1 A GOVERNOR S GUIDE to HOMELAND SECURITY i
2 ii The National Governors Association (NGA), founded in 1908, is the instrument through which the nation s governors collectively influence the development and implementation of national policy and apply creative leadership to state issues. Its members are the governors of the 50 states, three territories, and two commonwealths. The NGA Center for Best Practices is the nation s only dedicated consulting firm for governors and their key policy staff. The Center s mission is to develop and implement innovative solutions to public policy challenges. Through the staff of the Center, governors and their policy advisors can: quickly learn about what works, what doesn t, and what lessons can be learned from other governors grappling with the same problems; obtain assistance in designing and implementing new programs or making current programs more effective; receive up-to-date, comprehensive information about what is happening in other state capitals and in Washington, D.C., so governors are aware of cutting edge policies: and learn about emerging national trends and their implications for states, so governors can prepare to meet future demands. For more information about NGA and the Center for Best Practices, please visit Copyright 2007 by the National Governors Association Center for Best Practices. All rights reserved. ISBN:
3 A GOVERNOR S GUIDE to HOMELAND SECURITY A GOVERNOR S GUIDE to HOMELAND SECURITY
4 2 Table of Contents Foreword 3 Acknowledgements 4 Executive Summary 5 Introduction: What a New Governor Should Know 10 Chapter 1: Governors Powers, Roles, and Responsibilities 14 Chapter 2: State Homeland Security Governance 19 Chapter 3: Developing a Public Communications and Media Strategy 25 Chapter 4: Mutual Aid 30 Chapter 5: National Guard and Military Assistance 36 Chapter 6: Major Disasters and Emergency Declarations 44 Chapter 7: Federal Assistance Available to States and Individuals 48 Chapter 8: Intelligence and Information Sharing 54 Chapter 9: Interoperability 59 Chapter 10: Critical Infrastructure Protection 64 Notes 69 Appendix A 73
5 A GOVERNOR S GUIDE to HOMELAND SECURITY 3 Foreword Hurricane Katrina commanded the nation s attention for months after it slammed into Louisiana and Mississippi in late August The images of flooded homes, lost lives, and stranded survivors on the rooftops of New Orleans and of the debris field that had once been Gulfport haunted America and much of the world throughout that autumn. But the response to Katrina began long before the television crews and international media arrived and recovery efforts continued long after they packed their gear and went home. In Louisiana, Mississippi, and Alabama, residents and state and local officials labored through the storm and worked in its immediate aftermath even before outside help began to arrive. The process of rebuilding homes, businesses, and lives in hundreds of Gulf Coast communities continues more than a year later and will go on for many months to come. In places like Delacroix, Shell Beach, Belle Chase, Bay Saint Louis, Diamondhead, and Waveland the struggle to recover and the millions of individual stories of success and failure illustrate most clearly a point that has been made so often as to be almost clichéd: all disasters are local. In this post- September 11 era, the catastrophe wrought first by Katrina and then by Hurricane Rita highlight another point: terrorism is just one of the threats facing the nation and preparedness means having plans in place to respond to all hazards, including terrorist attacks, natural disasters, technological failures, or pandemic diseases. As the chief executives of their states, governors are responsible for ensuring their states are adequately prepared for emergencies and disasters of all types and sizes. All emergencies will be handled at the local level and few will require a presidential disaster declaration or attract the attention of the world s media. But governors must be as prepared for those day-to-day events the tornadoes, power outages, hazardous materials spills, and industrial fires as for catastrophes on the scale of the September 11 terrorist attacks or a category five hurricane. A Governor s Guide to Homeland Security was written to provide governors with an overview of their homeland security roles and responsibilities and to offer some guidance on how to approach issues such as mutual aid, information sharing, obtaining assistance from the military, and protecting critical infrastructure. The Guide draws heavily on the experiences of governors who have managed during emergencies and disasters of all sizes and on the lessons learned by states in the years since the September 11 attacks. The homeland security waterfront is extremely broad, encompassing policy areas as diverse as border security, public health preparedness, and telecommunications. An encyclopedic guide would be voluminous. This document focuses on areas governors must immediately be aware of and the resources they are most likely to rely on during the initial response to an incident. Other National Governors Association Center for Best Practices publications complement this guide by focusing more closely on individual subject areas such as energy assurance, intelligence fusion, pandemic influenza preparedness, and the use of technology to enhance homeland security. January, 2007
6 Acknowledgements A Governor s Guide to Homeland Security was written by the staff of the NGA Center for Best Practices Homeland Security and Technology Division: Erin Lee, Christopher Logan, Jeffrey Mitchell, and Joe Trella with immeasurable assistance from the division s director, John Ratliff, administrative coordinator, Debra Wilson, and intern, Renee Stapley. Office of Communications Assistant Jessica Gillman and Press Secretary John Blacksten contributed substantially to the production of the publication. Additionally, the authors would like to acknowledge all those who reviewed this guide in part or in whole, including Maj. Gen.Timothy Lowenberg, J. Eric Dietz, Kris Eide, Barry Van Lare, and Angelyn Shapiro.
