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pdfNational Infrastructure
Protection Plan
Partnering to enhance protection and resiliency
2009
Preface
Risk in the 21st century results from a complex mix of manmade and naturally occurring threats and hazards, including terrorist attacks, accidents,
natural disasters, and other emergencies. Within this context, our critical
infrastructure and key resources (CIKR) may be directly exposed to the events
themselves or indirectly exposed as a result of the dependencies and interdependencies among CIKR.
Michael Chertoff
Within the CIKR protection mission area, national priorities must include
preventing catastrophic loss of life and managing cascading, disruptive impacts
on the U.S. and global economies across multiple threat scenarios. Achieving
this goal requires a strategy that appropriately balances resiliency—a traditional American strength in adverse times—with focused, risk-informed
prevention, protection, and preparedness activities so that we can manage and
reduce the most serious risks that we face.
These concepts represent the pillars of our National Infrastructure Protection Plan (NIPP) and its 18 supporting Sector-Specific Plans (SSPs). The plans are carried out in practice by an integrated network of
Federal departments and agencies, State and local government agencies, private sector entities, and a
growing number of regional consortia—all operating together within a largely voluntary CIKR protection
framework. This multidimensional public-private sector partnership is the key to success in this inherently complex mission area. Building this partnership under the NIPP has been a major accomplishment
to date and has facilitated closer cooperation and a trusted relationship in and across the 18 CIKR sectors.
Integrating multi-jurisdictional and multi-sector authorities, capabilities, and resources in a unified but
flexible approach that can also be tailored to specific sector and regional risk landscapes and operating
environments is the path to successfully enhancing our Nation’s CIKR protection.
The NIPP meets the requirements that the President set forth in Homeland Security Presidential Directive
7 (HSPD-7), Critical Infrastructure Identification, Prioritization, and Protection, and provides the overarching approach for integrating the Nation’s many CIKR protection initiatives into a single national effort. It
sets forth a comprehensive risk management framework and clearly defined roles and responsibilities for
Preface
i
the Department of Homeland Security; Federal Sector-Specific Agencies; and other Federal, State, regional,
local, tribal, territorial, and private sector partners implementing the NIPP.
The 2009 NIPP captures the evolution and maturation of the processes and programs first outlined in 2006
and was developed collaboratively with CIKR partners at all levels of government and the private sector.
Participation in the implementation of the NIPP provides the government and the private sector with the
opportunity to use collective expertise and experience to more clearly define CIKR protection issues and
practical solutions and to ensure that existing CIKR protection planning efforts, including business continuity and resiliency planning, are recognized.
I ask for your continued commitment and cooperation in the implementation of both the NIPP and the
supporting SSPs so that we can continue to enhance the protection of the Nation’s CIKR.
Michael Chertoff
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Table of Contents
Preface
Executive Summary
1. Introduction
i
1
7
1.1 Purpose
8
1.2 Scope
9
1.3 Applicability
9
1.3.1 Goal
9
1.3.2 The Value Proposition
10
1.4 Threats to the Nation’s CIKR
11
1.4.1 The Vulnerability of the U.S. Infrastructure to 21st Century Threats and Hazards
11
1.4.2 The Nature of the Terrorist Adversary
11
1.4.3 All-Hazards and CIKR Protection
11
1.5 Special Considerations
12
1.5.1 The Cyber Dimension
12
1.5.2 International CIKR Protection
12
1.6 Achieving the Goal of the NIPP
13
1.6.1 Understanding and Sharing Information
13
1.6.2 Building Partnerships
13
1.6.3 Implementing a CIKR Risk Management Program
13
1.6.4 Maximizing Efficient Use of Resources for CIKR Protection
14
2. Authorities, Roles, and Responsibilities
15
2.1 Authorities
15
2.2 Roles and Responsibilities
16
2.2.1 Department of Homeland Security
16
2.2.2 Sector-Specific Agencies
18
2.2.3 Other Federal Departments, Agencies, and Offices
20
2.2.4 State, Local, Tribal, and Territorial Governments
21
2.2.5 CIKR Owners and Operators
24
2.2.6 Advisory Councils
25
2.2.7 Academia and Research Centers
25
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3. The Strategy: Managing Risk
27
3.1 Set Goals and Objectives
28
3.2 Identify Assets, Systems, and Networks
29
3.2.1 National Infrastructure Inventory
29
3.2.2 Protecting and Accessing Inventory Information
30
3.2.3 SSA Role in Inventory Development and Maintenance
31
3.2.4 State and Local Government Role in Inventory Development and Maintenance
31
3.2.5 Identifying Cyber Infrastructure
32
3.2.6 Identifying Positioning, Navigation, and Timing Services
32
3.3 Assess Risks
3.3.1 NIPP Core Criteria for Risk Assessments
33
3.3.2 Risk Scenario Identification
34
3.3.3 Consequence Assessment
34
3.3.4 Vulnerability Assessment
36
3.3.5 Threat Assessment
37
3.3.6 Homeland Infrastructure Threat and Risk Analysis Center
38
3.4 Prioritize
40
3.4.1 The Prioritization Process
40
3.4.2 Tailoring Prioritization Approaches to Sector and Decisionmakers’ Needs
41
3.4.3 The Uses of Prioritization
42
3.5 Implement Protective Programs and Resiliency Strategies
42
3.5.1 Risk Management Actions
43
3.5.2 Characteristics of Effective Protective Programs and Resiliency Strategies
43
3.5.3 Risk Management Activities, Initiatives, and Reports
44
3.6 Measure Effectiveness
46
3.6.1 NIPP Metrics Types and Progress Indicators
47
3.6.2 Gathering Performance Information
47
3.6.3 Assessing Performance and Reporting on Progress
48
3.7 Using Metrics and Performance Measurement for Continuous Improvement
4. Organizing and Partnering for CIKR Protection
4.1 Leadership and Coordination Mechanisms
48
49
49
4.1.1 National-Level Coordination
50
4.1.2 Sector Partnership Coordination
50
4.1.3 Regional Coordination and the Partnership Model
53
4.1.4 International CIKR Protection Cooperation
53
4.2 Information Sharing: A Network Approach
4.2.1 Supporting the CIKR Protection Mission
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4.2.2 The CIKR Information-Sharing Environment
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4.2.3 Federal Intelligence Node
61
4.2.4 Federal Infrastructure Node
62
4.2.5 State, Local, Tribal, Territorial, and Regional Node
62
4.2.6 Private Sector Node
62
4.2.7 DHS Operations Node
63
4.2.8 Other Information-Sharing Nodes
65
4.3 Protection of Sensitive CIKR Information
66
4.3.1 Protected Critical Infrastructure Information Program
66
4.3.2 Other Information Protection Protocols
68
4.4 Privacy and Constitutional Freedoms
5. CIKR Protection as Part of the Homeland Security Mission
5.1 A Coordinated National Approach to the Homeland Security Mission
69
71
71
5.1.1 Legislation
71
5.1.2 Strategies
71
5.1.3 Homeland Security Presidential Directives and National Initiatives
73
5.2 The CIKR Protection Component of the Homeland Security Mission
76
5.3 Relationship of the NIPP and SSPs to Other CIKR Plans and Programs
76
5.3.1 Sector-Specific Plans
76
5.3.2 State, Regional, Local, Tribal, and Territorial CIKR Protection Programs
77
5.3.3 Other Plans or Programs Related to CIKR Protection
77
5.4 CIKR Protection and Incident Management
78
5.4.1 The National Response Framework
78
5.4.2 Transitioning From NIPP Steady-State to Incident Management
78
6. Ensuring an Effective, Efficient Program Over the Long Term
81
6.1 Building National Awareness
81
6.1.1 Education and Training
82
6.1.2 Core Competencies for Implementing CIKR Protection
83
6.1.3 Individual Education and Training
85
6.1.4 Organizational Training and Exercises
86
6.1.5 CIKR Partner Role and Approach
88
6.2 Conducting Research and Development and Using Technology
88
6.2.1 The SAFETY Act
89
6.2.2 National Critical Infrastructure Protection R&D Plan
90
6.2.3 Other R&D That Supports CIKR Protection
91
6.2.4 DHS Science and Technology Strategic Framework
91
6.2.5 Transitioning Requirements Into Reality
91
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6.3 Building, Protecting, and Maintaining Databases, Simulations, and Other Tools
92
6.3.1 National CIKR Protection Data Systems
92
6.3.2 Simulation and Modeling
93
6.3.3 Coordination on Databases and Modeling
94
6.4 Continuously Improving the NIPP and the SSPs
94
6.4.1 Management and Coordination
94
6.4.2 Maintenance and Updates
95
7. Providing Resources for the CIKR Protection Program
97
7.1 The Risk-Informed Resource Allocation Process
97
7.1.1 Sector-Specific Agency Reporting to DHS
98
7.1.2 State Government Reporting to DHS
98
7.1.3 State, Local, Tribal, and Territorial Government Coordinating Council Reporting to DHS
99
7.1.4 Regional Consortium Coordinating Council Reporting to DHS
99
7.1.5 Aggregating Submissions to DHS
99
7.2 Federal Resource Prioritization for DHS, the SSAs, and Other Federal Agencies
100
7.2.1 Department of Homeland Security
100
7.2.2 Sector-Specific Agencies
100
7.2.3 Summary of Roles and Responsibilities
101
7.3 Federal Resources for State and Local Government Preparedness
101
7.3.1 Overarching Homeland Security Grant Programs
101
7.3.2 Targeted Infrastructure Protection Programs
102
7.4 Other Federal Grant Programs That Contribute to CIKR Protection
102
7.5 Setting an Agenda in Collaboration with CIKR Protection Partners
103
List of Acronyms and Abbreviations
Glossary of Key Terms
105
109
Appendixes
Appendix 1: Special Considerations
Appendix 1A: Cross-Sector Cybersecurity
113
Appendix 1B: International CIKR Protection
125
Appendix 2: Summary of Relevant Statutes, Strategies, and Directives
Appendix 3: The Protection Program
135
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Appendix 3A: NIPP Core Criteria for Risk Assessments
147
Appendix 3B: Existing CIKR Protection Programs and Initiatives
149
Appendix 3C: Infrastructure Data Warehouse
155
Appendix 4: Existing Coordination Mechanisms
Appendix 5: Integrating CIKR Protection as Part of the Homeland Security Mission
159
163
Appendix 5A: State, Local, Tribal, and Territorial Government Considerations
163
Appendix 5B: Recommended Homeland Security Practices for Use by the Private Sector
167
Appendix 6: S&T Plans, Programs, and Research & Development
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List of Figures and Tables
Figures
Figure S-1: Protection
2
Figure S-2: NIPP Risk Management Framework
4
Figure 1-1: Protection
7
Figure 3-1: NIPP Risk Management Framework
27
Figure 3-2: NIPP Risk Management Framework: Set Goals and Objectives
29
Figure 3-3: NIPP Risk Management Framework: Identify Assets, Systems, and Networks
30
Figure 3-4: NIPP Risk Management Framework: Assess Risks
33
Figure 3-5: NIPP Risk Management Framework: Prioritize
40
Figure 3-6: NIPP Risk Management Framework: Implement Programs
42
Figure 3-7: NIPP Risk Management Framework: Measure Effectiveness
46
Figure 3-8: NIPP Risk Management Framework: Feedback Loop for Continuous Improvement of CIKR Protection
48
Figure 4-1: Sector Partnership Model
50
Figure 4-2: NIPP Networked Information-Sharing Approach
58
Figure 5-1: National Framework for Homeland Security
72
Figure 6-1: Continuum of CIKR Capability Development
82
Figure 6-2: Developing CIKR Core Competencies
83
Figure 6-3: National Exercise Program Tiers
87
Figure 6-4: The NIPP R&D Requirements Generation Process
92
Figure 7-1: National CIKR Protection Annual Report Process
99
Figure 7-2: National CIKR Protection Annual Report Analysis
100
Figure 7-3: DHS and SSA Roles and Responsibilities in Federal Resource Allocation
101
Tables
Table S-1: Sector-Specific Agencies and Assigned CIKR Sectors
3
Table 2-1: Sector-Specific Agencies and Assigned CIKR Sectors
19
Table 6-1: CIKR Competencwy Areas
84
Table 3C-1: Database Integration
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Executive Summary
Protecting and ensuring the resiliency of the critical infrastructure and key resources (CIKR) of the
United States is essential to the Nation’s security, public health and safety, economic vitality, and way of
life. Attacks on CIKR could significantly disrupt the functioning of government and business alike and
produce cascading effects far beyond the targeted sector and physical location of the incident. Direct terrorist attacks and natural, manmade, or technological hazards could produce catastrophic losses in terms
of human casualties, property destruction, and economic effects, as well as profound damage to public
morale and confidence. Attacks using components of the Nation’s CIKR as weapons of mass destruction
could have even more devastating physical and psychological consequences.
1 Introduction
The overarching goal of the National Infrastructure Protection
Plan (NIPP) is to:
Build a safer, more secure, and more resilient America by
preventing, deterring, neutralizing, or mitigating the effects of
deliberate efforts by terrorists to destroy, incapacitate, or exploit
elements of our Nation’s CIKR and to strengthen national
preparedness, timely response, and rapid recovery of CIKR in the
event of an attack, natural disaster, or other emergency.
The NIPP provides the unifying structure for the integration
of existing and future CIKR protection efforts and resiliency strategies into a single national program to achieve
this goal. The NIPP framework supports the prioritization
of protection and resiliency initiatives and investments
across sectors to ensure that government and private sector
resources are applied where they offer the most benefit
for mitigating risk by lessening vulnerabilities, deterring
threats, and minimizing the consequences of terrorist
attacks and other manmade and natural disasters. The
NIPP risk management framework recognizes and builds
on existing public and private sector protective programs
and resiliency strategies in order to be cost-effective and to
minimize the burden on CIKR owners and operators.
