NIMS Implementation Matrix for Local and Tribal Jurisdictions (October 1, 2006 - September 30, 2007) Introduction Homeland Security Presidential Directive 5 (HSPD-5) Management of Domestic Incidents called for the establishment of a single, comprehensive National Incident Management System (NIMS). The NIMS is a system that improves response operations through the use of the Incident Command System (ICS) and other standard procedures and preparedness measures. It also promotes development of multi-jurisdictional, statewide and interstate regional mechanisms for coordinating incident management and obtaining assistance during large-scale or complex incidents. HSPD-5 dictated that Federal departments and agencies shall make adoption of the NIMS a requirement for the provision of Federal preparedness assistance funds. HSPD-5 also established and designated the NIMS Integration Center (NIC) as the lead Federal agency to coordinate NIMS compliance. One of the primary functions of the NIC is to ensure NIMS remains an accurate and effective management tool through refining and adapting compliance requirements to address ongoing preparedness needs. To accomplish this, the NIC relies on input from Federal, state, local, tribal, multi-discipline and private authorities to assure continuity and accuracy of ongoing efforts. As recent events have illustrated, all levels of government as well as community-based organizations and the private-sector must work together to prevent, prepare for, respond to, and recover from any emergency or disaster. NIMS compliance must be an ongoing effort as new personnel must be trained and plans must be revised to reflect lessons learned. Tribal and local authorities have the primary responsibility in emergencies and disasters situations as the overwhelming majority of emergency incidents are handled on a daily basis by a single jurisdiction. It is critically important that all jurisdictions comply with the NIMS because the challenges we face as a nation are far greater than the capabilities of any one jurisdiction. As such, NIMS compliance should be considered and undertaken as a community-wide and nationwide effort. The benefit of NIMS is most evident at the local level, when a community as a whole prepares for and provides an integrated response to an incident. Incident response organizations (to include local public health, public works, emergency management, fire, emergency medical services, law enforcement, hazardous materials, private sector entities, non-governmental organizations, medical organizations, utilities, and others) must work together to comply with NIMS components, policies, and procedures. Implementation of the NIMS in every tribal and local jurisdiction establishes a foundation upon which more advanced homeland security capabilities can be built. Goal As NIMS becomes more incorporated into incident management, state/territorial and tribal/local jurisdictions will be able to: - Ensure common and proven incident management doctrine, practices and principles are used to plan for, protect against, respond to and recover from emergency incidents and preplanned events; - Maintain a response operation capable of expanding to meet an escalating situation and the ability to integrate resources and equipment from intrastate and interstate mutual aid agreements, state-provided assistance and federal government response; - Order and track response assets using common resource typing and definitions, and draw on mutual aid agreements for additional assistance; - Establish staging and allocation plans for the re-distribution of equipment, supplies and aid coming into the area from other localities, states or the federal government through mutual aid agreements; - Conduct situational assessments and establish the appropriate ICS organizational structure to effectively manage the incident; and - Establish communication processes, procedures and protocols that will ensure effective interoperable communications among emergency responders, 9-1-1 centers and multi-agency coordination systems such as Emergency Operations Centers (EOC). The long-term goal of NIMS is to provide state, territorial, local, and tribal jurisdictions with a consistent operational framework for all aspects of incident management. This framework should be sustainable, flexible, and scalable to meet changing incident needs and allow for integration of other resources from various partners through mutual aid agreements. NIMS Compliance In previous years, the NIC took steps toward achieving this goal of NIMS implementation and compliance.  In October 2005, the NIC disseminated the FY06 NIMS Compliance Requirements Matrices to the state, territory, tribal and local partners.  