Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Supporting Guidance * When answering this question, please disregard the “functional” distinction. All types of exercises (listed in Section 5.2) must be accounted for. Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Homeland Security Exercise and Evaluation Program (HSEEP) As defined by HSEEP, there are seven types of exercises; seminar, workshop, tabletop, game, drill, functional, and full scale. For additional information, please refer to Volume I of HSEEP at www.hseep.dhs.gov Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 5.5 Quantity of Exercises Requiring Activation of NRP in FY06 Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. State/Territorial Exercises State/Territorial Exercises refers to any exercises executed within the state during FY 2006. Homeland Security Exercise and Evaluation Program (HSEEP) As defined by HSEEP, there are seven types of exercises; seminar, workshop, tabletop, game, drill, functional, and full scale. For additional information, please refer to Volume I of HSEEP at www.hseep.dhs.gov Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 5.6 FY07 Exercises Incorporating Activation of NRP Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Homeland Security Exercise and Evaluation Program (HSEEP) As defined by HSEEP, there are seven types of exercises; seminar, workshop, tabletop, game, drill, functional, and full scale. For additional information, please refer to Volume I of HSEEP at www.hseep.dhs.gov Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 5.7 After Action Reports and/or Lessons Learned Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. After Action Report (AAR) The AAR documents the performance of exercise related tasks and makes recommendations for improvements. The Improvement Plan outlines the actions that the exercising jurisdiction(s) plans to take to address recommendations contained in the AAR. Lessons Learned Knowledge gained through operational experience (actual events or exercises) that improve performance of others in the same discipline. For additional information please visit https://www.llis.dhs.gov/. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 5.8 Incorporation of Corrective Action Plans, After Action Reports, and/or Lessons Learned Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Supporting Guidance * State/Territory NIMS Coordinators and State/Territory Agencies/Departments should incorporate items identified in corrective actions, after action reports, and lessons learned into plans and procedures. Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Corrective Action Improved procedures that are based on lessons learned from actual incidents or from training and exercises. After Action Report (AAR) The AAR documents the performance of exercise related tasks and makes recommendations for improvements. The Improvement Plan outlines the actions that the exercising jurisdiction(s) plans to take to address recommendations contained in the AAR. Lessons Learned Knowledge gained through operational experience (actual events or exercises) that improve performance of others in the same discipline. For additional information please visit https://www.llis.dhs.gov/. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 5.9 Maintenance of Corrective Action Program Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Improvement Plan The After Action Report documents the performance of exercise related tasks and makes recommendations for improvements. The Improvement Plan outlines the actions that the exercising jurisdiction(s) plans to take to address recommendations contained in the AAR. After Action Report (AAR) The AAR documents the performance of exercise related tasks and makes recommendations for improvements. The Improvement Plan outlines the actions that the exercising jurisdiction(s) plans to take to address recommendations contained in the AAR. Corrective Action Improved procedures that are based on lessons learned from actual incidents or from training and exercises. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. NIMS Compliance Metrics Instructions: State and Territory Section 6: Resource Management This section addresses the inventorying of response assets and its conformance to homeland security resource typing standards, the incorporation of national standards into acquisition programs to achieve equipment, communications, and data interoperability, and the utilization of the response asset inventory for Emergency Management Assistance Compact (EMAC) requests. In Section 6, State/Territory NIMS Coordinators and Agency Representatives will be asked to respond to questions related to resource management. Section 6 Required Responses include: * Inventory of Response Assets * Response Asset Inventory Developed * Resource Typing for Response Assets * Number of Local/Tribal Jurisdictions that have Provided Inventory of Resources * Acquisition Adoption of Interoperability Standards * Incorporation of Standard Equipment List and Other Federal Standards Data * State Validation of Inventory * Utilization of Response Asset Inventory 6.1 Inventory of Response Assets Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Response Resources/Assets Response Resources are defined as assets that include equipment, personnel and supplies that are available for use during an incident. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 6.2 Response Asset Inventory Developed Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Response Asset Inventory An inventory of the jurisdiction's resources that have been identified and typed according to NIMS Resource Typing Standards. Development of a Response Asset Inventory requires resource typing of equipment, personnel, and supplies identified in the inventories of State resources. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 6.3 Resource Typing for Response Assets Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Supporting Guidance: * Homeland Security Resource Typing standards refers to the 120 Resource Type Definitions posted on the NIMS Integration Center website http://www.fema.gov/emergency/nims/rm/rt.shtm Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Resource Typing Resource typing is the categorization of resources that are commonly exchanged through mutual aid during disasters. Resource typing definitions help define resource capabilities for ease of ordering and mobilization during a disaster. For additional information please visit http://www.fema.gov/emergency/nims/rm/rt.shtm Response Resources/ Assets Response Resources are defined as assets that include equipment, personnel and supplies that are available for use during an incident. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 6.4 Number of Local/Tribal Jurisdictions that have Provided Inventory of Resources Intended Stakeholder * State/Territory NIMS Coordinators Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Resource Typing Resource typing is the categorization of resources that are commonly exchanged through mutual aid during disasters. Resource typing definitions help define resource capabilities for ease of ordering and mobilization during a disaster. For additional information please visit http://www.fema.gov/emergency/nims/rm/rt.shtm Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 6.5 Acquisition Adoption of Interoperability Standards Intended Stakeholder * State/Territory NIMS Coordinators Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Interoperable A principle of the NIMS that holds that systems must be able to work together and should not interfere with one another if the multiple jurisdictions, organizations, and functions that come together under the NIMS are to be effective in domestic incident management. Interoperability and compatibility are achieved through the use of such tools as common communications and data standards, digital data formats, equipment standards, and design standards. For additional information please refer to the NIMS document, page 55. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 6.6 Incorporation of Standard Equipment List and Other Federal Standards Data Intended Stakeholder * State/Territory NIMS Coordinators Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Standardized Equipment List A list issued annually to promote interoperability and standardization across the response community at the local, state, and federal levels by offering a standard reference and a common set of terminology. It is provided to the responder community by the Interagency Board for Equipment Standardization and Interoperability (IAB). The Standardized Equipment List (SEL) contains a list of generic equipment recommended by the IAB to organizations in preparing for and responding to all-hazards.  Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 6.7 State Validation of Inventory Intended Stakeholder * State NIMS Coordinator Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Response Resources/Assets Response Resources are defined as assets that include equipment, personnel and supplies that are available for use during an incident. Resource Typing Resource typing is the categorization of resources that are commonly exchanged through mutual aid during disasters. Resource typing definitions help define resource capabilities for ease of ordering and mobilization during a disaster. For additional information please visit http://www.fema.gov/emergency/nims/rm/rt.shtm Response Asset Inventory An inventory of the jurisdiction's resources that have been identified and typed according to NIMS Resource Typing Standards. Development of a Response Asset Inventory requires resource typing of equipment, personnel, and supplies identified in the inventories of State resources. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 6.8 Utilization of Response Asset Inventory Intended Stakeholder * State NIMS Coordinator Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Response Asset Inventory An inventory of the jurisdiction's resources that have been identified and typed according to NIMS Resource Typing Standards. Development of a Response Asset Inventory requires resource typing of equipment, personnel, and supplies identified in the inventories of State resources. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. NIMS Compliance Metrics Instructions: State and Territory Section 7: Communication and Information Management This section addresses the application of standardized and consistent terminology and the development of systems, tools, and processes to present consistent and accurate information to incident managers. In Section 7, State/Territory NIMS Coordinators and Agency Representatives will be asked to respond to questions related to communication and information management. Section 7 Required Responses include: * Implementation of Communication Standards During Multi-Agency and/or Multi-Jurisdictional Events * Methods to Ensure Consistent and Accurate Information During Incident * Implementation examples * Adopted jurisdiction-wide policy to use plain language during response operations 7.1 Implementation of Communication Standards During Multi-Agency and/or Multi-Jurisdictional Events Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Tier 1 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an affirmative answer to compliance metric above to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS Implementation Fact Sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Plain Language Common terms and definitions that can be understood by individuals from all responder disciplines. The intent of plain language is to ensure the clear and accurate communication of information during an incident. Standardized Terminology Commonly accepted language that is consistent with policies, plans, or procedures in the NIMS and NRP to facilitate multi-agency, multi-disciplinary or multi-jurisdictional communications during an incident. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. 7.2 Methods to Ensure Consistent and Accurate information During Incident Intended Stakeholder * State/Territory NIMS Coordinators * State/Territory Agencies/Departments Supporting Guidance * As written in the NIMS, Common Operating picture is a broad view of the overall situation as reflected by situation reports, aerial photography, and other information or intelligence. Tier 2 Requirement States and Territories (Tribal Nations/Local jurisdictions) must provide an answer to compliance metric above. Answers to the statement do not need to be in the affirmative to be deemed NIMS compliant. For additional information on NIMS compliance tiers, visit the NIMS implementation Fact sheet at http://www.fema.gov/pdf/emergency/nims/fy_2007_nims_impleme_fs_010307.pdf. Systems The principles, system components, and procedures needed to present consistent and accurate information during an incident. Tools The instruments used to convey incident information. Processes The procedures and protocols used for communicating timely and accurate information during incidents. Notes Section The Notes Section provides the opportunity to give additional information regarding NIMS implementation activities. (i.e., which department or agency manages a particular task, where to find additional information [plans, EOP] or additional detail on the particular question or metric. Guide to Fiscal Year 2007 NIMS Compliance List of Acronyms AAR After Action Report CAP Corrective Action Plan CCP Common Communication Plan CDC Center for Disease Control DHS Department of Homeland Security EMAC Emergency Management Assistance Compact EOC Emergency Operations Plan FEMA Federal Emergency Management Agency G&T Grants and Training (G&T) HRSA Health Resources and Services Administration HSEEP Homeland Security Exercise and Evaluation Program HSPD Homeland Security Presidential Directive IAB Inter-Agency Board for Equipment Standardization and Interoperability IAP Incident Action Plan IC Incident Commander ICS Incident Command System JIC Joint Information Center JIS Joint Information System MACS Multi-Agency Coordination Systems NEMA National Emergency Management Association NGO Non-Government Organization NIMS National Incident Management System NIC NIMS Integration Center NIMCAST NIMS Capability Assessment Support Tool NIMSCAST NIMS Compliance Assistance Support Tool NRP National Response Plan PIS Public Information Systems RAMP Remedial Action Management Program SAA State Administrative Agency SEL Standard Equipment List SOP Standard Operating Procedure Guide to Fiscal Year 2007 NIMS Compliance Terms of Reference Actual Event A disaster (natural or man-made) that has warranted action to protect life, property, environment, public health or safety. Natural disasters include earthquakes, hurricanes, tornadoes, floods, etc.; man-made (either intentional or accidental) incidents can include chemical spills, terrorist attacks, explosives, biological attacks, etc. After Action Reports The AAR documents the performance of exercise related tasks and makes recommendations for improvements. The Improvement Plan outlines the actions that the exercising jurisdiction(s) plans to take to address recommendations contained in the AAR. Common Communication Plan (CCP) An interoperable communications plan designed to be utilized for multi-agency and multi-jurisdictional incident management operations. All entities involved in managing the incident will utilize common terminology, prescribed by the NIMS, for communications. Common Operating Picture A broad view of the overall situation as reflected by situation reports, aerial photography, and other information or intelligence. (NIMS, 119) Constraints/Impediments These are defined below. For example, education and policy Corrective Action Plan (CAP) A process implemented after incidents or exercises to assess, investigate, and identify and implement appropriate solutions to prevent repeating