7 Executive Summary
8 6 Executive Summary As the chief executives of their states, governors are responsible for overseeing the state s response to any emergency or disaster. A well-planned and well-implemented response is vital to the safety and well-being of the citizens of the state; an ineffective response, on the other hand, threatens those citizens and their property and can exacerbate damages to the state and its economy. In today s world, emergencies and disasters take many forms, including natural disasters, technological and infrastructure failures, terrorist attacks, and health emergencies such as pandemic disease outbreaks. An effective crisis-management program will encompass five critical components: an assessment of the threats facing the state; development of a plan to mitigate those threats; development of a strategy to prepare for all hazards; a comprehensive and well-tested response plan; and a plan for short- and long-term recovery. This document focuses primarily on the preparedness and response components of a state s crisis-management program. Preparing to Govern A new governor must be prepared to respond to an emergency immediately upon assuming office. Governors-elect and their future staff should therefore: obtain early briefings on the status of emergency management and homeland security structures in the state, including an updated risk assessment and overview of response plans; designate a senior staff person to become familiar with the forms and procedures needed to activate the emergency preparedness response and to declare disasters and request mutual aid or federal assistance; ensure continuity of command of critical functions through the early appointment of key officials or by carrying over existing appointees; and ensure that key gubernatorial staff such as the chief of staff, legal counsel, and communications director are fully briefed on their roles in a disaster prior to taking office. The Governor s Role in an Emergency While the governor will be thrust into a leadership role during an emergency or disaster, it is equally important that the governor take an active role in ensuring that other state officials and agencies are well prepared to act effectively should a disaster occur. Some critical steps include: making emergency preparedness and homeland security a gubernatorial priority; creating a governance structure that reflects the governor s priorities and leadership and management style; and encouraging cooperation among state and local officials who will be expected to play a role in emergency response. During an emergency, governors will be called on to play a number of roles, including the state s chief communicator and primary source of information on the need for evacuations, the scope of the disaster, and the availability of assistance. Governors also will need to make decisions regarding the declaration of emergencies or disasters, the use of the National Guard, requests for mutual aid, and calls for federal assistance. In addition, the governor may be called on to authorize emergency spending, suspend state regulations, request waivers of federal regulations, and ensure that state agencies are responding appropriately.