Included was a letter to the nation’s governors emphasizing the need to take the initial actions (as described in the matrices) to build a consistent operational framework for the nation.  During FY06, states/territories were asked to self-certify their NIMS compliance by completing a NIMS certification form.  Some states utilized the National Incident Management Capability Assessment Support Tool (NIMCAST) to assist in determining their NIMS compliance baseline. The current NIMCAST tool is being redesigned to better meet stakeholder needs.  Once released (in early 2007), the NIMCAST will be the preferred tool for use by states to assess NIMS compliance.  All jurisdictions will be encouraged to use the NIMCAST to assess their compliance; however, other independently-developed electronic tools may be used for this purpose, provided that those tools can replicate the questions and metrics NIMCAST will assess.  In FY07, the self-certification approach will transition to performance-based questions and a measurement system of “metrics” which were derived, in part, from the required actions for compliance specified in the FY06 matrices.  A collaborative approach with various state and local stakeholders was used to develop the metrics.  This approach was based on the broad experiences of the subject matter experts from within the stakeholder group. Overall these metrics will measure the specific compliance requirements of state, territorial, tribal, and local jurisdictions for NIMS implementation in a consistent and achievable manner. The metrics were separated into two categories: - Tier 1 metrics and questions (bold type) were deemed critical to measuring FY07 compliance.  The Tier 1 metrics were derived from previously established NIMS requirements, and are fundamental to the success of NIMS implementation. All Tier 1 questions require answers in the affirmative to achieve compliance by the end of FY 07.   - All other metrics and questions (not in bold type) were deemed necessary in establishing a clear path ahead. These metrics and questions form the basis of FY 08 NIMS requirements and will be deemed critical at the end of FY 08. At present, they should be used to assess current implementation activities and revise long-term planning to ensure compliance in FY 08. All other questions do not require answers in the affirmative to achieve compliance by the end of FY 07. NIMS refinement will continue to evolve as policy and technical issues are further developed and clarified.  This may well result in additional requirements being issued by the NIC as to what will constitute NIMS compliance in FY07 and beyond.  With the completion of the FY07 actions, state, territorial, local, and tribal governments will have the foundational support for future NIMS implementation and compliance.  The effective and consistent implementation of the NIMS nationwide will result in a strengthened national capability to prevent, prepare for, respond to and recover from any type of incident.  FY07 Compliance Matrix The FY07 NIMS Implementation Matrices have been updated to reflect the transition from self-certification to specific performance-based metrics (see table below). The matrices describe the necessary actions for tribal/local jurisdictions to be compliant with NIMS in FY07 (September 30, 2007). These implementation requirements are in addition to the FY06 NIMS requirements as established in October, 2005. These requirements are available on the NIMS web page at: http://www.fema.gov/emergency/nims/index.shtm. Specific updates include: - New Required Compliance Actions: These are indicated by “NEW FOR FY07” and should be addressed in FY07. - Specific Areas of Measure: This new column indicates the specific areas that will be measured by the NIMS Integration Center. Additionally, areas determined essential to successful NIMS implementation are emphasized in BOLD (supporting areas are in regular font). NIMS Implementation Matrix Section Title Required Actions # 1 for Compliance: - Current Compliance Requirement Specific Areas of Measure: - Tier 1: Essential area required for compliance in FY07 - Areas to be measured for compliance in FY07 Guidance and Technical Assistance Resources: - Guidance and resources to assist in performing the required action Required Actions #2 for Compliance: - NEW FOR FY07: New FY07 Compliance Requirement Specific Areas of Measure: - New area to be developed in FY07 and measured in FY08 Guidance and Technical Assistance Resources: - Guidance and resources to assist in performing the required action More information on NIMS and NIMS compliance, and answers to frequently asked questions are available on the NIMS Integration Center web page: (www.fema.gov/emergency/nims/nims.shtm). FY07 Compliance Activities Community Adoption Required Actions # 1 for Compliance: - Adopt NIMS at the community