Executive Summary
Protection includes actions to mitigate the overall risk to
CIKR assets, systems, networks, functions, or their interconnecting links. In the context of the NIPP, this includes
actions to deter the threat, mitigate vulnerabilities, or
minimize the consequences associated with a terrorist
attack or other incident (see figure S-1). Protection can
include a wide range of activities, such as improving security protocols, hardening facilities, building resiliency and
redundancy, incorporating hazard resistance into facility
design, initiating active or passive countermeasures, installing security systems, leveraging “self-healing” technologies, promoting workforce surety programs, implementing
cybersecurity measures, training and exercises, business
continuity planning, and restoration and recovery actions,
among various others.
Achieving the NIPP goal requires actions to address a series of
objectives, which include:
• Understanding and sharing information about terrorist
threats and other hazards with CIKR partners;
• Building partnerships to share information and implement
CIKR protection programs;
1
Figure S-1: Protection
P R O T E C T I O N
MANAGE RISKS
Deter
Threats
Mitigate
Vulnerabilities
Minimize
Consequences
• Implementing a long-term risk management program; and
• Maximizing the efficient use of resources for CIKR protection, restoration, and recovery.
These objectives require a collaborative partnership among
CIKR partners, including: the Federal Government; State, local,
tribal, and territorial governments; regional coalitions; the
private sector; international entities; and nongovernmental
organizations. The NIPP provides the framework that defines a
set of flexible processes and mechanisms that these CIKR partners will use to develop and implement the national program
to protect CIKR across all sectors over the long term.
2 Authorities, Roles, and Responsibilities
The Homeland Security Act of 2002 provides the basis for
Department of Homeland Security (DHS) responsibilities in
the protection of the Nation’s CIKR. The act assigns DHS the
responsibility for developing a comprehensive national plan
for securing CIKR and for recommending the “measures
necessary to protect the key resources and critical infrastructure of the United States in coordination with other agencies
of the Federal Government and in cooperation with State and
local government agencies and authorities, the private sector,
and other entities.”
The national approach for CIKR protection is provided
through the unifying framework established in Homeland
Security Presidential Directive 7 (HSPD-7). This directive
establishes the U.S. policy for “enhancing protection of the
Nation’s CIKR” and mandates a national plan to actuate that
policy. In HSPD-7, the President designates the Secretary of
Homeland Security as the “principal Federal official to lead
CIKR protection efforts among Federal departments and
agencies, State and local governments, and the private sector”
and assigns responsibility for CIKR sectors to Federal SectorSpecific Agencies (SSAs) (see table S-1). It also provides the
criteria for establishing or recognizing additional sectors. In
2
accordance with HSPD-7, the NIPP delineates the roles and
responsibilities for partners in carrying out CIKR protection
activities while respecting and integrating the authorities,
jurisdictions, and prerogatives of these partners.
Primary roles for CIKR partners include:
• Department of Homeland Security: Coordinates the Nation’s overall CIKR protection efforts and oversees NIPP development, implementation, and integration with national
preparedness initiatives.
• Sector-Specific Agencies: Implement the NIPP framework
and guidance as tailored to the specific characteristics and
risk landscapes of each of the CIKR sectors.
• Other Federal Departments, Agencies, and Offices: Implement specific CIKR protection roles designated in HSPD-7
or other relevant statutes, executive orders, and policy
directives.
• State, Local, Tribal, and Territorial Governments: Develop
and implement a CIKR protection program, in accordance
with the NIPP risk management framework, as a component of their overarching homeland security programs.
• Regional Partners: Use partnerships that cross jurisdictional and sector boundaries to address CIKR protection within
a defined geographical area.
• Boards, Commissions, Authorities, Councils, and Other
Entities: Perform regulatory, advisory, policy, or business oversight functions related to various aspects of CIKR
operations and protection within and across sectors and
jurisdictions.
• Private Sector Owners and Operators: Undertake CIKR
protection, restoration, coordination, and cooperation activities, and provide advice, recommendations, and subject
matter expertise to all levels of government.
• Homeland Security Advisory Councils: Provide advice,
recommendations, and expertise to the government regarding protection policy and activities.
• Academia and Research Centers: Provide CIKR protection
subject matter expertise, independent analysis, research and
development (R&D), and educational programs.
3 The CIKR Protection Program Strategy:
Managing Risk
The cornerstone of the NIPP is its risk analysis and management framework (see figure S-2) that establishes the processes for combining consequence, vulnerability, and threat
information to produce assessments of national or sector
National Infrastructure Protection Plan
Table S-1: Sector-Specific Agencies and Assigned CIKR Sectors
a
The Department of Agriculture is responsible for agriculture and food (meat, poultry, and egg products).
The Department of Health and Human Services is responsible for food other than meat, poultry, and egg products.
c Nothing in this plan impairs or otherwise affects the authority of the Secretary of Defense over the Department of Defense (DoD), including the chain of
command for military forces from the President as Commander in Chief, to the Secretary of Defense, to the commander of military forces, or military command
and control procedures.
d The Energy Sector includes the production, refining, storage, and distribution of oil, gas, and electric power, except for commercial nuclear power facilities.
e The Water Sector includes drinking water and wastewater systems.
f The U.S. Coast Guard is the SSA for the maritime transportation mode.
g As stated in HSPD-7, the Department of Transportation and the Department of Homeland Security will collaborate on all matters relating to transportation
security and transportation infrastructure protection.
h The Department of Education is the SSA for the Education Facilities Subsector of the Government Facilities Sector.
b
Executive Summary
3
risk. The risk management framework is structured to promote continuous improvement to enhance CIKR protection
by focusing activities on efforts to: set goals and objectives;
identify assets, systems, and networks; assess risk based on
consequences, vulnerabilities, and threats; establish priorities
based on risk assessments and, increasingly, on return-oninvestment for mitigating risk; implement protective programs and resiliency strategies; and measure effectiveness.
The results of these processes drive CIKR risk-reduction and
management activities. The NIPP risk management framework is tailored to and applied on an asset, system, network,
or mission essential function basis, depending on the fundamental characteristics of the individual CIKR sectors. DHS,
the SSAs, and other CIKR partners share responsibilities for
implementing the risk management framework.
4 Organizing and Partnering for CIKR
Protection
The enormity and complexity of the Nation’s CIKR, the
distributed character of our national protective architecture,
and the uncertain nature of the terrorist threat and other
manmade or natural disasters make the effective implementation of protection and resiliency efforts a great challenge. To
be effective, the NIPP must be implemented using organizational structures and partnerships committed to sharing and
protecting the information needed to achieve the NIPP goal
and supporting objectives.
The NIPP defines the organizational structures that provide
the framework for coordination of CIKR protection efforts at
all levels of government, as well as within and across sectors. Sector-specific planning and coordination are addressed
through coordinating councils that are established for each sector. Sector Coordinating Councils (SCCs) comprise the repre-
sentatives of owners and operators, generally from the private
sector. Government Coordinating Councils (GCCs) comprise
the representatives of the SSAs; other Federal departments and
agencies; and State, local, tribal, and territorial governments.
These councils create a structure through which representative
groups from all levels of government and the private sector
can collaborate or share existing approaches to CIKR protection and work together to advance capabilities. Engaging and
coordinating with foreign governments and international
organizations are also essential to ensuring the protection and
resiliency of U.S. CIKR, both at home and abroad. The NIPP
provides the mechanisms and processes necessary to enable
DHS, the Department of State, the SSAs, and other partners to
strengthen international cooperation to support CIKR protection activities and initiatives.
DHS works with cross-sector entities established to promote
coordination, communications, and sharing of best practices
across CIKR sectors, jurisdictions, or specifically defined
geographical areas. Cross-sector issues are challenging to
identify and assess comparatively. Interdependency analysis
is often so complex that modeling and simulation capabilities
must be brought to bear. Cross-sector issues and interdependencies are addressed among the SCCs through the CIKR
Cross-Sector Council, which comprises the leadership of
each of the SCCs. The Partnership for Critical Infrastructure
Security provides this representation with support from
the DHS CIKR Executive Secretariat. Cross-sector issues and
interdependencies among the GCCs are addressed through
the Government Cross-Sector Council, which comprises
the NIPP Federal Senior Leadership Council (FSLC) and the
State, Local, Tribal, and Territorial Government Coordinating
Council (SLTTGCC). Additionally, the Regional Consortium
Coordinating Council (RCCC) provides a forum for those
with regionally based interests in CIKR protection.
Figure S-2: NIPP Risk Management Framework
4
National Infrastructure Protection Plan
Efficient information-sharing and information-protection
processes based on mutually beneficial, trusted relationships help ensure implementation of effective, coordinated,
and integrated CIKR protection programs and activities.
Information sharing enables both government and private
sector partners to assess events accurately, formulate risk
assessments, and determine appropriate courses of action.
The NIPP uses a network approach to information sharing
that represents a new model for how CIKR partners share
and protect the information needed to analyze risk and make
risk-informed decisions. A network approach enables secure,
multidirectional information sharing between and across
government and industry. This approach provides mechanisms, using information-protection protocols as required, to
support the development and sharing of strategic and specific
threat assessments, threat warnings, incident reports, allhazards consequence assessments, risk assessments, and best
practices. This information-sharing approach allows CIKR
partners to assess risks, identify and prioritize risk management opportunities, allocate resources, conduct risk management activities, and make continuous improvements to the
Nation’s CIKR protection posture.
NIPP implementation relies on CIKR information provided voluntarily by owners and operators. Much of this is
sensitive business or security information that could cause
serious damage to private firms, the economy, public safety,
or security through unauthorized disclosure or access. The
Federal Government has a statutory responsibility to safeguard CIKR protection-related information. DHS and other
Federal agencies use a number of programs and procedures,
such as the Protected Critical Infrastructure Information
(PCII) Program, to ensure that security-related information
is properly safeguarded.
The CIKR protection activities defined in the NIPP are
guided by legal requirements such as those described in
the Privacy Act of 1974 and are designed to achieve both
security and protection of civil rights and liberties.
5 CIKR Protection: An Integral Part of the
Homeland Security Mission
The NIPP defines the CIKR protection component of the
homeland security mission. Implementing CIKR protection
requires partnerships, coordination, and collaboration among
all levels of government and the private sector. To enable this,
the NIPP provides guidance on the structure and content of
each sector’s CIKR plan, as well as the CIKR protection-related
aspects of State and local homeland security plans. This
Executive Summary
provides a baseline framework that informs the flexible and
tailored development, implementation, and updating of SectorSpecific Plans; State and local homeland security strategies; and
partner CIKR protection programs and resiliency strategies.
To be effective, the NIPP must complement other plans
designed to help prevent, prepare for, protect against, respond
to, and recover from terrorist attacks, natural disasters, and
other emergencies. Homeland security plans and strategies
at the Federal, State, local, tribal, and territorial levels of
government address CIKR protection within their respective jurisdictions. Similarly, CIKR owners and operators have
responded to the increased threat environment by instituting a range of CIKR protection-related plans and programs,
including business continuity and resilience and response
measures. Implementation of the NIPP is coordinated among
CIKR partners to ensure that it does not result in the creation
of duplicative or costly risk management requirements that
offer little enhancement of CIKR protection.
The NIPP, the National Preparedness Guidelines (NPG), and
the National Response Framework (NRF) together provide a
comprehensive, integrated approach to the homeland security mission. The NIPP establishes the overall risk-informed
approach that defines the Nation’s CIKR protection posture,
while the NRF provides the approach for domestic incident
management. The NPG sets forth national priorities, doctrine, and roles and responsibilities for building capabilities
across the prevention, protection, response, and recovery
mission areas. Increases in CIKR protective measures in the
context of specific threats or that correspond to the threat
conditions established in the Homeland Security Advisory
System (HSAS) provide an important bridge between NIPP
steady-state protection and the incident management activities under the NRF.
The NRF is implemented to guide overall coordination of
domestic incident management activities. NIPP partnerships
and processes provide the foundation for the CIKR dimension of the NRF, facilitating threat and incident management across a spectrum of activities, including incident
prevention, response, and recovery. The NPG is implemented through the application of target capabilities during
the course of assessment, planning, training, exercises,
grants, and technical assistance activities. Implementation
of the NIPP is both a national preparedness priority and a
framework with which to achieve protection capabilities as
defined by the NPG.
5
6 Ensuring an Effective, Efficient Program
Over the Long Term
To ensure an effective, efficient CIKR protection program over
the long term, the NIPP relies on the following mechanisms:
• Building national awareness to support the CIKR protection
program, related protection investments, and protection activities by ensuring a focused understanding of all hazards
and of what is being done to protect and enable the timely
restoration of the Nation’s CIKR in light of such threats;
national priorities for CIKR protection and to help ensure that
resources are prioritized for protective programs that have
the greatest potential for mitigating risk. This risk-informed
approach also includes mechanisms to involve private sector
partners in the planning process and supports collaboration
among CIKR partners to establish priorities, define requirements, share information, and maximize risk reduction.
• Enabling education, training, and exercise programs to
ensure that skilled and knowledgeable professionals and experienced organizations are able to undertake NIPP-related
responsibilities in the future;
• Conducting research and development and using technology to improve CIKR protection-related capabilities or to
lower the costs of existing capabilities so that CIKR partners
can afford to do more with limited budgets;
• Developing, safeguarding, and maintaining data systems
and simulations to enable continuously refined risk assessment within and across sectors and to ensure preparedness
for incident management; and
• Continuously improving the NIPP and associated plans and
programs through ongoing review and revision, as required.