9 A GOVERNOR S GUIDE to HOMELAND SECURITY 7 This document serves as a guide to governors as they begin to examine their state s homeland security operations and structures. A separate What a New Governor Should Know section has been prepared specifically to help newly elected governors put in place the structures and procedures they will need to effectively manage emergencies and disasters. Each chapter of the guide provides a discussion of salient issues and includes key points that summarize those discussions. Some of those key points include: Governors Powers, Roles, and Responsibilities Governors should understand their emergency powers and should ensure that key staff such as the chief of staff, counsel, and the communications director are prepared and well-versed in their roles during a disaster. Governors also should ensure that homeland security or emergency management professionals brief any new members of their staff about the staff role during a disaster. State Homeland Security Governance The homeland security department, office, council, or committee should reflect the governor s vision, establish the state s security strategy, encompass various stakeholders, and include an all-hazards approach. The homeland security structure should have sufficient budget oversight and authority to allocate funds based on the overarching strategy, and the state homeland security director should understand and be able to manage the diversity of related disciplines, including public safety, the National Guard, and emergency management. Developing a Public Communications Strategy Governors should require the chief of staff, press secretary, and public information officers from state agencies to prepare a communications strategy prior to a disaster. Governors also should ensure that lines of communication with the press remain open during disasters so that questions receive prompt answers and false rumors and misinformation can be addressed quickly. Mutual Aid Governors should ensure that robust intrastate mutual aid agreements are in place to support jurisdictions across the state. The Model Intrastate Mutual Aid Legislation provides a useful template for the development of mutual aid provisions. Governors also should become familiar with the Emergency Management Assistance Compact, which provides the framework for most stateto-state mutual aid during governor-declared emergencies and disasters. National Guard and Military Assistance The National Guard is a crucial state resource during emergencies and disasters, with expertise in communications, logistics, search-and-rescue, and decontamination. Governors generally enjoy the authority to deploy National Guard resources to execute state law, suppress or prevent insurrection or lawless violence, and repel invasion. In addition, significant federal military assistance is available to governors during disasters, in particular, command-and-control elements that can be used to coordinate federal forces that may be requested. The effective integration of federal military forces with those of the state, however, is critical to an efficient response. Major Disaster and Emergency Declarations Most emergencies in a state do not result in governor-declared emergencies or disasters, much less presidential declarations. When the federal government does become involved, however, governors should be aware that the amount and extent of assistance varies greatly depending on whether the incident is declared an emergency or a disaster. The Robert T. Stafford Disaster Relief and Emergency Assistance Act provides the legal basis for the President and the federal government to provide assistance to state and local governments, eligible organizations, and individuals. Governors should understand the processes used to request Presidential disaster declarations and federal assistance.
10 8 Federal Assistance Available to States and Individuals Once a disaster declaration is approved, governors should have state officials work with FEMA to conduct a briefing for state, local, and eligible organizations applying for federal assistance. The state in most cases will be required to pay 25 percent of rebuilding and recovery costs. Governors also should be aware that some federal assistance is available even without a presidential disaster declaration. Intelligence and Information Sharing State-level intelligence fusion centers are the focal point for information and intelligence sharing among local, state, and federal agencies from a variety of disciplines. Guidelines exist to help states establish fusion centers, and several national information-sharing initiatives have been launched to assist states in accessing federal and state databases. Privacy issues, the need for security clearances, and the existence of a large number of information-sharing networks present challenges to the seamless integration of information from all levels of government and across disciplines. Interoperability Governors should form committees to report back to them on regional and state interoperability successes and challenges. Memorandums of understanding can be used to define interoperability procedures with state agencies and local governments. Funding strategies and incentives need to be developed to encourage greater state, local, and federal participation in interoperability initiatives. New communication systems should adhere to accepted interoperability standards. Critical Infrastructure Protection Governors should understand the federal government s role in infrastructure protection and should develop plans and strategies in the context of that federal role. Governors should ensure that vulnerability and risk assessments have been conducted and are adequate for the entire infrastructure in their state. Interdependencies among various industry sectors also should be identified and governors should consider investing in infrastructure and working with other states to increase the resiliency of infrastructure on a regional basis.