level 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. Specific Areas of Measure: - Tier 1: Formal NIMS adoption achieved by tribal/local jurisdictions. - Tier 1: Tribal/local jurisdictions promote and encourage NIMS adoption by tribal/local level stakeholders (associations, utilities, NGOs, and appropriate private sectors partners). - Tribal/local jurisdictions monitor formal NIMS adoption. Guidance and Technical Assistance Resources: - Adopt NIMS through executive order, proclamation, resolution, or legislation as the jurisdiction's official all-hazards, incident response system. - Develop a baseline assessment of the NIMS implementation requirements that your jurisdiction already meets, and using that baseline, develop a strategy for full NIMS implementation and maintenance. - NIMS Capability Assessment Support Tool (NIMCAST): www.fema.gov/nimcast/index.jsp - NIMS Adoption Tools and Templates: www.fema.gov/emergency/nims/nims_toolsandtemplates.shtm Required Actions # 2 for Compliance: - NEW FOR FY07: Designate a single point of contact within the tribal/local jurisdiction to serve as the principal coordinator for NIMS implementation. Specific Areas of Measure: - Single point of contact for overall NIMS implementation designated by tribal/local jurisdictions. Guidance and Technical Assistance Resources: - Consider establishing new or leverage existing cross-jurisdictional and cross-discipline advisory group to assist and ensure full implementation of NIMS. - Example: tribal/local representative designated to coordinate NIMS implementation within the tribal/local jurisdiction. FY07 Compliance Activities Command and Management Required Actions # 1 for Compliance - Incident Command System (ICS):Manage all emergency incidents and preplanned (recurring/special) events in accordance with ICS organizational structures, doctrine, and procedures, as defined in NIMS. ICS implementation must include the consistent application of Incident Action Planning (IAP) and Common Communications Plans (CCP), as appropriate Specific Areas of Measure: - Tier 1: Tribal/local responders utilize NIMS-prescribed ICS during all-hazards incident response. - Tribal/local responders utilize NIMS-prescribed ICS during preplanned events. - Tribal/local jurisdiction consistently applies NIMS-prescribed ICS to IAPs. - Tribal/local jurisdiction consistently applies NIMS-prescribed ICS to CCPs. - Utilization of ICS verified by exercises. Guidance and Technical Assistance Resources: - Institutionalize ICS: Terms and definitions: www.fema.gov/txt/nims/institutionalizing_ics.txt - Incorporate concepts and principles of NIMS Chapter II, Command and Management including ICS characteristics such as: - common terminology - modular organization - management by objectives - incident action planning - manageable span of control - pre-designated incident facilities - comprehensive resource management - integrated communications - transfer of command - unity of command - unified command - personnel and resource accountability - information and intelligence management Required Actions # 2 for Compliance: - Multi-agency Coordination System: Coordinate and support emergency incident and event management through the development and use of integrated multi-agency coordination systems, i.e. develop and maintain connectivity capability between local Incident Command Posts (ICPs), local 911 Centers, local Emergency Operations Centers (EOCs) and state/territorial EOC. Specific Areas of Measure: - Multi-agency Coordination System: Coordinate and support emergency incident and event management through the development and use of integrated multi-agency coordination systems, i.e. develop and maintain connectivity capability between local Incident Command Posts (ICPs), local 911 Centers, local Emergency Operations Centers (EOCs) and state/territorial EOC. Guidance and Technical Assistance Resources: - NIMS Chapter II, Command and Management. - IS-701 NIMS Multi-agency Coordination System: http://training.fema.gov/EMIWeb/IS/is701.asp - FEMA NIMS Training: www.fema.gov/emergency/nims/nims_training.shtm - National Emergency Training Center 2006-2007 Training Catalog: Introduction to Unified Command for Multi-Agency and Catastrophic Incidents: www.usfa.dhs.gov/downloads/pdf/nfa/fa-273-nfa.pdf - Multi-agency Coordination System Best Practices will be available at: www.fema.gov/emergency/nims Required Actions # 3 for Compliance: - Public Information System: Implement processes, procedures, and/or plans to communicate timely, accurate information to the public during an incident through a Joint Information System and Joint Information Center. Specific Areas of Measure: - The tribal/local jurisdictions preparedness and emergency plans have provisions for utilizing a NIMS-prescribed PIS including