7 Providing Resources for the CIKR Protection
Program
Chapter 7 describes an integrated, risk-informed approach
used to: establish priorities, determine requirements, and
guide resource support for the national CIKR protection program; focus Federal grant assistance to State, local, tribal, and
territorial entities; and complement relevant private sector
activities. At the Federal level, DHS provides recommendations regarding CIKR protection priorities and requirements
to the Executive Office of the President through the National
CIKR Protection Annual Report. This report is based on
information about priorities, requirements, and related program funding information that is submitted to DHS by the
SSA of each sector, the SLTTGCC, and the RCCC as assessed in
the context of the National Risk Profile and national priorities. The process for allocating Federal resources through
grants to State, local, and tribal governments uses a similar
approach. DHS aggregates information regarding State, local,
tribal, and territorial CIKR protection priorities and requirements. DHS uses these data to inform the establishment of
6
National Infrastructure Protection Plan
1. Introduction
Protecting and ensuring the continuity of the critical infrastructure and key resources (CIKR) of the United
States is essential to the Nation’s security, public health and safety, economic vitality, and way of life. CIKR
includes systems and assets, whether physical or virtual, so vital to the United States that the incapacitation or destruction of such systems and assets would have a debilitating impact on national security,
national economic security, public health or safety, or any combination of those matters. Terrorist attacks
on our CIKR, as well as other manmade or natural disasters, could significantly disrupt the functioning of
government and business alike and produce cascading effects far beyond the affected CIKR and physical
location of the incident. Direct and indirect impacts could result in large-scale human casualties, property
destruction, economic disruption, and mission failure, and also significantly damage national morale and
public confidence. Terrorist attacks using components of the Nation’s CIKR as weapons of mass destruction
(WMD)1 could have even more devastating physical, psychological, and economic consequences.
Protecting the Nation’s CIKR is essential to making America
safer, more secure, and more resilient in the context of
terrorist attacks and other natural and manmade hazards.
Protection includes actions to mitigate the overall risk to
CIKR assets, systems, networks, functions, or their interconnecting links resulting from exposure, injury, destruction,
incapacitation, or exploitation. In the context of the National
Infrastructure Protection Plan (NIPP), this includes actions
to deter the threat, mitigate vulnerabilities, or minimize
the consequences associated with a terrorist attack or other
manmade or natural disaster (see figure 1-1). Protection can
include a wide range of activities such as improving security protocols, hardening facilities, building resiliency and
redundancy, incorporating hazard resistance into facility
design, initiating active or passive countermeasures, installing security systems, leveraging “self-healing” technologies, promoting workforce surety programs, implementing
cybersecurity measures, training and exercises, and business
continuity planning, among others. The NIPP (June 2006;
revised January 2009) and its complementary Sector-Specific
Plans (SSPs) (May 2007; to be reissued in 2010) provide a
Figure 1-1: Protection
P R O T E C T I O N
MANAGE RISKS
Deter
Threats
Mitigate
Vulnerabilities
Minimize
Consequences
IMPLEMENT ACTIONS
Cybersecurity • Exercises • Awareness
Personnel surety • Physical measures • Plans
Reduced attractiveness • Redundancy • Reliability
Resiliency • Information sharing • Training
1 (1)Any explosive, incendiary, or poison gas (i) bomb, (ii) grenade, (iii) rocket having a propellant charge of more than 4 ounces, (iv) missile having an explosive or
incendiary charge of more than one-quarter ounce, (v) mine, or (vi) similar device; (2) any weapon that is designed or intended to cause death or serious bodily injury
through the release, dissemination, or impact of toxic or poisonous chemicals or their precursors; (3) any weapon involving a disease organism; or (4) any weapon that
is designed to release radiation or radioactivity at a level dangerous to human life (18 U.S.C. 2332a).
Introduction
7
consistent, unifying structure for integrating both existing
and future CIKR protection efforts. The NIPP also provides
the core coordinating processes and mechanisms that enable
all levels of government and private sector partners to work
together to implement CIKR protection in an effective and
efficient manner.
The NIPP was developed through extensive coordination
with partners at all levels of government and the private sector. NIPP processes are designed to be adapted and tailored to
individual sector and partner requirements, including State,
local, or regional issues. Participation in the implementation
of the NIPP provides government and the private sector with
the opportunity to use collective expertise and experience to
more clearly define issues and solutions, and to ensure that
existing CIKR protection approaches and efforts, including
business continuity and resiliency planning, are recognized.
Since the NIPP and the SSPs were first released, the processes
and programs outlined in those documents have continued
to evolve and mature. This update to the NIPP reflects many
advances, including:
• The issuance of the SSPs, which followed the release of the
NIPP;
• Establishment of Critical Manufacturing as the 18th CIKR
sector and the designation of Education as a subsector of
Government Facilities;
• Expansion of the sector partnership model to include the
geographically focused Regional Consortium Coordinating
Council (RCCC);
• CIKR mission integration within State and local fusion
centers;
• Evolution of the National Asset Database to the Infrastructure Information Collection System and the Infrastructure
Data Warehouse;
• Developments in the programs, approaches, and tools used
to implement the NIPP risk management framework;
• Updates on risk methodologies, information-sharing
mechanisms, and other CIKR protection programs;
• Inclusion of outcome-focused performance measurement
and reporting processes;
• Description of additional Homeland Security Presidential
Directives, national strategies, and legislation;
8
• Release of the Chemical Facility Anti-Terrorism Standards
(CFATS), establishing a regulatory framework for those
industries that involve the production, use, and storage of
high-risk chemicals;
• Discussion of expanded CIKR protection-related education,
training, outreach, and exercise programs;
• Evolution from the National Response Plan to the National
Response Framework (NRF); and
• Inclusion of further information on research and development (R&D) and modeling, simulation, and analysis
processes and initiatives.
Additionally, the revised NIPP integrates the concepts of resiliency and protection, and broadens the focus of NIPP-related
programs and activities to an all-hazards environment.
1.1 Purpose
The NIPP provides the framework for the unprecedented
cooperation that is needed to develop, implement, and
maintain a coordinated national effort to bring together
government at all levels, the private sector, nongovernmental
organizations, and international partners. The NIPP depends
on supporting SSPs for full implementation of this framework within and across CIKR sectors. SSPs are developed
by the Federal Sector-Specific Agencies (SSAs) designated in
Homeland Security Presidential Directive 7 (HSPD-7) in close
collaboration with sector partners.
Together, the NIPP and SSPs provide the mechanisms for:
identifying critical assets, systems, and networks, and their
associated functions; understanding threats to CIKR; identifying and assessing vulnerabilities and consequences; prioritizing protection initiatives and investments based on costs and
benefits so that they are applied where they offer the greatest
mitigation of risk; and enhancing information-sharing mechanisms and protection and resiliency within and across CIKR
sectors. The NIPP and SSPs will evolve along with changes to
the Nation’s CIKR and the risk environment, as well as evolving strategies and technologies for protecting against and
responding to threats and incidents. Implementation of the
NIPP and the SSPs occurs at all levels through actions taken
by: Federal agencies; State, regional, local, tribal, and territorial governments and organizations; and individual CIKR
owners and operators.
National Infrastructure Protection Plan
1.2 Scope
The NIPP considers a full range of physical, cyber, and
human risk elements within and across sectors. In accordance with the policy direction established in HSPD-7,
the National Strategy for the Physical Protection of Critical
Infrastructures and Key Assets, and the National Strategy to
Secure Cyberspace, the NIPP includes a special focus on the
unique and potentially catastrophic impact of terrorist attacks.
At the same time, the NIPP builds on and is structured to be
consistent with and supportive of the Nation’s all-hazards
approach to homeland security preparedness and domestic
incident management. Many of the benefits of enhanced CIKR
protection are most sustainable when protective programs and
resiliency strategies are designed to address all hazards.
The NIPP addresses ongoing and future activities within each
of the CIKR sectors identified in HSPD-7 and across the sectors
regionally, nationally, and within individual States or communities. It defines processes and mechanisms used to prioritize
protection of U.S. CIKR (including territories and territorial
seas) and to address the interconnected global networks upon
which the Nation’s CIKR depend. The processes outlined in
the NIPP and the SSPs recognize that protective measures do
not end at a facility’s fence or at a national border, and are
often a component of a larger business continuity approach.
Also considered are the implications of cross-border infrastructures, international vulnerabilities, and cross-sector
dependencies and interdependencies.
1.3 Applicability
The NIPP is applicable to a wide array of public and private
sector CIKR partners in different ways. The framework
generally is applicable to all partners with CIKR protection
responsibilities and includes explicit roles and responsibilities for the Federal Government, including CIKR under the
control of independent regulatory agencies, and the legislative, executive, and judicial branches. Federal departments
and agencies with specific responsibilities for CIKR protection
are required to take actions that are consistent with HSPD-7.
The NIPP also provides an organizing structure, guidelines,
and recommended activities for other partners to help ensure
consistent implementation of the national framework and
the most effective use of resources. State,2 local,3 tribal, and
territorial government partners are required to establish CIKR
protection programs that are consistent with the National
Preparedness Guidelines and as a condition of eligibility for
certain Federal grant programs.
Owners and operators are encouraged to participate in the
NIPP partnership and to initiate measures to augment existing plans for risk management, resiliency, business continuity, and incident management and emergency response in
line with the NIPP framework.
1.3.1 Goal
The overarching goal of the NIPP is to:
Build a safer, more secure, and more resilient America by
preventing, deterring, neutralizing, or mitigating the effects of
deliberate efforts by terrorists to destroy, incapacitate, or exploit
elements of our Nation’s CIKR, and to strengthen national
preparedness, timely response, and rapid recovery of CIKR in the
event of an attack, natural disaster, or other emergency.
Achieving this goal requires understanding and sharing information about terrorist threats and other hazards,
building partnerships, implementing a long-term risk
management program, and maximizing the efficient use of
resources. Measuring progress toward achieving the NIPP
goal requires that CIKR partners strive toward:
• Coordinated CIKR risk management plans and programs
that are in place to address known and potential threats and
hazards;
• Structures and processes that are flexible and adaptable
both to incorporate operational lessons learned and best
practices, and also to quickly reflect a changing threat or
incident environment;
• Processes in place to identify and address dependencies and
interdependencies to allow for more timely and effective
implementation of short-term protective actions and more
rapid response and recovery; and
• Access to robust information-sharing networks that include
relevant intelligence and threat analysis, and real-time incident reporting.
2
Consistent with the definition of “State” in the Homeland Security Act of 2002, all references to States within the NIPP are applicable to the territories and include by
reference any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, the Commonwealth
of the Northern Mariana Islands, and any possession of the United States (Homeland Security Act).
3
A county, municipality, city, town, township, local public authority, school district, special district, intrastate district, council of governments (regardless of whether
the council of governments is incorporated as a nonprofit corporation under State law), regional or interstate government entity, or agency or instrumentality of a
local government; an Indian tribe or authorized tribal organization, or, in Alaska, a Native village or Alaska Regional Native Corporation; and a rural community,
unincorporated town or village, or other public entity (Homeland Security Act).
Introduction
9
1.3.2 The Value Proposition
• Joint R&D and modeling, simulation, and analysis programs;
The public-private partnership called for in the NIPP provides
the foundation for effective CIKR protection. Prevention,
response, mitigation, and recovery efforts are most efficient
and effective when there is the full participation of government and industry partners; the mission suffers (e.g., full
benefits are not realized) without the robust participation of
a wide array of CIKR partners.
• Participation in national-level and cross-sector training and
exercise programs, as well as the National Incident Management System;
The success of the NIPP partnership depends on articulating
the benefits to government and the private sector partners.
Industry capabilities that add value to the government include:
• Access and input into cross-sector interdependency analyses;
• Established informal networks among private sector partners and between the private sector and the various Federal
agencies that can be used for all-hazards planning and
response; and
• Identification of potential improvements in regulations.
• Understanding of CIKR assets, systems, networks, and facilities, and other capabilities through industry ownership and
management of a vast majority of CIKR in most sectors;
Government can encourage industry to go beyond efforts
already justified by their corporate business needs to assist in
broad-scale CIKR protection through activities such as:
• Ability to take action to reduce risk and to respond to and
recover from incidents;
• Providing owners and operators with timely, accurate, and
useful analysis and information on threats to CIKR;
• Ability to innovate and to provide products, services, and
technologies to quickly focus on mission needs; and
• Ensuring that industry is engaged as early as possible in
the development of policies and initiatives related to NIPP
implementation;
• Robust relationships that are useful for sharing and protecting sensitive information regarding threats, vulnerabilities,
countermeasures, and best practices.
Although articulating the value proposition to the government typically is easier to achieve, it is often more difficult
to articulate the direct benefits of participation for the private
sector. In assessing the value proposition for the private sector, there is a clear national interest in ensuring the collective
protection and resiliency of the Nation’s CIKR. More specific
benefits that have been realized during the first few years of
the partnership include:
• Participation in both a policy development and risk analysis
and management framework that helps focus both corporate and government planning and resource investment;
• Greater information sharing regarding specific threats and
hazards enabled by the issuance of security clearances to
private sector partners;
• Leveraged application of preparedness guidelines and
self-assessment tools within and across sectors so that risks
can be managed more effectively and efficiently from the
corporate level down to the individual facility level;
• Targeted application of limited resources to the highest risk
issues, to include Federal grant funding where appropriate;
• Coordination and planning across multiple agencies for
those assets and facilities that are considered to be at the
greatest risk;
10
• Articulating to corporate leaders, through the use of public
platforms and private communications, both the business
and national security benefits of investing in security measures that exceed their business case;
• Creating an environment that encourages and supports incentives and recognition for companies to voluntarily adopt
widely accepted security practices;
• Working with industry to develop and clearly prioritize key
missions and enable the protection and/or restoration of
related CIKR;
• Providing support for R&D initiatives that is needed to
enhance future CIKR protection efforts;
• Providing the resources to enable cross-sector interdependency studies; exercises, symposiums, training sessions,
and computer modeling; and otherwise support business
continuity planning; and
• Enabling time-sensitive information sharing and restoration
and recovery support to priority CIKR facilities and services
during emerging threat and incident management situations.