11 A GOVERNOR S GUIDE to HOMELAND SECURITY
12 10 Introduction What a New Governor Should Know On the chilly morning of January 16, 1979, Richard Thornburgh took the oath of office as the 44th governor of the Commonwealth of Pennsylvania. Less than three months later, in the predawn hours of March 28, the Unit 2 nuclear reactor at the Three Mile Island Nuclear Generating Station, just 10 miles from the state capitol, suffered a partial core meltdown. 1 Just 71 days into his term, Governor Thornburgh found himself in the national spotlight and was expected to serve expertly as the leader in a litany of complicated duties: commander-in-chief of the state forces responding to the incident, chief executive officer of the government, chief communicator to a worried public, and chief liaison to the governors of neighboring states and to the federal government. The citizens of Pennsylvania viewed his performance through the prism of the film The China Syndrome, which had been released just days before, and against the backdrop of the most serious accident in the history of commercial nuclear power in the United States. A generation after Three Mile Island, the fundamental principle that governors must be prepared to lead during disasters from the moment they take office still applies. The following section outlines the major recommendations each chapter in this document makes for governors in cases of disaster or emergency. Governors Powers, Roles, and Responsibilities Governors should understand the emergency powers at their disposal during an emergency and, as one of their first priorities upon taking office, ensure that their staff members recognize the roles they will be asked to serve during a disaster. A new governor should be aware of the following points: They have the authority to allocate resources, including National Guard forces, to coordinate the response of state agencies, and to communicate with the public. Several current governors recommend that their colleagues be physically present at their state emergency operations centers (EOC) during major incidents. Governors have the power to call on other states for assistance through mutual aid agreements such as the Emergency Management Assistance Compact to request help from the federal government. Key gubernatorial staff, including the chief of staff, legal counsel, communications director, and press secretary, must be prepared and well-versed on their roles during a disaster. Likewise, governors and their top staff must be aware of the roles and responsibilities of key public safety agencies and managers. The technical expertise on which a governor will rely for decisions relating to homeland security and emergency management will reside for the most part in the state agencies responsible for those activities. State Homeland Security Governance The way a state s homeland security apparatus is organized has a significant impact on the level of preparedness and the efficiency of response and recovery efforts. For the most part, state homeland security structures did not exist prior to the September 11, 2001, terrorist attacks and in many cases, those organizations remain a work-inprogress five years after those attacks. Three guiding principles, described below, have emerged that governors can follow to determine the appropriate homeland security structure for their states: The state homeland security department, office, council, or committee should reflect the governor s vision, establish the state s security strategy, address concerns of necessary stakeholders, and ensure an approach applicable to all types of hazards.
13 A GOVERNOR S GUIDE to HOMELAND SECURITY 11 The entity responsible for homeland security should have appropriate budget oversight and authority to allocate funds based on the overarching strategy. The homeland security director should understand and manage the diversity of related disciplines, including public safety, the National Guard, and emergency management. The director also should have an understanding of disciplines not traditionally part of public safety, such as public health and agriculture, that affect the security of a state. In addition, the director should be aware of the range of threats facing the state, from health issues such as pandemic diseases to economic disruptions stemming from terrorist attacks, natural disasters, or technological failures. Developing a Public Communications and Media Strategy A communications strategy is an essential component of state emergency response and should be developed well before the state faces a disaster. Without adequate preparation and coordination by the governor s chief of staff, press secretary, and state agency public information officers, rumor may be taken as truth and facts may be misrepresented, resulting in a distorted public perception of an emergency. A new governor should know the following about developing a communications strategy: Communication should include helping the state s residents understand what they should do to prior to a disaster, including providing guidance on when to evacuate and where to go during an evacuation; when to stay where they are and what supplies they should have on hand; and the need for comprehensive home and work preparedness plans. Communicating directly to victims and victims families about where to turn for help is not only appropriate but essential to a comprehensive response. The temptation to speed to the scene of an emergency or disaster should often be resisted. The governor should consult with his or her homeland security staff and emergency management team before deciding whether it is a good idea to visit the scene. Mutual Aid Disasters and emergencies can quickly exhaust or overwhelm the resources of a single jurisdiction, whether at the state or local level. Two primary types of mutual aid, intrastate and interstate, exist. A new governor should know the following about mutual aid: The Model Intrastate Mutual Aid Legislation developed by the National Emergency Management Association can serve as a useful tool for developing or refining mutual aid agreements within a state. Assistance from other states is most efficiently obtained through the Emergency Management Assistance Compact (EMAC), a nationwide compact approved by Congress and administered by the states. EMAC helps avoid the arrival of uncoordinated, inappropriate, and unlicensed help. Before a New Governor Is Sworn In New governors should avoid vacancies in key homeland security positions such as the state homeland security director or the state emergency manager. A newly elected governor should work with his or her transition team to identify these key personnel early to minimize vacancies and encourage overlap with the outgoing administration. As soon as a new governor selects people for these positions, the department or agency they are about to lead should be informed. New governors should ensure that staff able to manage a disaster response operation are in place on their inauguration day. New governors should task their incoming gubernatorial staff, particularly the legal counsel, with reviewing the procedures necessary for them to declare a state emergency and use their emergency powers.