problems encountered. For additional information on CAPs please visit https://hseep.dhs.gov/caps/Login.jsp Corrective Actions Improved procedures that are based on lessons learned from actual incidents or from training and exercises. Critical Infrastructure Systems and assets, whether physical or virtual, so vital to the United States that the incapacity or destruction of such systems and assets would have a debilitating impact on security, national economic security, national public health or safety, or any combination of those matters. (Department of Homeland Security, National Response Plan (December 2004), 64.) Education Formal instruction based on a curriculum that prepares an individual with the core knowledge and skill for entry into a discipline and for performing a job function Entry-level First Responders Entry-level first responders are defined as any responders who are not a supervisor or manager. Emergency Management Assistance Compact (EMAC) The Emergency Management Assistance Compact is an interstate mutual aid agreement that allows states to assist one another in responding to all kinds of natural and man-made disasters. It is administered by the National Emergency Management Association (NEMA). Emergency Operations Plan (EOP) The plan maintained by various jurisdictional levels for managing a wide variety of potential hazards. For additional information please see the NRP, page 65 or the NIMS document, page 129.   Exercise Exercises are a planned and coordinated activity allowing homeland security and emergency management personnel—from first responders to senior officials—to demonstrate training, exercise plans, and practice prevention, protection, response, and recovery capabilities in a realistic but risk-free environment. Exercises are a valuable tool for assessing and improving performance, while demonstrating community resolve to prepare for major incidents. Evaluations Tools used after exercises or actual events to document strengths and weaknesses in a jurisdiction's preparedness, e.g., Lessons learned or after action reports. Federal Preparedness Funding Funding designated for developing and/or enhancing State, Territorial, local, and tribal preparedness capabilities. This includes all funding streams that directly or indirectly support Homeland Security initiatives, e.g., CDC and HRSA preparedness funds. Federal Standards Common rules, conditions, guidelines or characteristics, established by the Federal Government. Flexibility A principle of the NIMS that provides a consistent, flexible, and adjustable national framework within which government and private entities at all levels can work together to manage domestic incidents, regardless of their cause, size, location, or complexity. This flexibility applies across all phases of incident management: prevention, preparedness, response, recovery, and mitigation. (Department of Homeland Security, National Incident Management System (March 2004), 2.) Funding Financial resources available to assist in achievement of tasks associated with NIMS implementation Homeland Security Exercise and Evaluation Program (HSEEP) A capabilities- and performance-based exercise program that provides a standardized policy, methodology, and language for designing, developing, conducting, and evaluating all exercises. HSEEP also facilitates the creation of self-sustaining, capabilities-based exercise programs by providing tools and resources such as guidance, training, technology, and direct support. For additional information please visit the HSEEP toolkit at http://www.hseep.dhs.gov Improvement Plan The After Action Report documents the performance of exercise related tasks and makes recommendations for improvements. The Improvement Plan outlines the actions that the exercising jurisdiction(s) plans to take to address recommendations contained in the AAR. Incident Action Plan (IAP) An oral or written plan containing general objectives reflecting the overall strategy for managing an incident. For additional information, please see the NIMS document, page 96. Incident Command System (ICS) A standardized on-scene emergency management system which provides for the adoption of an integrated organizational structure. ICS is the combination of facilities, equipment, personnel, procedures, and communications operating within a common organizational structure, designed to aid in the management of resources during incidents. It is used for all kinds of emergencies, and is applicable to small as well as large and complex incidents. For additional information please refer to the NIMS document, page 14 at http://www.fema.gov/pdf/emergency/nims/nims_doc_full.pdf. Incident-Specific Hazards Anticipated events that may or may not occur that require coordinated response to protect life or property, e.g., pandemic flu, avian flu, etc. Interagency An organization or committee comprised of multiple agencies Interoperable A principle of the NIMS that holds that systems must be able to work together and should not interfere with one another if the multiple jurisdictions, organizations, and functions that come together under the NIMS are to be effective in domestic incident management. Interoperability and compatibility are achieved through the use of such tools as common communications and data standards, digital data