The above examples illustrate some of the ways in which the
government can partner with the private sector to add value
to industry’s ability to assess risk and refine its own business
continuity and security plans, as well as to contribute to the
security and sustained economic vitality of the Nation.
National Infrastructure Protection Plan
1.4 Threats to the Nation’s CIKR
Presidential guidance and national strategies issued in the
aftermath of the September 11, 2001, attacks focused initial
CIKR protection efforts on addressing the terrorist threat
environment. These new challenges required approaches that
focused on intelligence-driven analyses, information sharing,
and unprecedented partnerships between the government
and the private sector at all levels. The Nation’s CIKR owners
and operators have decades of experience planning for and
responding to natural disasters, industrial accidents, and the
deliberate acts of malicious individuals in order to maintain
business continuity. However, such plans and preparedness
efforts must continue to adapt to a dynamic threat environment and to address vulnerabilities and gaps in CIKR protection in an all-hazards context.
1.4.1 The Vulnerability of the U.S. Infrastructure to 21st
Century Threats and Hazards
America is an open, technologically sophisticated, highly
interconnected, and complex Nation with a wide array
of infrastructure that spans important aspects of the U.S.
Government, economy, and society. The vast majority of
the CIKR-related assets, systems, and networks are owned
and operated by the private sector. However, in sectors such
as Water and Government Facilities, the majority of owners and operators are governmental or quasi-governmental
entities. The great diversity and redundancy of the Nation’s
CIKR provide for significant physical and economic resilience
in the face of terrorist attacks, natural disasters, or other
emergencies, and contribute to the strength of the Nation’s
economy. However, this vast and diverse aggregation of
highly interconnected assets, systems, and networks may
also present an attractive array of targets to domestic and
international terrorists and magnify greatly the potential
for cascading failure in the wake of catastrophic natural or
manmade disasters. Improvements in protection and resilience that focus on elements of CIKR that are deemed to be
nationally critical can make it more difficult for terrorists to
launch destructive attacks, as well as lessen the impact of any
attack or other disaster that does occur and provide greater
resiliency in response and recovery.
1.4.2 The Nature of the Terrorist Adversary
The number and high profile of international and domestic
terrorist attacks and disrupted plots during the last two decades
underscore the determination and persistence of terrorist
organizations. Terrorists have proven to be relentless, patient,
opportunistic, and flexible, learning from experience and
Introduction
modifying tactics and targets to exploit perceived vulnerabilities and avoid observed strengths. Analysis of terrorist goals
and motivations points to domestic and international CIKR as
potentially prime targets for terrorist attacks. As security measures around more predictable targets increase, terrorists are
likely to shift their focus to less protected targets. Enhancing
countermeasures to address any one terrorist tactic or target
may increase the likelihood that terrorists will shift to another,
which underscores the necessity for a balanced, comparative approach that focuses on managing risk commensurately
across all sectors and scenarios of concern.
Terrorist organizations have shown an understanding of the
potential consequences of carefully planned attacks on economic, transportation, and symbolic targets, both within the
United States and abroad. Future terrorist attacks against CIKR
located inside the United States and those located abroad
could seriously threaten national security, result in mass
casualties, weaken the economy, and damage public morale
and confidence.
The NIPP considers a broad range of terrorist objectives, intentions, and capabilities to assess the threat to various components of the Nation’s CIKR. Terrorists may contemplate attacks
against the Nation’s CIKR to achieve direct or indirect effects,
or to exploit the infrastructure to cause catastrophic loss of life
or economic disruptions.
The NIPP outlines the ways in which the Department of
Homeland Security (DHS) and its partners use threat analysis
to inform comprehensive risk assessments and risk-mitigation
activities. The risk management framework discussed in chapter 3 strikes a balance between ways to mitigate specific threats
and general threats. It ensures that the range of risk scenarios
considered is broad enough to avoid a “failure of imagination,” yet provides a process to enable risk assessment sufficient
for the purpose of formulating action plans and programs to
enhance resiliency, reduce vulnerability, deter threats, and
mitigate potential consequences.
1.4.3 All-Hazards and CIKR Protection
In addition to addressing CIKR protection related to terrorist threats, the NIPP also describes activities relevant to
CIKR protection and preparedness in an all-hazards context. The direct impact, disruption, and cascading effects
of natural disasters (e.g., Hurricanes Katrina and Rita, the
Northridge earthquake, the 2008 Mississippi River floods)
and manmade incidents (e.g., the Minneapolis I-35 bridge
collapse or the Exxon Valdez oil spill) are documented and
underscore the vulnerabilities and interdependencies of the
Nation’s CIKR.
11
Many owners and operators, government emergency managers, and first-responders have developed strategies, plans,
policies, and procedures to prepare for, mitigate, respond
to, and recover from a variety of natural and manmade
incidents. The NIPP framework supports these efforts and,
additionally, provides an augmented focus on the protection
of America’s CIKR against terrorist attacks. In fact, the dayto-day public-private coordination structures, informationsharing networks, and risk management frameworks used to
implement NIPP steady-state CIKR protection efforts continue
to function and provide the CIKR protection dimension
for incident management under the National Response
Framework (NRF). Likewise, the mitigation and business
continuity practices employed to protect against natural
hazards and other non-terrorist attacks should support and
augment the goals of the NIPP. The NIPP, and the public and
private sector partnership that it represents, work in conjunction with other plans and initiatives to provide a strong
foundation for preparedness in an all-hazards context.
1.5 Special Considerations
CIKR protection planning involves special consideration for
unique cyber elements that support CIKR operations and
complex international relationships—two areas of recent
focus and attention.
1.5.1 The Cyber Dimension
• The U.S. economy and national security depend greatly
and increasingly on the global cyber infrastructure. Cyber
infrastructure enables all sectors’ functions and services,
resulting in a highly interconnected and interdependent
global network of CIKR.
• A spectrum of malicious actors routinely conducts attacks
against the cyber infrastructure using cyber attack tools.
Because of the interconnected nature of the cyber infrastructure, these attacks could spread quickly and have a
debilitating effect.
• Cybersecurity includes preventing damage to, unauthorized
use of, or exploitation of electronic information and communications systems and the information contained therein
to ensure confidentiality, integrity, and availability. Cybersecurity also includes restoring electronic information and
communications systems in the event of a terrorist attack or
natural disaster.
• The use of innovative technology and interconnected networks in operations improves productivity and efficiency,
but also increases the Nation’s vulnerability to cyber threats if
cybersecurity is not addressed and integrated appropriately.
12
Cyber infrastructure includes electronic information and
communication systems, and the information contained in
these systems. Computer systems, control systems such as
Supervisory Control and Data Acquisition (SCADA) systems, and
networks such as the Internet are all part of cyber infrastructure.
Information and communications systems are composed of
hardware and software that process, store, and communicate
data of all types. Processing includes the creation, access, modification, and destruction of information. Storage includes paper,
magnetic, electronic, and all other media types. Communications
include sharing and distribution of information.
Information Technology (IT) critical functions are sets of
processes that produce, provide, and maintain products
and services. IT critical functions encompass the full set of
processes (e.g., R&D, manufacturing, distribution, upgrades,
and maintenance) involved in transforming supply inputs into
IT products and services.
• The interconnected and interdependent nature of the Nation’s CIKR makes it problematic to address the protection
of physical and cyber assets independently.
• The NIPP addresses reducing cyber risk and enhancing cybersecurity in two ways: (1) as a cross-sector cyber element
that involves DHS, SSAs and Government Coordinating
Councils (GCCs), and private sector owners and operators;
and (2) as a major component of the Information Technology Sector’s responsibility in partnership with the Communications Sector.
1.5.2 International CIKR Protection
• The NIPP addresses international CIKR protection, including interdependencies and vulnerabilities based on threats
(and associated consequences) that originate outside the
country or pass through it.
• The Federal Government and the private sector work with
foreign governments and international/multinational
organizations to enhance the confidentiality, integrity, and
availability of cyber infrastructure and products.
• Protection of assets, systems, and networks that operate
across or near the borders with Canada and Mexico, or rely
on other international aspects to enable critical functionality, requires coordination with and planning and/or sharing resources among neighboring governments at all levels,
as well as private sector CIKR owners and operators.
• The Federal Government and private sector corporations
have a significant number of facilities located outside the
United States that may be considered CIKR.
National Infrastructure Protection Plan
• Special consideration may be required when CIKR is extensively integrated into an international or global market
(e.g., financial services, agriculture, energy, transportation,
telecommunications, or information technology) or when
a sector relies on inputs that are not within the control of
U.S. entities.
1.6.1 Understanding and Sharing Information
• Special consideration is required when government facilities and functions are directly affected by foreign-owned
and -operated commercial facilities.
• Establishing effective information-sharing processes and
protocols among CIKR partners;
• The Federal Government, working in close coordination
and cooperation with the private sector, launched the Critical Foreign Dependencies Initiative in 2007 to identify assets and systems located outside the United States, which, if
disrupted or destroyed, would critically affect public health
and safety, the economy, or national security. The resulting strategic compendium guides engagement with foreign
countries in the CIKR protection mission area.
1.6 Achieving the Goal of the NIPP
Achieving the NIPP goal of building a safer, more secure,
and more resilient America requires actions that address the
following principal objectives:
• Understanding and sharing information about terrorist
threats and other hazards;
• Building partnerships to share information and implement
CIKR protection and resiliency programs;
• Implementing a long-term risk management program that
includes:
––Hardening, distributing, diversifying, and otherwise ensuring the resiliency of CIKR against known threats and
hazards, as well as other potential contingencies;
One of the essential elements needed to achieve the Nation’s
CIKR protection goals is to ensure the availability and flow
of accurate, timely, and relevant information and/or intelligence about terrorist threats and other hazards, information
analysis, and incident reporting. This includes:
• Providing intelligence and information to SSAs and other
CIKR sector partners as permitted by law;
• Analyzing, warehousing, and sharing risk assessment data
in a secure manner that is consistent with relevant legal
requirements and information protection responsibilities;
• Providing protocols for real-time threat and incident reporting, alert, and warning; and
• Providing protocols for the protection of sensitive information.
Chapter 3 details the risk and threat analysis processes and
products aimed at better understanding and characterizing terrorist threats. Chapter 4 describes the NIPP network
approach to information sharing and the process for protecting sensitive CIKR-related information.
1.6.2 Building Partnerships
Building partnerships represents the foundation of the
national CIKR protection effort. These partnerships provide a
framework to:
• Exchange ideas, approaches, and best practices;
• Facilitate security planning and resource allocation;
• Establish effective coordinating structures among partners;
––Developing processes to interdict human threats to prevent potential attacks;
• Enhance coordination with the international community;
and
––Planning for rapid response to CIKR disruptions to limit
the impact on public health and safety, the economy, and
government functions; and
• Build public awareness.
––Planning for rapid CIKR recovery for those events that
are not preventable; and
• Maximizing the efficient use of resources for CIKR protection.
This section provides a summary of the actions needed to
address these objectives. More detailed discussions of these
actions are included in the chapters that follow.
Introduction
Chapters 2 and 4 describe partners’ roles and responsibilities
related to CIKR protection, as well as specific mechanisms
for the governance, coordination, and information sharing
necessary to enable effective partnerships.
1.6.3 Implementing a CIKR Risk Management
Program
The risk management program detailed in the NIPP includes
processes to:
13
• Establish a risk management framework to guide CIKR
protection and resiliency programs and activities;
• Take appropriate risk management actions to enhance CIKR
protection and resiliency based on all-hazards risk assessments;
• Conduct and update risk assessments, as appropriate, at
the asset, system, network, sector, cross-sector, regional,
national, and international levels;
• Helps align Federal resources with the CIKR protection
mission and supports the tracking and accountability of
public funds;
• Considers State, local, tribal, and territorial government and
private sector issues related to planning, programming, and
budgeting;
• Draws on expertise across organizational and national
boundaries;
• Develop and deploy new technologies to enable more effective and efficient CIKR protection; and
• Shares expertise and speeds implementation of best practices;
• Provide a system for measurement and improvement of
CIKR protection, including:
• Recognizes the need to build a business case to support
further private sector CIKR protection investments; and
––Establishing performance metrics to track the effectiveness of protection programs and resiliency strategies; and
––Updating the NIPP and SSPs as required.
The NIPP also specifies the processes, initiatives, and milestones necessary to implement an effective long-term CIKR risk
management program. Chapter 3 provides details regarding
the NIPP risk management framework and the measurement
and analysis processes that support its continuous improvement; chapter 6 addresses issues that are important for sustaining and improving CIKR protection over the long term.
1.6.4 Maximizing Efficient Use of Resources for CIKR
Protection
• Identifies potential incentives for preparedness and security-related activities where they do not naturally exist in the
marketplace.
Chapter 5 explains how a coordinated national approach to
the CIKR protection mission supports the efficient application
of resources. Efficient use of resources enables the continuous improvement of the technology, databases, data systems,
and other approaches used to protect CIKR and manage risk.
These processes are detailed in chapter 6. Chapter 7 describes
the annual processes that reflect coordination with SSAs
and other partners regarding resource prioritization and
allocation. Also discussed are processes to target grants and
other funding authorities to maximize and focus the use of
resources to support national and sector priorities.