14 12 Military Assistance During a disaster, governors have at their disposal a crucial state resource in the National Guard. To deploy their National Guard effectively, governors need to understand the role the Guard plays in their emergency response systems and recognize the other military assets that are available through the U.S. Department of Defense. A new governor should know the following about military assistance: Under Title 32 authority, the governor is in command and control of the National Guard, and Posse Comitatus restrictions (such as the use of military police to maintain law and order) do not apply. Under Title 10 authority, the President may federalize and deploy all or part of the state s National Guard, and Posse Comitatus restrictions do apply. Federalizing the National Guard may reduce costs for a state, but governors also lose control of their Guard forces when they are deployed under Title 10. Federal funding for some National Guard costs related to homeland defense activities is available if the secretary of defense determines a National Guard component is necessary and appropriate. Several strategies exist to integrate military forces with those of the state, including the dual state command in which one commander can lead both National Guard forces deployed under Title 10 and those deployed under Title 32. Major Disaster and Emergency Declarations Most disasters do not reach the magnitude of a presidential declaration. However, when state and local resources are insufficient to respond to and recover from a disaster, a governor may ask the President to declare a major disaster or an emergency. A new governor should know the following about presidential declarations: The extent and amount of assistance available from the federal government varies dramatically depending on whether the President declares an emergency or a major disaster. When requesting a presidential declaration, governors should communicate with the regional Federal Emergency Management Agency (FEMA) director. The National Response Plan provides the mechanism for coordinating delivery of federal assistance and resources to augment efforts of state and local governments overwhelmed by a major disaster or emergency. Federal Disaster and Emergency Assistance Available to States and Individuals State and local governments share responsibility for preparing their citizens for disasters and helping them recover when disasters strikes. In cases where state and local governments ability to respond to disasters is overwhelmed, their ability to fully recover on their own also is likely to be compromised, and federal assistance will be required. A new governor should know the following about federal assistance: Once the President declares a disaster, governors should have state officials work with FEMA to conduct a briefing for state, local, and eligible private nonprofit organizations applying for federal assistance programs. Federal public assistance to rebuild damaged state infrastructure can account for up to 75 percent of costs. State officials should be present at any disaster recovery center set up by FEMA for heavily affected communities. Some forms of federal disaster assistance such as fire management assistance from FEMA, repairs to federal aid system roads and bridges through the U.S. Department of Transportation, and search and rescue assistance from the U.S. Coast Guard can be obtained without a presidential disaster declaration.