formats, equipment standards, and design standards. (Department of Homeland Security, National Incident Management System (March 2004), 55.) Interstate A region comprised of multiple states. Intrastate A region within a single state. Joint Information Center (JIC) A facility established to coordinate all incident-related public information activities. It is the central point of contact for all news media at the scene of the incident. Public information officials from all participating agencies should collocate at the JIC. For additional information please refer to the NIMS document, page 14 or the NRP page 68. Joint Information System (JIS) Integrates incident information and public affairs into a cohesive organization designed to provide consistent, coordinated, timely information during a crisis or incident operations. The JIS provides a structure for developing and delivering coordinated interagency messages; developing, recommending, and executing public information plans and strategies on behalf of the Incident Commander (IC); advising the IC concerning public affairs issues that could affect a response effort; and controlling rumors and inaccurate information that could undermine public confidence in the emergency response effort. For additional information, please refer to the NIMS document, page 14. Lessons Learned Knowledge gained through operational experience (actual events or exercises) that improve performance of others in the same discipline. For additional information please visit https://www.llis.dhs.gov/ Measure A determination of a jurisdiction's specific level of NIMS compliance, evaluated according to that jurisdiction's responses to the NIMS metrics that have been established by the NIC. Metric Metrics are measurements in the form of questions that were derived from NIMS implementations activities. These metrics were separated into two categories; tier 1 and tier 2. Multi-Agency Coordination System (MACS) A Multi-Agency Coordination System is a combination of facilities, equipment, personnel, procedures, and communications integrated into a common system with responsibility for coordinating and supporting domestic incident management activities (NIMS, 33) Mutual Aid Agreement A written agreement between agencies, organizations, and/or jurisdictions that they will assist one another, on request, by furnishing personnel, equipment, and/or expertise in a specified manner. For additional information on mutual aid, please visit http://www.fema.gov/emergency/nims/rm/ma.shtm National Response Plan (NRP) A plan mandated by HSPD-5 that integrates Federal domestic prevention, preparedness, response, and recovery plans into one all-discipline, all-hazards plan. For additional information please visit www.dhs.gov/nrp NIMS Compliance Assistance Tool The NIMS Compliance Assistance Tool will be a self assessment instrument for State, territorial, tribal, local, private sector, and non-governmental organizations to evaluate and report their jurisdiction's achievement of all NIMS implementation activities. NIMS Adoption The establishment of a legal authority (e.g. executive order, proclamation, resolution, legislation, or other legal mandate) that requires all departments and agencies operating within the jurisdiction to use NIMS principles and methodologies in their all-hazards incident management system. NIMS Baseline An initial assessment of NIMS compliance conducted in 2005 and/or 2006 by participating jurisdictions at State, Territorial, local, and tribal levels. NIMS Implementation All activities necessary for adopting and institutionalizing NIMS. Implementation includes the formal adoption of NIMS, the use of a NIMS-compliant approach to all incident management operations, etc. NIMS National Standard Curriculum A curriculum designed to provide training on the NIMS. This curriculum will be built around available federal training opportunities and course offerings that support NIMS implementation. The curriculum also will serve to clarify training that is necessary for NIMS-compliance and streamline the training approval process for courses recognized by the curriculum. Initially, the curriculum will be made up of NIMS awareness training and training to support the Incident Command System (ICS). Eventually it will expand to include all NIMS training requirements including training established to meet national credentialing standards. NIMS Promotion and Encouragement Activities such as meetings (e.g., conferences, working groups, etc.), mailings (e.g., newsletters, letters, etc.), email, or other established methods (e.g., broadcast media). No-Notice Event/ Incident An occurrence or event, natural or human-caused, that requires an emergency response to protect life or property (i.e., terrorist attacks and threats, wildland and urban fires, floods, hazardous materials spills, nuclear accident, aircraft accident, earthquakes, hurricanes, tornadoes, public health and medical emergencies etc.) Organization Formalized structured planning groups and governing bodies with defined authorities, missions, and responsibilities. Personnel Paid and volunteer staff who meet required qualification and certification standards necessary to perform assigned missions and tasks. Plain Language Common terms and definitions that can be understood by individuals from all responder