Maximizing the efficient use of resources for CIKR protection includes a coordinated and integrated annual process for
program implementation that:
• Supports prioritization of programs and activities within
and across sectors considering sector needs and requirements;
• Informs the annual Federal process regarding planning,
programming, and budgeting for national-level CIKR protection;
14
More information about the NIPP is
available on the Internet at:
www.dhs.gov/nipp or by contacting DHS at:
[email protected]
National Infrastructure Protection Plan
2. Authorities, Roles, and
Responsibilities
Improving the all-hazards protection and resilience of the Nation’s CIKR necessitates: a comprehensive,
unifying organization; defined roles and responsibilities; and close cooperation across all levels of government and the private sector. Protection authorities, requirements, resources, capabilities, and risk landscapes vary widely across governmental jurisdictions, sectors, and individual industries and enterprises.
This reality presents a complex set of challenges in terms of implementing NIPP programs and measuring performance. Hence, successful implementation of the NIPP and the supporting SSPs depends on an
effective partnership framework that: fosters integrated, collaborative engagement and interaction; divides
responsibilities among diverse Federal, State, regional, local, tribal, territorial, and private sector partners;
and helps to efficiently target the Nation’s protection resources based on risk and need.
This chapter includes a brief overview of the relevant authorities and outlines the principal roles and responsibilities of:
DHS; SSAs and GCCs; NIPP partners at all levels of government and in the private sector; CIKR owners and operators;
and other partners who share responsibility in protecting the
Nation’s CIKR. A comprehensive understanding of these roles
and responsibilities provides the foundation for an effective
and sustainable national CIKR protection effort.
2.1 Authorities
The roles and responsibilities described in this chapter are
derived from a series of authorities, including the Homeland
Security Act of 2002, as well as other CIKR protection-related
legislation, Executive Orders, Homeland Security Presidential
Directives, and national strategies. The National Strategy for
Homeland Security established the national CIKR vision with
a charge to “forge an unprecedented level of cooperation
throughout all levels of government, with private industry
and institutions, and with the American people to protect our
critical infrastructures and key assets from terrorist attack.”4
HSPD-7, Critical Infrastructure Identification, Prioritization,
and Protection, provided the direction to implement this
vision. More detailed information on these and other CIKR
protection-related authorities is included in chapter 5 and
appendix 2A.
The Homeland Security Act provides the primary authority for the overall homeland security mission and outlines
DHS responsibilities in the protection of the Nation’s CIKR.
It established the DHS mission, including “reducing the
Nation’s vulnerability to terrorist attacks,” major disasters,
and other emergencies, and charged the department with
evaluating vulnerabilities and ensuring that steps are implemented to protect the high-risk elements of America’s CIKR,
including food and water systems, agriculture, healthcare
systems, emergency services, information technology,
communications, banking and finance, energy (electrical,
nuclear, gas and oil, and dams), transportation (air, highways, rail, ports, and waterways), the chemical and defense
industries, postal and shipping entities, and national monuments and icons. Title II, section 201, of the act assigned
primary responsibility to DHS to develop a comprehensive
4
The National Strategy for Homeland Security uses the term “key assets,” defined as individual targets whose destruction would not endanger vital systems, but could create a
local disaster or profoundly damage the Nation’s morale or confidence. The Homeland Security Act and HSPD-7 use the term “key resources,” defined more generally to capture
publicly or privately controlled resources essential to the minimal operations of the economy or government. “Key resources” is the current terminology.
Authorities, Roles, and Responsibilities
15
national plan for securing CIKR and for recommending “the
measures necessary to protect the key resources and critical infrastructure of the United States in coordination with
other agencies of the Federal Government and in cooperation
with State and local government agencies and authorities, the
private sector, and other entities.”
A number of other statutes provide specific legal authorities for both cross-sector and sector-specific CIKR protection and resiliency programs. Examples include the Public
Health Security and Bioterrorism Preparedness and Response
Act of 2002, which was intended to improve the ability
of the United States to prevent, prepare for, and respond
to acts of bioterrorism and other public health emergencies; the Maritime Transportation Security Act; the Aviation
Transportation Security Act of 2001; the Energy Policy and
Conservation Act; the Critical Infrastructure Information
Act; the Federal Information Security Management Act;
Implementing Recommendations of the 9/11 Commission
Act of 2007; and various others.
Many different HSPDs are also relevant to CIKR protection,
including, but not limited to:
• HSPD-3, Homeland Security Advisory System
• HSPD-5, Management of Domestic Incidents
• HSPD-8, National Preparedness
• HSPD-9, Defense of the United States Agriculture and Food
• HSPD-10, Biodefense for the 21st Century
• HSPD-19, Combating Terrorist Use of Explosives in the
United States
• HSPD-20, National Continuity Policy
• HSPD-22, Domestic Chemical Defense
These separate authorities and directives are tied together as
part of the national approach for CIKR protection through the
unifying framework established in HSPD-7. HSPD-7, issued
in December 2003, established the U.S. policy for “enhancing protection of the Nation’s CIKR.” HSPD-7 establishes a
framework for public and private sector partners to identify,
prioritize, and protect the Nation’s CIKR from terrorist
attacks, with an emphasis on protecting against catastrophic
health effects and mass casualties. The directive sets forth
the roles and responsibilities for: DHS; SSAs; other Federal
departments and agencies; State, local, tribal, and territorial
governments; regional partners; the private sector; and other
CIKR partners. The following sections address the roles and
responsibilities under this integrated approach.
16
2.2 Roles and Responsibilities
Given the fact that terrorist attacks and certain natural or
manmade disasters can have a national-level impact, it is
incumbent upon the Federal Government to provide leadership and coordination in the CIKR protection mission area.
2.2.1 Department of Homeland Security
Under HSPD-7, DHS is responsible for leading, integrating,
and coordinating the overall national effort to enhance CIKR
protection, including collaboratively developing the NIPP and
supporting SSPs; developing and implementing comprehensive, multi-tiered risk management programs and methodologies; developing cross-sector and cross-jurisdictional
protection guidance, guidelines, and protocols; and recommending risk management and performance criteria and
metrics within and across sectors. Per HSPD-7, DHS is also a
focal point for the security of cyberspace. HSPD-7 establishes
a central source for coordinating best practices and supporting protective programs across and within government agencies. In the directive, the President designates the Secretary of
Homeland Security as the “principal Federal official to lead,
integrate, and coordinate implementation of efforts among
Federal departments and agencies, State and local governments, and the private sector to protect critical infrastructure
and key resources.” The Secretary of Homeland Security is
responsible for addressing the complexities of the Nation’s
Federal system of government and its multifaceted and interdependent economy, as well as for establishing structures to
enhance the close cooperation between the private sector and
government at all levels to initiate and sustain an effective
CIKR protection program.
In addition to these overarching leadership and cross-sector
responsibilities, DHS and its component agencies serve as the
SSAs for 11 of the CIKR sectors identified in HSPD-7 or subsequently established using the criteria set forth in HSPD-7:
Information Technology; Communications; Transportation
Systems; Chemical; Emergency Services; Nuclear Reactors,
Materials, and Waste; Postal and Shipping; Dams; Critical
Manufacturing; Government Facilities; and Commercial
Facilities. Specific SSA responsibilities, as appropriate, are
discussed in section 2.2.2. DHS, in the person of the Assistant
Secretary for Infrastructure Protection or his/her designee,
serves as the co-chair of each of the GCCs with the respective
Federal SSA for that sector.
Additional DHS CIKR protection roles and responsibilities
include:
National Infrastructure Protection Plan
• Identifying, prioritizing, and coordinating Federal action in
support of the protection of nationally critical assets, systems, and networks, with a particular focus on CIKR that
could be exploited to cause catastrophic health effects or
mass casualties comparable to those produced by a WMD;
• Coordinating, facilitating, and supporting the overall process for building partnerships and leveraging sector-specific
security expertise, relationships, and resources across CIKR
sectors, including oversight and support of the sector partnership model described in chapter 4; cooperating with
Federal, State, local, tribal, territorial, and regional partners;
and collaborating with the Department of State to reach out
to foreign governments and international organizations to
strengthen the protection of U.S. CIKR;
• Supporting the formation and development of regional
partnerships, including promoting new partnerships,
enabling information sharing, and sponsoring security
clearances;
• Establishing and maintaining a comprehensive, multitiered, dynamic information-sharing network designed to
provide timely and actionable threat information, assessments, and warnings to public and private sector partners.
This responsibility includes protecting sensitive information voluntarily provided by the private sector and facilitating the development of sector-specific and cross-sector
information-sharing and analysis systems, mechanisms,
and processes;
• Coordinating national efforts for the security of cyber
infrastructure, including precursors and indicators of an
attack, and understanding those threats in terms of CIKR
vulnerabilities;
• Coordinating, facilitating, and supporting comprehensive
risk assessment programs for high-risk CIKR, identifying
priorities across sectors and jurisdictions, and integrating
CIKR protection and resiliency programs with the all-hazards approach to domestic incident management described
in HSPD-5;
• Facilitating the sharing of best practices and processes, and
risk assessment methodologies and tools across sectors and
jurisdictions;
• Ensuring that interagency, sector, and cross-sector coordination and information-sharing mechanisms and resources
(e.g., DHS sector specialists) are in place to support CIKRrelated incident management operations;
• Supporting the development and transfer of advanced
technologies while leveraging private sector expertise and
competencies, including participation in the development
of voluntary standards or best practices, as appropriate;
• Promoting national-level CIKR protection education, training, and awareness in cooperation with State, local, tribal,
territorial, regional, and private sector partners;
• Identifying and implementing plans and processes for appropriate increases in protective measures that align to allhazards warnings; specific threats, as appropriate; and each
level of the Homeland Security Advisory System (HSAS);
• Providing real-time (24/7) threat and incident reporting;
• Conducting modeling and simulations to analyze sector,
cross-sector, and regional dependencies and interdependencies, to include cyber, and sharing the results with CIKR
partners, as appropriate;
• Helping inform the annual Federal budget process based on
CIKR risk and the potential for reducing risk and need, in
coordination with SSAs, GCCs, and other partners;
• Supporting performance measurement for the national
CIKR protection program and NIPP implementation process
to encourage continuous improvement and providing annual CIKR protection reports to the Executive Office of the
President (EOP) and Congress;
• Integrating national efforts for the protection and recovery
of critical information systems and the cyber components
of physical CIKR, including analysis, warning, informationsharing, and risk management activities and programs;
• Evaluating preparedness for CIKR protection across sectors
and jurisdictions;
• Documenting lessons learned from exercises, actual incidents, and pre-disaster mitigation efforts and applying
those lessons, where applicable, to CIKR protection efforts;
• Promoting CIKR awareness to provide incentives for participation by CIKR owners and operators;
• Working with the Department of State, SSAs, and other
partners to ensure that U.S. CIKR protection efforts are
fully coordinated with international partners; and
• Evaluating the need for and coordinating the protection of
additional CIKR categories over time, as appropriate.
• Sponsoring CIKR protection-related R&D, demonstration
projects, and pilot programs;
Authorities, Roles, and Responsibilities
17
2.2.2 Sector-Specific Agencies
Recognizing that each CIKR sector possesses its own unique
characteristics, operating models, and risk landscapes,
HSPD-7 designates Federal Government SSAs for each of
the CIKR sectors (see table 2-1). The SSAs are responsible for
working with DHS and their respective GCCs to: implement
the NIPP sector partnership model and risk management
framework; develop protective programs, resiliency strategies, and related requirements; and provide sector-level CIKR
protection guidance in line with the overarching guidance
established by DHS pursuant to HSPD-7. Working in collaboration with partners, the SSAs are responsible for developing
or revising and then submitting SSPs and sector-level performance feedback reports to DHS to enable national crosssector CIKR protection program assessments.
In accordance with HSPD-7, SSAs are also responsible for collaborating with private sector partners and encouraging the
development of appropriate voluntary information-sharing
and analysis mechanisms within the sector. This includes
encouraging voluntary security-related information sharing,
where possible, among private entities within the sector, as
well as among public and private entities.
Consistent with existing authorities (including regulatory
authorities in some instances), SSAs perform the activities
above, as appropriate, and in close cooperation with other
sector partners. HSPD-7 requires SSAs to provide an annual
report to the Secretary of Homeland Security on their efforts
to identify, prioritize, and coordinate CIKR protection and
resiliency in their respective sectors. DHS provides guidance and templates that inform reporting on sector CIKR
protection priorities, requirements, and resources. The SSA’s
established annual budget process is the primary mechanism
for outlining these sector-specific CIKR protection requirements and related budget projections, to the extent possible,
as a component of their annual budget submissions to the
Office of Management and Budget (OMB).
Additional SSA responsibilities include:
• Identifying, prioritizing, and coordinating Federal activities in support of CIKR protection and resiliency within
the sector, with a particular focus on CIKR that could be
exploited to cause catastrophic health effects or mass casualties comparable to those produced by a WMD;
• Managing the overall process for building partnerships
and leveraging CIKR security expertise, relationships, and
resources within the sector, including sector-level oversight
and support of the sector partnership model described in
chapter 4;
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• Coordinating, facilitating, and supporting comprehensive
risk assessment/management programs for high-risk CIKR,
identifying protection and resiliency priorities, and incorporating CIKR protection activities as a key component of
the all-hazards approach to domestic incident management
within the sector;
• Facilitating the sharing of real-time incident notification,
as well as CIKR protection best practices and processes, and
risk assessment methodologies and tools within the sector;
• Promoting CIKR protection education, training, and awareness within the sector in coordination with State, regional,
local, tribal, territorial, and private sector partners;
• Helping inform the annual Federal budget process considering CIKR risk and protection needs in coordination
with partners and allocating resources for CIKR protection
accordingly;
• Supporting performance measures for CIKR protection and
NIPP implementation activities within the sector to enable
continuous improvement, and reporting progress and gaps
to DHS;
• Contributing to the annual National Critical Infrastructure
Protection Research and Development (NCIP R&D) Plan;
• Identifying/recommending appropriate strategies to encourage private sector participation;
• Responding to or otherwise supporting DHS-initiated data
calls, as appropriate, to populate the Infrastructure Data
Warehouse (IDW), enable national-level risk assessment,
and inform the national-level resource allocation;
• Supporting protocols for the Protected Critical Infrastructure Information (PCII) Program, as appropriate;
• Working with DHS, as appropriate, to develop and evaluate
sector-specific risk assessment tools;
• Supporting dependency, interdependency, consequence,
and other sector analyses, as needed;
• Coordinating with DHS and other NIPP partners to promote CIKR awareness to encourage participation by CIKR
owners and operators;
• Coordinating sector-level participation in the National Exercise Program (NEP) (through the NEP Executive Steering
Committee representatives), Homeland Security Exercise
and Evaluation Program (HSEEP), and other sector-level
activities;
National Infrastructure Protection Plan
Table 2-1: Sector-Specific Agencies and Assigned CIKR Sectors
a
The Department of Agriculture is responsible for agriculture and food (meat, poultry, and egg products).