15 A GOVERNOR S GUIDE to HOMELAND SECURITY 13 Intelligence and Information Sharing Public safety agencies have pointed to a lack of information sharing as one of the main obstacles to implementing an effective homeland security strategy. A significant focus of the post September 11 efforts to improve homeland security has been to close the information sharing gaps. A new governor should know the following about information sharing: New governors should decide whether they want classified information to help inform their disaster response efforts. If so, the Department of Homeland Security (DHS) will send governors a non-disclosure form to allow them access to classified information. New governors should determine whether their states have a structure such as a fusion center that allows public safety agencies to collect, analyze, and disseminate information from multiple sources. New governors should review the fusion center guidelines from the Global Justice Information Sharing Initiative to determine whether their fusion center has the types of capabilities necessary to inform disaster response. Interoperability Reliable communications are a critical component of any disaster response. In the early stages of a major incident, the ability of first responders to save lives and property can be influenced to a large degree by their ability to communicate with each other. A new governor should know the following about interoperability: Critical Infrastructure Protection The federal government defines critical infrastructure as systems and assets so vital to the nation that their incapacity or destruction would have a debilitating impact on security, the national economy, national public health or safety, or any combination of those matters. However, governors ability to ensure the security and resiliency of privately owned infrastructure and assets often is limited by a lack of statutory or regulatory authority. A new governor should do the following concerning infrastructure protection: Recognize that current federal surveys of the nation s infrastructure may not provide an accurate picture of the state s critical infrastructure; Ensure that an adequate survey has been conducted and is updated regularly; Make targeted investments in systems and facilities that will improve the state s ability to recover quickly from disaster and emergencies; Consider joining with other states to develop strategies for managing events that affect infrastructure serving more than one state; and Partner with the private sector to develop emergency response and risk communication plans for incidents affecting privately owned systems or infrastructure. Statewide plans for interoperable communications do not exist in all states, and new governors should ask for an honest appraisal of the current status of interoperability in their states. New governors should determine whether a strategy exists to drive the effort toward fully interoperable communications in their state.
16 14 Chapter 1 Governors Powers, Roles, and Responsibilities Governors should understand their emergency powers and, as one of their first priorities upon taking office, ensure their staff members recognize the roles they will be required to perform during a disaster. Governors also should develop mechanisms to keep other state and local elected and appointed officials informed about their states emergency response plans and activities. Governors preparations for disasters should begin even before they take the oath of office, as they must be prepared to respond to an emergency immediately upon assuming control. To that end, governors-elect and their future staff should: obtain early briefings on the status of emergency management and homeland security structures in the state, including an updated risk assessment and overview of response plans; designate a senior staff person to become familiar with the forms and procedures needed to activate the emergency preparedness response and to declare disasters and request mutual aid or federal assistance; ensure continuity of command of critical functions through the early appointment of key officials or by carrying over existing appointees; and ensure that key gubernatorial staff such as the chief of staff, legal counsel and communications director are fully briefed on their roles in a disaster prior to taking office. Governors Emergency Powers and Roles Reflecting their leading role in disaster response, governors are granted emergency powers to fulfill their responsibilities in extraordinary circumstances. These powers are established legislatively and vary from state to state, and it is important for governors, before they take office, to understand the emergency powers reposed in them. Examples of gubernatorial emergency powers include: suspending state regulations and statutes; ordering evacuations; commandeering the use of private property; controlling access to the disaster sites; rationing supplies such as food, water, and fuel; implementing specific public health response measures; and authorizing emergency funds without prior legislative consent. In addition, all governors have the power to do the following: call upon other states for mutual assistance through mutual aid agreements such as the Emergency Management Assistance Compact; call upon the federal government for assistance; and mobilize the National Guard. To use any of these powers, governors generally must declare a state of emergency, usually through an executive order or a proclamation. During an emergency, the governor s most important role is ensuring a structured, coordinated, and orderly response. During major incidents, governors should consider being present at their state emergency operations centers (EOC). This does not mean that the governor should be engaged in the details of disaster response operations, but the governor s presence in the EOC can serve to defuse interagency turf battles and eliminate bureaucratic red tape. It is also essential that the governor strikes the appropriate tone during the early stages of a disaster response to ensure the state s executive leadership is unified and coordinated. Limitations on Emergency Powers Emergency powers are not absolute, and emergency declarations often come with strings attached. In some states, such as Alabama and Arizona, statutes require the governor to convene the legislature into special session immediately once he or she issues a