the establishment of: - Joint Information System (JIS) - Joint Information Center (JIC) Guidance and Technical Assistance Resources: - NIMS Chapter II, Command and Management. - IS-702 National Incident Management Systems (NIMS) Public Information Systems: http://training.fema.gov/EMIWeb/IS/is702.asp - Public Information Training (E388, Advanced Public Information Officers and G290, Basic Public Information Officers). - Public Information System Best Practices will be available at: www.fema.gov/emergency/nims Required Actions # 4 for Compliance: - NEW FOR FY07: Ensure that the Public Information System can gather, verify, coordinate, and disseminate information during an incident. Specific Areas of Measure: - Public Information System can gather, verify, coordinate, and disseminate information during an incident. - Public Information System capability verified by exercises. Guidance and Technical Assistance Resources: - Utilize existing Public Information System and/or other communication systems for best practices and technical aids. FY07 Compliance Activities Preparedness Planning Required Actions # 1 for Compliance: - Establish the community’s NIMS baseline against the FY05 and FY06 implementation requirements. Specific Areas of Measure: - Tier 1: Tribal and local jurisdictions have completed NIMS baseline against the FY05 and FY06 implementation requirements. Guidance and Technical Assistance Resources: - Assess which NIMS implementation requirements your community already meets. - NIMS Capability Assessment Support Tool (NIMCAST): www.fema.gov/nimcast/index.jsp - NIMS Implementation Plan Tools and Templates: www.fema.gov/emergency/nims/nims_toolsandtemplates.shtm Required Actions # 2 for Compliance: - Develop and implement a system to coordinate all Federal preparedness funding to implement the NIMS across the community. Specific Areas of Measure: - Tier 1: DHS Federal Preparedness Funding is being utilized to coordinate tribal/local level preparedness and response activities. - Other (non-DHS) Federal Preparedness Funding is being utilized to coordinate Tribal/local level preparedness and response activities. Guidance and Technical Assistance Resources: - A list of the Federal preparedness grant programs that have been reported to the NIC are available on the NIMS web page at: www.fema.gov/emergency/nims - 2006 Homeland Security Grant Program Guidance: www.ojp.usdoj.gov/odp/docs/fy2006hsgp.pdf - National Preparedness Goal and National Preparedness Guidance: www.ojp.usdoj.gov/odp/assessments/hspd8.htm - Catalog of Federal Domestic Preparedness Assistance (CFDA): www.cfda.gov Required Actions # 3 for Compliance: - Revise and update plans and SOPs to incorporate NIMS components, principles and policies, to include planning, training, response, exercises, equipment, evaluation, and corrective actions. Specific Areas of Measure: - Tier 1: Tribal/local plans, Standard Operating Guidance (SOG) and Standard Operating Procedures (SOPs) are consistent with NIMS and NRP. Guidance and Technical Assistance Resources: - Plans and SOP/SOGs have been updated, incorporating lessons learned and best practices from exercises and response operations. - National Response Plan (NRP): www.dhs.gov/nationalresponseplan - 2006 Homeland Security Grant Program Guidance: www.ojp.usdoj.gov/odp/docs/fy2006hsgp.pdf - National Preparedness Goal and National Preparedness Guidance: www.ojp.usdoj.gov/odp/assessments/hspd8.htm - National Incident Management System (NIMS): www.fema.gov/emergency/nims Required Actions # 4 for Compliance: - Participate in and promote intrastate and interagency mutual aid agreements (to include agreements with private sector and non-governmental organizations). Specific Areas of Measure: - Tier 1: Tribal/local jurisdictions promote the use of interagency and interstate mutual aid agreements within its departments and/or agencies. Guidance and Technical Assistance Resources: - EMAC model state-county mutual aid deployment contract: www.emacweb.org/?123 - EMAC model intrastate mutual aid legislation: www.emacweb.org/docs/NEMA%20Proposed%20Intrastate%20Model-Final.pdf FY07 Compliance Activities Preparedness Training Required Actions # 1 for Compliance: - Complete IS-700 NIMS: An Introduction. Specific Areas of Measure: - Tier 1: Completion of IS-700 by: - Entry level first responders and disaster workers - First line supervisors - Middle management - Command and general staff Guidance and Technical Assistance Resources: - All personnel with a direct role in emergency preparedness, incident management or response must complete this training. - NIMS National Standard Curriculum Training Development Guidance: www.fema.gov/pdf/nims/nims_training_development.pdf - FEMA NIMS Training: www.fema.gov/emergency/nims/nims_training.shtm - NIMS