The Department of Health and Human Services is responsible for food other than meat, poultry, and egg products.
c Nothing in this plan impairs or otherwise affects the authority of the Secretary of Defense over the Department of Defense (DoD), including the chain of
command for military forces from the President as Commander in Chief, to the Secretary of Defense, to the commander of military forces, or military command
and control procedures.
d The Energy Sector includes the production, refining, storage, and distribution of oil, gas, and electric power, except for commercial nuclear power facilities.
e The Water Sector includes drinking water and wastewater systems.
f The U.S. Coast Guard is the SSA for the maritime transportation mode.
g As stated in HSPD-7, the Department of Transportation and the Department of Homeland Security will collaborate on all matters relating to transportation
security and transportation infrastructure protection.
h The Department of Education is the SSA for the Education Facilities Subsector of the Government Facilities Sector.
b
Authorities, Roles, and Responsibilities
19
• Assisting sector partners in their efforts to:
––Organize and conduct protection and continuity-of-operations planning, and elevate awareness and understanding of threats and vulnerabilities to their assets, systems,
and networks; and
––Identify and promote effective sector-specific best practices and methodologies;
• Supporting the identification and implementation of plans
and processes within the sector for enhancements in protective measures that align to all-hazards warnings; specific
threats, as appropriate; and each level of the HSAS;
• Understanding and mitigating sector-specific cyber risk by
developing or encouraging appropriate protective measures,
information-sharing mechanisms, and emergency recovery
plans for cyber assets, systems, and networks within the
sector and interdependent sectors; and
• Coordinating with DHS, the Department of State (DOS),
and other appropriate departments and agencies to integrate U.S. CIKR protection programs into the international
and global markets, and address relevant dependency, interdependency, and cross-border issues.
2.2.3 Other Federal Departments, Agencies, and Offices
All Federal departments and agencies function as CIKR partners in coordination with DHS and the SSAs. In accordance
with HSPD-7, they cooperate with DHS in implementing CIKR
protection efforts, consistent with the Homeland Security Act
and other applicable legal authorities. In this capacity, they
support implementation of the NIPP and SSPs, as appropriate,
and are responsible for supporting identification, prioritization,
assessment, and remediation of, and enhancing the protection
of, CIKR under their control. Federal departments and agencies
that are not designated as SSAs, but that have unique responsibilities, functions, or expertise in a particular CIKR sector
(such as GCC members) will:
• Assist in identifying and assessing high-consequence CIKR
and enabling protective actions and programs within that
sector;
• Support the national goal of enhancing CIKR protection
through their role as the regulatory agency for owners and
operators represented within a specific sector when so designated by statute; and
• Collaborate with all relevant partners to share securityrelated information within the sector, as appropriate.
20
Depending on their regulatory roles and their relationships
with the SSAs, these agencies may play an important supporting role in developing and implementing the SSPs and related
protective activities within the sector.
Under HSPD-7, a number of Federal departments and
agencies and components of the EOP have special functions
related to CIKR protection. The following section addresses
Federal departments, agencies, and commissions specifically
identified in HSPD-7. Many other Federal entities have sectorspecific or cross-sector authorities and responsibilities that are
more appropriately addressed in the SSPs.
• The DOS, in coordination with DHS and the Departments
of Justice, Commerce, Defense, and the Treasury, works
with foreign governments and international organizations
to strengthen U.S. CIKR protection efforts.
• The Department of Justice (DOJ), including the Federal
Bureau of Investigation (FBI), acts to reduce terrorist threats
and investigates and prosecutes actual or attempted attacks
on, sabotage of, or disruptions of CIKR in collaboration
with DHS.
• The Department of Commerce (DOC) works with: DHS;
the private sector; and research, academic, and government
organizations to improve technology for cyber systems
and promote other critical infrastructure efforts, including using its authority under the Defense Production Act
to ensure the timely availability of materials, services, and
facilities to meet homeland security requirements, and to
address economic security issues.
• The Department of Transportation (DOT) collaborates with
DHS on all matters related to transportation security and
transportation infrastructure protection, and is also responsible for operating the National Airspace System. DOT and
DHS collaborate on regulating the transportation of hazardous materials by all modes (including pipelines).
• The Nuclear Regulatory Commission (NRC) works with
DHS and the Department of Energy (DOE), as appropriate,
to ensure the protection of commercial nuclear reactors for
generating electric power and non-power nuclear reactors
used for research, testing, and training; nuclear materials
in medical, industrial, and academic settings and facilities
that fabricate nuclear fuel; and the transportation, storage,
and disposal of commercial nuclear materials and waste. In
addition, the NRC collaborates with DHS on any changes
in the protective measures for this sector, as well as the approval of new reactor applications.
National Infrastructure Protection Plan
• The Intelligence Community, the Department of Defense
(DoD), and other appropriate Federal departments, such
as the Department of the Interior (DOI) and DOT, have
collaborated with DHS to develop and implement a suite of
geospatial visualization and analysis tools to map, image,
analyze, and sort CIKR data using commercial satellite and
airborne systems, as well as associated agency capabilities.
DHS works with these Federal departments and agencies to
identify and help protect those positioning, navigation, and
timing services, such as global positioning systems (GPS),
that are critical enablers for CIKR sectors such as Banking
and Finance and Communications. DHS and the Intelligence Community also collaborate with other agencies,
such as the Environmental Protection Agency, that manage
data addressed by geographic information systems.
• The Homeland Security Council ensures the coordination
of interagency policy related to physical and cyber CIKR
protection based on advice from the Critical Infrastructure
Protection Policy Coordination Committee (PCC). This PCC
is chaired by a Federal officer or employee designated by
the Assistant to the President for Homeland Security.
• The White House Office of Science and Technology Policy
coordinates with DHS to further interagency R&D related
to CIKR protection.
• The OMB oversees the implementation of governmentwide policies, principles, standards, and guidelines for
Federal Government computer security programs.
2.2.4 State, Local, Tribal, and Territorial Governments
State, local, tribal, and territorial governments are responsible
for implementing the homeland security mission, protecting public safety and welfare, and ensuring the provision of
essential services to communities and industries within their
jurisdictions. They also play a very important and direct role
in enabling CIKR protection and resilience, including CIKR
under their control, as well as that owned and operated by
other NIPP partners within their jurisdictions. The efforts of
these public entities are critical to the effective implementation of the NIPP, SSPs, and various jurisdictionally focused
protection and resiliency plans. They are equally critical in
terms of enabling time-sensitive, post-event CIKR response
and recovery activities.
CIKR partners at all levels of government have developed
homeland security strategies that align with and support the
priorities established in the National Preparedness Guidelines.
With the inclusion of NIPP implementation as one of these
national priorities, CIKR protection programs form an
Authorities, Roles, and Responsibilities
essential component of State, local, tribal, and territorial
homeland security strategies, particularly with regard to
establishing funding priorities and informing security investment decisions. To permit effective NIPP implementation
and performance measurement at each jurisdictional level,
these protection programs should reference all core elements
of the NIPP framework, where appropriate, including key
cross-jurisdictional security and information-sharing linkages, as well as specific CIKR protection programs focused on
risk management. These programs play a primary role in the
identification and protection of CIKR regionally and locally
and also support DHS and SSA efforts to identify, ensure connectivity with, and enable the protection of CIKR of nationallevel criticality within the jurisdiction.
2.2.4.1 State and Territorial Governments
State (and territorial, where applicable) governments are
responsible for establishing partnerships, facilitating coordinated information sharing, and enabling planning and
preparedness for CIKR protection within their jurisdictions.
They serve as crucial coordination hubs, bringing together
prevention, protection, response, and recovery authorities;
capabilities; and resources among local jurisdictions, across
sectors, and between regional entities. States and territories
also act as conduits for requests for Federal assistance when
the threat or incident situation exceeds the capabilities of
public and private sector partners at lower jurisdictional
levels. States receive CIKR information from the Federal
Government to support national and State CIKR protection
and resiliency programs.
State and territorial governments shall develop and implement State or territory-wide CIKR protection programs that
reflect the full range of NIPP-related activities. State and
territorial programs should address all relevant aspects of
CIKR protection, leverage support from homeland security
assistance programs that apply across the homeland security
mission area, and reflect priority activities in their strategies
to ensure that resources are effectively allocated. Effective
statewide and regional CIKR protection efforts should be
integrated into the overarching homeland security program framework at the State or territory level to ensure that
prevention, protection, response, and recovery efforts are
synchronized and mutually supportive. CIKR protection at
the State or territory level must cut across all sectors present
within the State or territory and support national, State, and
local priorities. The program also should explicitly address
unique geographical issues, including transborder concerns,
as well as interdependencies among sectors and jurisdictions
within those geographical boundaries.
21
Specific CIKR protection-related activities at the State and territorial level include, but are not limited to:
• Acting as a focal point for and promoting the coordination
of protective and emergency response activities, preparedness programs, and resource support among local jurisdictions, regional organizations, and private sector partners;
• Developing a consistent approach to CIKR identification,
risk determination, mitigation planning, and prioritized
security investment, and exercising preparedness among all
relevant stakeholders within their jurisdictions;
• Identifying, implementing, and monitoring a risk management plan and taking corrective actions, as appropriate;
• Participating in significant national, regional, and local
awareness programs to encourage appropriate management
and security of cyber systems;
• Acting as conduits for requests for Federal assistance when
the threat or current situation exceeds the capabilities of
State and local jurisdictions and the private entities resident
within them;
• Facilitating the exchange of security information, including threat assessments and other analyses, attack indications
and warnings, and advisories, within and across jurisdictions and sectors therein;
• Participating in the NIPP sector partnership model, including: sector-specific GCCs; the State, Local, Tribal, and Territorial Government Coordinating Council (SLTTGCC); SCCs;
and other CIKR governance and planning efforts relevant to
the given jurisdiction;
• Ensuring that funding priorities are addressed and that
resources are allocated efficiently and effectively to achieve
the CIKR protection mission in accordance with relevant
plans and strategies;
• Documenting lessons learned from pre-disaster mitigation
efforts, exercises, and actual incidents, and applying that
learning, where applicable, to the CIKR context;
• Coordinating with NIPP partners to promote CIKR awareness to motivate participation by CIKR owners and operators;
• Providing response and protection, as appropriate, where
there are gaps and where local entities lack the resources
needed to address those gaps;
• Identifying and communicating the requirements for CIKRrelated R&D to DHS; and
• Providing information, as part of the grants process and/or
homeland security strategy updates, regarding State priorities, requirements, and CIKR-related funding needs.
2.2.4.2 Regional Organizations
Regional partnerships include a variety of public-private sector initiatives that cross jurisdictional and/or sector boundaries and focus on homeland security preparedness, protection,
response, and recovery within or serving the population of a
defined geographical area. Specific regional initiatives range
in scope from organizations that include multiple jurisdictions and industry partners within a single State to groups
that involve jurisdictions and enterprises in more than
one State and across international borders. In many cases,
State governments also collaborate through the adoption of
interstate compacts to formalize regionally based partnerships
regarding CIKR protection.
Partners leading or participating in regional initiatives are
encouraged to capitalize on the larger area- and sectorspecific expertise and relationships to:
• Promote collaboration among partners in implementing
NIPP-related CIKR risk assessment and protection activities;
• Sharing information on CIKR deemed to be critical from
national, State, regional, local, tribal, and/or territorial
perspectives to enable prioritized protection and restoration
of critical public services, facilities, utilities, and functions
within the jurisdiction;
• Facilitate education and awareness of CIKR protection efforts occurring within their geographical areas;
• Addressing unique geographical issues, including transborder concerns, dependencies, and interdependencies among
the sectors within the jurisdiction;
• Support threat-initiated and ongoing operations-based activities to enhance protection and preparedness, as well as
to support mitigation, response, and recovery;
• Identifying and implementing plans and processes for
increasing protective measures that align to all-hazards
warnings; specific threats, as appropriate; and each level of
the HSAS;
• Work with State, local, tribal, territorial, and international
governments and the private sector, as appropriate, to
evaluate regional and cross-sector CIKR interdependencies,
including cyber considerations;
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• Participate in regional exercise and training programs,
including a focus on CIKR protection collaboration across
jurisdictional and sector boundaries;
National Infrastructure Protection Plan
• Conduct the appropriate regional planning efforts and
undertake appropriate partnership agreements to enable
regional CIKR protection activities and enhanced response
to emergencies;
• Facilitate information sharing and data collection between
and among regional initiative members and external
partners;
• Share information on progress and CIKR protection
requirements with DHS, the SSAs, State and local governments, and other CIKR partners, as appropriate; and
• Participate in the NIPP sector partnership model, as appropriate.