disciplines. The intent of plain language is to ensure the clear and accurate communication of information during an incident. For additional information, refer to http://www.fema.gov/pdf/emergency/nims/plain_lang.pdf Plans Documents such as procedures, mutual aid agreements, strategies, and other publications that may describe some of the following: governance, management, standard operating procedures, technology, and activities in support of defined missions and tasks. Policy A course of action, guidance, or principle intended to influence and guide decisions, actions, and other matters Preplanned Event A non-emergency activity. ICS can be used as the management system for a wide range of events, e.g., parades, concerts, or sporting events. (Department of Homeland Security, National Incident Management System (March 2004), 129.) Principal Coordinator The position designated by the State Administrative Agency (SAA) primarily responsible for coordination of all NIMS-related directives. This includes dissemination and collection of information and monitoring and reporting on compliance activities. Public Information System (PIS) The processes, procedures, and systems for communicating timely and accurate information to the public during crisis or emergency situations. For additional information please refer to the NIMS document, page 35. Remedial Action Management Program (RAMP) A program that will identify and remedy operational and programmatic issues encountered in disaster response and recovery operations and exercises. Known as the RAMP, it will also capture lessons learned and smart practices that will become part of a Web-based national library accessible to all levels of government…The RAMP replaces the Disaster Corrective Action Program and involves restructured procedures and new issue-management authorities. Resource Typing Resource typing is the categorization of resources that are commonly exchanged through mutual aid during disasters. Resource typing definitions help define resource capabilities for ease of ordering and mobilization during a disaster. For additional information please visit http://www.fema.gov/emergency/nims/rm/rt.shtm Response Activities that address the short-term, direct effects of an incident. Response includes immediate actions to save lives, protect property, and meet basic human needs. Response also includes the execution of emergency operations plans and incident mitigation activities designed to limit the loss of life, personal injury, property damage, and other unfavorable outcomes. For additional information please see the NRP, page 72 or the NIMS document, page 136. Response Asset Inventory An inventory of the jurisdiction's resources that have been identified and typed according to NIMS Resource Typing Standards. Development of a Response Asset Inventory requires resource typing of equipment, personnel, and supplies identified in the inventories of State resources. Response Assets/Resources Response Resources are defined as assets that include equipment, personnel and supplies that are available for use during an incident. Scalability The ability of incident managers to adapt to incidents by either expanding or reducing the resources necessary to adequately manage the incident, including the ability to incorporate multiple jurisdictions and multiple responder disciplines. Standardized Equipment List (SEL) A list issued annually to promote interoperability and standardization across the response community at the local, state, and federal levels by offering a standard reference and a common set of terminology. It is provided to the responder community by the Interagency Board for Equipment Standardization and Interoperability (IAB). The SEL contains a list of generic equipment recommended by the IAB to organizations in preparing for and responding to all-hazards.  Standard Operating Procedures (SOP) A complete reference document that details the procedures for performing a single function or a number of interdependent functions. (Department of Homeland Security, National Incident Management System (March 2004), 36.) Standardization A principle of the NIMS that provides a set of standardized organizational structures—such as the ICS, multi-agency coordination systems, and public information systems—as well as requirements for processes, procedures, and systems designed to improve interoperability among jurisdictions and disciplines in various area, including: training; resource management; personnel qualification and certification; equipment certification; communications and information management; technology support; and continuous system improvement. (Department of Homeland Security, National Incident Management System (March 2004), 2.) Standardized Terminology Commonly accepted language that is consistent with policies, plans, or procedures in the NIMS and NRP to facilitate multi-agency, multi-disciplinary or multi-jurisdictional communications during an incident. Strategy Plans, policies, procedures for how the State or Territory will achieve NIMS implementation. Training Specialized instruction and practice to improve performance and lead to enhanced emergency management capabilities Training Curriculum A course or set of courses designed to teach personnel specific processes, concepts, or task-oriented skills. ###