National Standard Curriculum Training Development Guidance: www.fema.gov/pdf/nims/nims_training_development.pdf - The NIMS web page provides guidance for who should complete this training: www.fema.gov/emergency/nims Required Actions # 2 for Compliance: - Complete IS-800 NRP: An Introduction. Specific Areas of Measure: - Tier 1: Completion of IS-800 A by: - Emergency management personnel in Middle management - Emergency management personnel in Command and general staff Guidance and Technical Assistance Resources: - NIMS National Standard Curriculum Training Development Guidance: www.fema.gov/pdf/nims/nims_training_development.pdf - FEMA NIMS Training: www.fema.gov/emergency/nims/nims_training.shtm - IS-800 A NRP: An Introduction On-line course available at: training.fema.gov/EMIWeb/IS/is800a.asp - The NIMS web page provides guidance for who should complete this training. www.fema.gov/emergency/nims Required Actions # 3 for Compliance: - Complete ICS-100 and ICS-200 Training. Specific Areas of Measure: - Tier 1: Completion of ICS-100 by: - Entry level first responders and disaster workers - First line supervisors - Middle management - Command and general staff - Tier 1: Completion of ICS-200 by: - First line supervisors - Middle management - Command and general staff Guidance and Technical Assistance Resources: - ICS 100: www.training.fema.gov/emiweb/IS/is100.asp - ICS 100: www.usfa.fema.gov/training/nfa - ICS 200: www.training.fema.gov/emiweb/IS/is200.asp - ICS 200: http://www.usfa.fema.gov/training/nfa - NIMS National Standard Curriculum Training Development Guidance: www.fema.gov/pdf/nims/nims_training_development.pdf - The NIMS web page provides guidance for who should complete this training: www.fema.gov/emergency/nims Required Actions # 4 for Compliance: - NEW FOR FY07: Complete ICS-300 and ICS-400 Training. Specific Areas of Measure: - Completion of ICS-300 by: - Middle Management - Command and general Staff - Completion of ICS-400 by: - Command and general Staff Guidance and Technical Assistance Resources: - FEMA Training FY06 Requirements: www.fema.gov/pdf/nims/06_training.pdf - FEMA Training Overview: http://training.fema.gov/EMIWeb/IS/ICSResource/ICSResCntr_Training.htm - FEMA Emergency Management Institute: http://training.fema.gov/EMIWeb/ - The NIMS web page provides guidance for who should complete this training: www.fema.gov/emergency/nims FY07 Compliance Activities Preparedness Exercises Required Actions # 1 for Compliance: - Incorporate NIMS/ICS into all tribal, local and regional training and exercises. Specific Areas of Measure: - Tier 1: Tribal/local jurisdictional exercises incorporate NIMS. Guidance and Technical Assistance Resources: - DHS Exercise Information: www.ojp.usdoj.gov/odp/exercises.htm - Homeland Security Exercise and Evaluation Program (HSEEP) IS-120 Online Course: http://209.176.175.84/hseep2/IS120/login.asp - FEMA NIMS Training: www.fema.gov/emergency/nims/nims_training.shtm - NIMS National Standard Curriculum Training Development Guidance: www.fema.gov/pdf/nims/nims_training_development.pdf Required Actions # 2 for Compliance: - Participate in an all-hazard exercise program based on NIMS that involves responders from multiple disciplines and multiple jurisdictions. Specific Areas of Measure: - Tier 1: Tribal/local jurisdictional exercises evaluate NIMS implementation. - Tier 1: Multiple disciplines and multiple jurisdictions participate in exercises. Guidance and Technical Assistance Resources: - DHS Exercise Information: www.ojp.usdoj.gov/odp/exercises.htm - Homeland Security Exercise and Evaluation Program (HSEEP) IS-120 Online Course: http://209.176.175.84/hseep2/IS120/login.asp - NIMS National Standard Curriculum Training Development Guidance: www.fema.gov/pdf/nims/nims_training_development.pdf - 2006 Homeland Security Grant Program Guidance: www.ojp.usdoj.gov/odp/docs/fy2006hsgp.pdf - National Preparedness Goal and National Preparedness Guidance: www.ojp.usdoj.gov/odp/assessments/hspd8.htm Required Actions # 3 for Compliance: - Incorporate corrective actions into preparedness and response plans and procedures. Specific Areas of Measure: - Tier 1: Corrective actions have been incorporated into preparedness and response plans and procedures. Guidance and Technical Assistance Resources: - DHS Exercise Information: www.ojp.usdoj.gov/odp/exercises.htm - Homeland Security Exercise and Evaluation Program (HSEEP) IS-120 Online Course: http://209.176.175.84/hseep2/IS120/login.asp FY07 Compliance Activities Resource Management Required Actions # 1 for Compliance: - Inventory community response assets to conform to homeland security resource typing standards. Specific Areas of Measure: - Tier 1: Tribal/local jurisdictions have inventoried their response resources. - Tribal/local jurisdictions resource