2.2.4.3 Local Governments
Local governments represent the front lines for homeland
security and, more specifically, CIKR protection and implementation of the NIPP partnership model. They provide critical public services and functions in conjunction with private
sector owners and operators. In some sectors, local governmental entities own and operate CIKR such as water, stormwater, and electric utilities. Most disruptions or malevolent
acts that affect CIKR begin and end as local situations. Local
authorities typically shoulder the weight of initial prevention,
response, and recovery operations until coordinated support
from other sources becomes available, regardless of who
owns or operates the affected asset, system, or network. As a
result, local governments are critical partners under the NIPP
framework. They drive emergency preparedness, as well as
local participation in NIPP and SSP implementation across
a variety of jurisdictional partners, including government
agencies, owners and operators, and private citizens in the
communities that they serve.
CIKR protection focus at the local level should include, but is
not limited to:
• Acting as a focal point for and promoting the coordination
of protective and emergency response activities, preparedness programs, and resource support among local agencies,
businesses, and citizens;
• Developing a consistent approach at the local level to CIKR
identification, risk determination, mitigation planning, and
prioritized security investment, and exercising preparedness among all relevant partners within the jurisdiction;
• Identifying, implementing, and monitoring a risk management plan, and taking corrective actions, as appropriate;
• Participating in significant national, State, local, and regional education and awareness programs to encourage
appropriate management and security of cyber systems;
Authorities, Roles, and Responsibilities
• Facilitating the exchange of security information, including
threat assessments, attack indications and warnings, and
advisories, among partners within the jurisdiction;
• Participating in the NIPP sector partnership model, including GCCs, SCCs, SLTTGCC, and other CIKR structures
relevant to the given jurisdiction;
• Ensuring that funding priorities are addressed and that
resources are allocated efficiently and effectively to achieve
the CIKR protection mission in accordance with relevant
plans and strategies;
• Establishing continuity plans and programs that facilitate
the performance of critical functions during an emergency
or until normal operations can be resumed;
• Sharing with partners, as appropriate, CIKR information
deemed to be critical from the local perspective to enable
prioritized protection and restoration of critical public services, facilities, utilities, and processes within the jurisdiction;
• Addressing unique geographical issues, including transborder concerns, dependencies, and interdependencies among
agencies and enterprises within the jurisdiction;
• Identifying and implementing plans and processes for stepups in protective measures that align to all-hazards warnings; specific threats, as appropriate; and each level of the
HSAS;
• Documenting lessons learned from pre-disaster mitigation
efforts, exercises, and actual incidents, and applying that
learning, where applicable, to the CIKR protection context;
and
• Conducting CIKR protection public awareness activities.
2.2.4.4 Tribal Governments
Tribal government roles and responsibilities regarding CIKR
protection generally mirror those of State and local governments as detailed above. Tribal governments are accountable
for the public health, welfare, and safety of tribal members,
as well as the protection of CIKR and the continuity of essential services under their jurisdiction. Under the NIPP partnership model, tribal governments shall ensure coordination
with Federal, State, local, and international counterparts to
achieve synergy in the implementation of the NIPP and SSP
frameworks within their jurisdictions. This is particularly
important in the context of information sharing, risk analysis
and management, awareness, preparedness planning, and
protective program investments and initiatives.
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2.2.4.5 Boards, Commissions, Authorities, Councils,
and Other Entities
An array of boards, commissions, authorities, councils, and
other entities at the State, local, tribal, and regional levels
perform regulatory, advisory, policy, or business oversight
functions related to various aspects of CIKR operations and
protection within and across sectors and jurisdictions. Some
of these entities are established through State- or local-level
executive or legislative mandates with elected, appointed, or
voluntary membership. These groups include, but are not
limited to, transportation authorities, public utility commissions, water and sewer boards, park commissions, housing
authorities, public health agencies, and many others. These
entities may serve as the equivalents of SSAs within a State
and contribute expertise, assist with regulatory authorities, or
help facilitate investment decisions related to CIKR protection
efforts within a given jurisdiction or geographical region.
2.2.5 CIKR Owners and Operators
Owners and operators generally develop and implement the
protective programs and resiliency strategies for the CIKR
under their control. CIKR are owned by both the public and
private sector; however, the majority of CIKR is owned by the
private sector. Owners and operators take action to support
risk management planning and investments in security as a
necessary component of prudent business planning and operations. In today’s risk environment, these activities generally
include reassessing and adjusting continuity-of-business and
emergency management plans, building increased resiliency
and redundancy into business processes and systems, protecting facilities against physical and cyber attacks, reducing the
vulnerability to natural disasters, guarding against insider
threats, and increasing coordination with external organizations to avoid or minimize the impact on surrounding communities or other industry partners.
For many private sector enterprises, the level of investment
in security reflects risk-versus-consequence tradeoffs that
are based on two factors: (1) what is known about the risk
environment, and (2) what is economically justifiable and
sustainable in a competitive marketplace or within resource
constraints. In the context of the first factor, the Federal
Government is uniquely positioned to help inform critical security investment decisions and operational planning.
For example, owners and operators generally look to the
government as a source of security-related best practices
and for attack or natural hazard indications, warnings, and
threat assessments. In relation to the second factor, owners
and operators also generally rely on governmental entities
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to address risks outside of their property or in situations in
which the current threat exceeds an enterprise’s capability to
protect itself or requires an unreasonable level of additional
investment to mitigate risk. In this situation, public and
private sector partners at all levels must collaborate to address
the protection of national-level CIKR, provide timely warnings, and promote an environment in which CIKR owners
and operators can better carry out their specific protection
responsibilities. Additionally, CIKR owners and operators
may be required to invest in security as a result of Federal,
State, and/or local regulations.
The CIKR protection responsibilities of specific owners or
operators vary widely within and across sectors. Some sectors
have regulatory or statutory frameworks that govern private
sector security operations within the sector; however, most
are guided by voluntary security regimes or adherence to
industry-promoted best practices. Within this diverse protective landscape, private sector entities can better secure the
CIKR under their control by:
• Performing comprehensive risk assessments tailored to
their specific sector, enterprise, or facility risk landscape;
• Implementing protective actions and programs to reduce
identified vulnerabilities appropriate to the level of risk
presented;
• Participating in the NIPP sector partnership model (including SCCs and information-sharing mechanisms);
• Developing an awareness of critical dependencies and interdependencies at the sector, enterprise, and facility levels;
• Assisting and supporting Federal, State, local, and tribal
government CIKR data collection and protection efforts;
• Developing and coordinating CIKR protective and emergency response actions, plans, and programs with appropriate Federal, State, and local government authorities;
• Establishing continuity plans and programs that facilitate
the performance of critical functions during an emergency
or until normal operations can be resumed;
• Establishing cybersecurity programs and associated awareness training within the organization;
• Adhering to recognized industry best business practices and
standards, including those with a cybersecurity nexus (see
appendix 5B);
• Participating in Federal, State, local, and tribal government emergency management programs and coordinating
structures;
National Infrastructure Protection Plan
• Establishing resilient, robust, and/or redundant operational
systems or capabilities associated with critical functions;
• Promoting CIKR protection education, training, and awareness programs;
• Adopting and implementing effective workforce security
assurance programs to mitigate potential insider threats;
• Providing technical expertise to the SSAs and DHS;
• Participating in regular CIKR protection-focused training
and exercise programs with other public and private sector
partners;
• Identifying and communicating requirements to DHS
and/or the SSAs and State and local governments for CIKR
protection-related R&D;
• Sharing security-related best practices and entering into
operational mutual-aid agreements with other industry
partners; and
• Working to identify and reduce barriers to public-private
partnerships.
2.2.6 Advisory Councils
Advisory councils provide advice, recommendations, and
expertise to the government (e.g., DHS, SSAs, and State or
local agencies) regarding CIKR protection policy and activities. These entities also help enhance public-private partnerships and information sharing. They often provide an
additional mechanism to engage with a pre-existing group of
private sector leaders to obtain feedback on CIKR protection
policy and programs, and to make suggestions to increase the
efficiency and effectiveness of specific government programs.
Examples of CIKR protection-related advisory councils and
their associated responsibilities include:
• Critical Infrastructure Partnership Advisory Council
(CIPAC): CIPAC is a partnership between government and
private sector CIKR owners and operators that facilitates effective coordination of Federal CIKR protection programs.
CIPAC engages in a range of CIKR protection activities, such
as planning, risk assessments, coordination, NIPP implementation, and operational activities, including incident
response and recovery. DHS published a Federal Register
Notice on March 24, 2006, announcing the establishment
of CIPAC as a Federal Advisory Committee Act (FACA)5
-exempt body pursuant to section 871 of the Homeland
Security Act (see chapter 4).
• Homeland Security Advisory Council (HSAC): HSAC
provides advice and recommendations to the Secretary of
Homeland Security on relevant issues. The Council members, appointed by the DHS Secretary, include experts from
State and local governments, public safety, security and firstresponder communities, academia, and the private sector.
––Private Sector Senior Advisory Committee (PVTSAC): The
Secretary of Homeland Security established PVTSAC as a
subcommittee of HSAC in order to provide HSAC with
expert advice from leaders in the private sector.
• National Infrastructure Advisory Council (NIAC): NIAC
provides the President, through the Secretary of Homeland
Security, with advice on the security of physical and cyber
systems across all CIKR sectors. The council comprises up
to 30 members appointed by the President. Members are
selected from the private sector, academia, and State and local
governments. The council was established (and amended)
under Executive Orders 13231, 13286, and 13385.
• National Security Telecommunications Advisory Committee (NSTAC): NSTAC provides industry-based advice
and expertise to the President on issues and problems
related to implementing National Security and Emergency
Preparedness (NS/EP) communications policy. NSTAC,
created under Executive Order 12382, comprises up to 30
industry chief executives representing the major communications and network service providers and information
technology, finance, and aerospace companies.
2.2.7 Academia and Research Centers
The academic and research center communities play an
important role in enabling national-level CIKR protection and
implementation of the NIPP, including:
• Establishing Centers of Excellence (i.e., university-based
partnerships or federally funded R&D centers) to provide
independent analysis of CIKR protection issues;
• Supporting the research, development, testing, evaluation,
and deployment of CIKR protection technologies;
• Analyzing, developing, and sharing best practices related to
CIKR prioritization and protection efforts;
• Researching and providing innovative thinking and perspective on threats and the behavioral aspects of terrorism;
5 FACA authorized the establishment of a system governing the creation and operation of advisory committees in the executive branch of the Federal Government and
for other purposes. The act, when it applies, generally requires advisory committees to meet in open session and make publicly available associated written materials.
It also requires a 15-day notice before any meeting may be closed to public attendance, a requirement that could prevent a meeting on short notice to discuss sensitive
information in an appropriate setting.
Authorities, Roles, and Responsibilities
25
• Preparing or disseminating guidelines, courses, and descriptions of best practices for physical security and cybersecurity;
• Developing and providing suitable all-hazards risk analysis
and risk management courses for CIKR protection professionals;
• Establishing undergraduate and graduate curricula and
degree programs;
• Conducting research to identify new technologies and analytical methods that can be applied by partners to support
NIPP efforts; and
• Participating in the review and validation of NIPP-supporting risk analysis and management approaches.
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National Infrastructure Protection Plan
3. The Strategy: Managing Risk
The cornerstone of the NIPP is its risk management framework. Risk is the potential for an unwanted
outcome resulting from an incident, event, or occurrence, as determined by its likelihood and the associated consequences. Simply stated, risk is influenced by the nature and magnitude of a threat, the vulnerabilities to that threat, and the consequences that could result. Risk is an important means of prioritizing
mitigation efforts for partners ranging from facility owners and operators to Federal agencies. The NIPP risk
management framework (see figure 3-1) integrates and coordinates strategies, capabilities, and governance
to enable risk-informed decisionmaking related to the Nation’s CIKR. This framework is applicable to threats
such as natural disasters, manmade safety hazards, and terrorism, although different information and methodologies may be used to understand each.
This chapter addresses the use of the NIPP risk management
framework as part of the overall effort to ensure the protection and resiliency of our Nation’s CIKR. DHS, the SSAs, and
their public and private sector partners share responsibility
for implementation of the NIPP risk management framework. The SSAs are responsible for leading sector-specific risk
management programs and for ensuring that the tailored,
sector-specific application of the risk management framework is addressed in their respective SSPs. DHS supports
these efforts by providing guidance and analytical support
to the SSAs and other partners. DHS, in collaboration with
other CIKR partners, is responsible for using the best avail-
able information to conduct cross-sector risk analysis and
risk management activities. This includes the assessment of:
dependencies, interdependencies, and cascading effects; identification of common vulnerabilities; development and sharing of common threat scenarios; assessment and comparison
of risk across sectors; identification and prioritization of risk
management opportunities across sectors; development and
sharing of cross-sector measures to reduce or manage risk;
and identification of specific cross-sector R&D needs.
The NIPP risk management framework is tailored toward
and applied on an asset, system, network, or functional basis,
Figure 3-1: NIPP Risk Management Framework
The Strategy: Managing Risk
27
depending on the fundamental characteristics of the individual CIKR sectors. For those sectors primarily dependent
on fixed assets and physical facilities, a bottom-up, asset-byasset approach may be most appropriate. For sectors such as
Communications, Information Technology, and Agriculture
and Food, with accessible and distributed systems, a topdown, business or mission continuity approach, or risk
assessments that focus on network and system interdependencies may be more effective. Each sector must pursue the
approach that produces the most effective use of resources
for the sector and contributes to cross-sector comparative risk
analyses conducted by DHS.
The NIPP risk management framework includes the following activities:
• Set goals and objectives: Define specific outcomes, conditions, end points, or performance targets that collectively
constitute an effective risk management posture.