typing conforms to DHS standards as identified by the NIC. Guidance and Technical Assistance Resources: - Resource Typing Guidance: www.fema.gov/pdf/emergency/nims/resource_typing_qadoc.pdf - IS-703 NIMS Resource Management: www.training.fema.gov/emiweb/IS/is703.asp - Propose modifications or new resource definitions to the NIC for inclusion in the resource typing effort. Required Actions # 2 for Compliance: - To the extent permissible by law, ensure that relevant national standards and guidance to achieve equipment, communication and data interoperability are incorporated into local and tribal acquisition programs. Specific Areas of Measure: - Tier 1: Tribal/local jurisdiction aligns its acquisitions with state/territorial-level interoperable standards for equipment, communications, and data. Guidance and Technical Assistance Resources: - DHS Equipment Program: www.ojp.usdoj.gov/odp/grants_goals.htm - 2006 Homeland Security Grant Program Guidance: www.ojp.usdoj.gov/odp/docs/fy2006hsgp.pdf - National Preparedness Goal and National Preparedness Guidance: www.ojp.usdoj.gov/odp/assessments/hspd8.htm - DHS SAFECOM Program: www.safecomprogram.gov/SAFECOM Required Actions # 3 for Compliance: - NEW FOR FY07: Validate that the inventory of response assets conforms to homeland security resource typing standards and provide to the state/territory as required. Specific Areas of Measure: - Tribal/local jurisdictions are coordinating with the state/territory to validate the response asset inventory. Guidance and Technical Assistance Resources: - Resource Typing Guidance: www.fema.gov/pdf/emergency/nims/resource_typing_qadoc.pdf - FEMA Resource Management Course IS-703: NIMS Resource Management: www.training.fema.gov/emiweb/IS/is703.asp - Identify resources to include in a state/territory-wide database to serve as a response asset inventory. Required Actions # 4 for Compliance: - NEW FOR FY07: Utilize the state/territory response asset inventory for Intra-State Mutual Aid requests, exercises, and actual events. Specific Areas of Measure: - Tribal/local jurisdictions’ response asset inventory utilized for: - Mutual Aid - Exercises - Actual events Guidance and Technical Assistance Resources: - FEMA Resource Management Course IS-703: NIMS Resource Management: www.training.fema.gov/emiweb/IS/is703.asp - FEMA Introductory EMAC training information: http://training.fema.gov/EMIweb/downloads/EMAC_Full_Precourse_04_14_05.pdf - Emergency Management Assistance Compact: www.emacweb.org - Centers for Disease Control and Prevention support for EMAC: www.bt.cdc.gov/planning/emac/ FY07 Compliance Activities Communication and Information Management Required Actions # 1 for Compliance: - Apply standardized and consistent terminology, including the establishment of plain language communications standards across public safety sector Specific Areas of Measure: - Tribal/local jurisdictions implement standardized terminology and plain language for all multi-jurisdictional and/or multi-agency response activities. Guidance and Technical Assistance Resources: - Incident response communications (during exercises and actual incidents) should feature plain language commands so they will be able to function in a multi-jurisdiction environment.  Field manuals and training should be revised to reflect the plain language standard. - ‘10’ codes may continue to be used during non-emergency, internal department communications. - The Emergency Management Institute (EMI) is currently developing an independent study and classroom course on NIMS Communication and Information Management. Additional information will be posted on the NIMS Integration Center web page when available at: www.fema.gov/emergency/nims Required Actions # 2 for Compliance: - NEW FOR FY07: Develop systems, tools, and processes to present consistent and accurate information to incident managers at all levels (e.g.,common operating picture). Specific Areas of Measure: - Common operating picture exists for all incident managers during actual events. Guidance and Technical Assistance Resources: - A common operating picture allows incident managers at all levels to make effective, consistent, and timely decisions. Integrated systems for communication, information management, and intelligence and information sharing allow data to be continuously updated during an incident, providing a common framework that covers the incident’s life cycle across jurisdictions and disciplines. A common operating picture helps ensure consistency at all levels of incident management across jurisdictions, as well as between various governmental jurisdictions and private-sector and nongovernmental entities that are engaged. - Systems, tools, and/or processes may include written plans and/or functional tools (e.g. tabletop exercises, software).