• Identify assets, systems, and networks: Develop an inventory of the assets, systems, and networks, including those
located outside the United States, that make up the Nation’s
CIKR or contribute to the critical functionality therein, and
collect information pertinent to risk management that takes
into account the fundamental characteristics of each sector.
• Assess risks: Evaluate the risk, taking into consideration
the potential direct and indirect consequences of a terrorist
attack or other hazards (including, as capabilities mature,
seasonal changes in the consequences and dependencies
and interdependencies associated with each identified asset, system, or network), known vulnerabilities to various
potential attack methods or other significant hazards, and
general or specific threat information.
• Prioritize: Aggregate and compare risk assessment results to:
develop an appropriate view of asset, system, and/or network
risks and associated mission continuity, where applicable;
establish priorities based on risk; and determine protection,
resilience, or business continuity initiatives that provide the
greatest return on investment for the mitigation of risk.
• Implement protective programs and resiliency strategies:
Select appropriate actions or programs to reduce or manage the risk identified; identify and provide the resources
needed to address priorities.
• Measure effectiveness: Use metrics and other evaluation
procedures at the appropriate national, State, local, regional,
and sector levels to measure progress and assess the effectiveness of the CIKR protection programs.
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This process features a continuous feedback loop, which
allows the Federal Government and its CIKR partners to track
progress and implement actions to improve national CIKR
protection and resiliency over time. The physical, cyber, and
human elements of CIKR should be considered in tandem in
each aspect of the risk management framework. The sector
partnership model discussed in chapter 4 provides the structure for coordination and management of risk management
activities that are flexibly tailored to different sectors and
levels of government.
3.1 Set Goals and Objectives
Achieving robust, protected, and resilient infrastructure
requires national, State, local, and sector-specific CIKR
protection visions, goals, and objectives that describe the
desired risk management posture. These goals and objectives
should consider the physical, cyber, and human elements
of CIKR protection and resiliency. Goals and objectives may
vary across and within sectors and levels of government,
depending on the risk landscape, operating environment,
and composition of a specific industry, resource, or other
aspect of CIKR.
Nationally, the overall goal of CIKR-related risk management
is an enhanced state of protection and resilience achieved
through the implementation of focused risk-reduction strategies within and across sectors and levels of government. The
NIPP risk management framework supports this goal by:
• Enabling the development of the national, State, regional,
and sector risk profiles that serve as the foundation for the
National CIKR Protection Annual Report described in chapter 7. These risk profiles outline the highest risks facing different sectors and geographical regions, and identify crosssector or regional issues of concern that are appropriate for
the Federal CIKR protection focus, as well as opportunities
for sector-, State-, and regionally based initiatives.
• Enabling DHS, SSAs, and other partners to determine the
best courses of action to reduce potential consequences,
threats, or vulnerabilities. Some available options include
encouraging voluntary implementation of focused risk
management strategies (e.g., through public-private partnerships), pursuing economic incentive-related policies and
programs, and undertaking regulatory action, if appropriate; and
• Allowing the identification of risk management and resource allocation options for CIKR owners and operators, as
well as different government partners.
National Infrastructure Protection Plan
Figure 3-2: NIPP Risk Management Framework: Set Goals and Objectives
From a sector or jurisdictional perspective, CIKR protection
goals or their related supporting objectives:
• Consider distinct assets, systems, networks, functions,
operational processes, business environments, and risk
management approaches;
• Define the risk management posture that CIKR partners
seek to attain; and
• Express this posture in terms of the outcomes and objectives sought.
Taken collectively, these goals and objectives guide all levels
of government and the private sector in tailoring risk management programs and activities to address CIKR protection
and resilience needs.
3.2 Identify Assets, Systems, and Networks
To meet its responsibilities under the Homeland Security Act
and HSPD-7, DHS continuously engages partner agencies and
other CIKR partners to build, manage, refine, and improve a
comprehensive inventory of the assets, systems, and networks
that make up the Nation’s CIKR. This inventory provides a
common baseline of knowledge that can support CIKR partners at various levels of government and the private sector in
understanding infrastructure dependencies and interdependencies, as well as enable national, local, regional, and sectorbased risk assessment, prioritization, and management.
Given the Nation’s vast and varied infrastructure, developing
an inventory of critical assets, systems, and networks will
vary by sector and types of CIKR.
The Strategy: Managing Risk
3.2.1 National Infrastructure Inventory
DHS maintains a national inventory of the assets, systems,
and networks that make up the Nation’s CIKR. The Nation’s
infrastructure includes assets, systems, and networks that are
nationally significant and those that may not be significant
on a national level but are, nonetheless, important to State,
local, or regional CIKR protection, incident management,
and response and recovery efforts. The principal national
inventory of CIKR systems and assets is the IDW. The IDW
comprises a federated data architecture that provides a single
virtual view of one or more infrastructure data sources. DHS
uses this data to provide all relevant public and private sector
CIKR partners with access to the most current and complete
view of the Nation’s infrastructure information allowed
under applicable Federal, State, or local regulation. Section
3.2.2 discusses protecting and accessing this data.
The goal of the IDW is to provide access to relevant information for natural disasters, industrial accidents, and other
incidents, as well as maintain basic information about the
relationships, dependencies, and interdependencies among
various assets, systems, and networks, including foreign
CIKR on which the United States may rely. The inventory
will also eventually include a cyber data framework to characterize each sector’s unique and significant cyber assets,
systems, or networks.
This information is needed not only to help manage CIKR
protection and resiliency approaches, but also to inform and
support the response to a wide array of incidents and emergencies. Risk may change based on many factors including
damage resulting from a natural disaster; seasonal or cyclic
dependencies; and changes in technology, the economy, or
the terrorist threat. The inventory supports domestic incident
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Figure 3-3: NIPP Risk Management Framework: Identify Assets, Systems, and Networks
management by helping to: prioritize and focus preparedness
planning; inform decisionmaking; establish strategies for
response; and identify priorities for restoration, remediation,
and reconstruction.
• Results of studies: Various government or commercial databases developed as a result of studies undertaken by trade
associations, advocacy groups, and regulatory agencies may
contain relevant information.
Currently, the inventory and associated attributes are maintained through the Infrastructure Information Collection
System (IICS), a federated IDW, accessible in a geospatial
context using the capabilities provided by the Integrated
Common Analytical Viewer (iCAV) suite of tools, including
the iCAV and DHS Earth viewers. The SSAs and DHS work
together and in concert with State, local, tribal, and territorial governments and private sector partners to ensure that
the inventory data structure is accurate, current, and secure.
DHS provides guidelines concerning information needed to
develop and maintain the inventory. Within this inventory,
the set of nationally and regionally significant infrastructure
is maintained and constantly updated and refined.
• Annual data calls: DHS, in cooperation with the SSAs and
other CIKR partners, conducts a voluntary annual data
call to State, territorial, and Federal partners. This data call
process allows State, territorial, and Federal partners to
propose CIKR data inputs meeting specified criteria.
Information in the IDW comes from a variety of sources and
takes advantage of work that has already been done, such as:
• Sector inventories: SSAs and GCCs maintain close working relationships with owners and operators, SCCs, and
other sources that maintain the inventories necessary for
the sector’s business or mission. CIKR partners provide
relevant information to DHS and update it on a periodic
basis to ensure that sector CIKR and associated critical
functionality are adequately represented and that sector
and cross-sector dependencies and interdependencies can
be identified and analyzed.
• Voluntary submittals from CIKR partners: Owners and
operators; State, local, tribal, and territorial governments;
and Federal departments and agencies voluntarily submit
information and previously completed inventories and
analyses for DHS to consider.
30
• Ongoing reviews of particular locations where risk is
believed to be higher: DHS- and SSA-initiated site assessments to: provide information on vulnerability; help
identify assets, systems, and networks and their dependencies, interdependencies, and critical functionality; and
provide information that will help quantify their value in
risk analyses.
DHS, in coordination with the SSAs, State and local governments, private sector owners and operators, and other
partners, works to build from and update existing inventories
at the State and local levels to avoid duplication of past or
ongoing complementary efforts.
3.2.2 Protecting and Accessing Inventory Information
The Federal Government recognizes the sensitive, business, or proprietary nature of much of the information
accessed through the IDW. DHS is responsible for protecting this information from unauthorized disclosure or use.
Information in the IDW is protected from unauthorized
disclosure or misuse to the maximum extent allowed under
applicable Federal, State, or local regulations, including PCII
and security classification rules (see section 4.3). Additionally,
DHS ensures that all data and licensing restrictions are
strictly enforced. DHS is implementing important resilient
National Infrastructure Protection Plan
and redundant security measures that apply to the IDW and
provide system integrity and security, software security, and
data protection.
3.2.3 SSA Role in Inventory Development and
Maintenance
The SSAs have a leading role in several phases of CIKR inventory development and maintenance, including nominating
assets and systems and adjudication of those high-risk assets
and systems proposed by States and territories in response to
the annual data call.
The specific methods by which the SSAs collect sector-specific asset, system, and network data vary by sector and are
described in the individual SSPs. The SSPs include descriptions of mechanisms for making data collection efforts more
manageable and less burdensome, such as:
• Prioritizing the approach for data outreach to different
partners;
• Identifying assets, systems, networks, or functions of potential national-, regional-, or sector-level importance; and
• Identifying, reviewing, and leveraging existing sector infrastructure data sources.
The SSAs enable sector-specific asset, system, and network
awareness, data collection, and information sharing primarily by understanding existing sector-based data sources and
by facilitating information-sharing agreements with data
owners. For example, DHS, in its capacity as the SSA for the
Dams Sector (which includes locks and levees), works closely
with the U.S. Army Corps of Engineers (USACE) in the
Dams Sector to facilitate data discovery within the National
Inventory of Dams (NID). Although owned and maintained
by USACE, shared access to the NID provides CIKR partners
in Federal, State, and local governments and the private
sector with a comprehensive understanding of the national
dams landscape.
More details on SSA roles and responsibilities in facilitating
sector awareness and understanding related to the IDW are
included in appendix 3C.
3.2.4 State and Local Government Role in Inventory
Development and Maintenance
State and local government agencies play an important role
in understanding the national CIKR landscape by enabling
the identification of assets, systems, and networks at the State
and local levels. State and local first-responders, emergency
The Strategy: Managing Risk
managers, public health officials, and others involved in
homeland security missions frequently interact with infrastructure owners and operators in their jurisdictions to plan
for and respond to all manner of natural and manmade hazards. These relationships form the core of the public-private
partnership model and translate into first-hand knowledge
of the infrastructure landscape at the State and local levels, as
well as an understanding of those CIKR that are considered
critical from a State and local perspective.
DHS provides a number of tools and resources to help
State and local officials leverage their knowledge to create infrastructure inventories that contribute to the IDW.
This includes the Constellation/Automated Critical Asset
Management System (C/ACAMS) that helps State and local
officials leverage their knowledge to create infrastructure
inventories, implement practical CIKR protection programs,
and facilitate information sharing within and across State
and local boundaries, as well as with DHS and other Federal
partners. By sharing first-hand knowledge and understanding through tools such as C/ACAMS, State and local partners
contribute directly to the national CIKR protection mission.
Additional information on State roles and responsibilities in
this area is contained in appendix 3C.
Constellation/Automated Critical Asset Management System
C/ACAMS is a Web-enabled information services portal that
helps State and local governments build CIKR protection
programs in their local jurisdictions. Specifically, C/ACAMS provides a set of tools and resources that help law enforcement,
public safety, and emergency response personnel to:
• Collect and use CIKR asset data;
• Assess CIKR asset vulnerabilities;
• Develop all-hazards incident response and recovery plans;
and
• Build public-private partnerships.
The Constellation portion of C/ACAMS is an information gathering and analysis tool that allows users to search a range of free
and subscription reporting sources to find relevant information
tailored to their jurisdiction’s needs. ACAMS is a secure, online
database and database management platform that allows for:
the collection and management of CIKR asset data; the cataloguing, screening, and sorting of this data; the production of
tailored infrastructure reports; and the development of a variety
of pre- and post-incident response plans that are useful for
strategic and operational planners and tactical commanders.
Email [email protected] for additional information.
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3.2.5 Identifying Cyber Infrastructure
The NIPP addresses the protection of the cyber elements
of CIKR in an integrated manner rather than as a separate
consideration. As a component of the sector-specific risk
assessment process, cyber infrastructure components should
be identified individually or included as a cyber element of
a larger asset, system, or network’s description if they are
associated with one. The identification process should include
information on international cyber infrastructure with
cross-border implications, interdependencies, or cross-sector
ramifications. Cyber infrastructure that exist in most, if not
all, sectors include business systems, control systems, access
control systems, and warning and alert systems.
The Internet has been identified as a key resource, comprising the domestic and international assets within both the
Information Technology and Communications Sectors, and is
used by all sectors to varying degrees. While the availability
of the service is the responsibility of both the Information
Technology and Communications sectors, the need for access
to and reliance on the Internet is common to all sectors.
DHS supports the SSAs and other CIKR partners by developing tools and methodologies to assist in identifying cyber
assets, systems, and networks, including those that involve
multiple sectors. As needed, DHS works with sector representatives to help identify cyber infrastructure within the NIPP
risk management framework.
Additionally, DHS, in collaboration with other CIKR partners, provides cross-sector cyber methodologies that, when
applied, enable sectors to identify cyber assets, systems, and
networks that may have nationally significant consequences if
destroyed, incapacitated, or exploited. These methodologies
also characterize the reliance of a sector’s business and operational functionality on cyber infrastructure components.
Also, if an appropriate cyber identification methodology is
already being used within the sector, DHS will work with
the sector to ensure alignment of that methodology with the
NIPP risk management framework.
3.2.6 Identifying Positioning, Navigation, and Timing
Services
Space-based and terrestrial positioning, navigation, and timing (PNT) services are a component of multiple CIKR sectors.
These services underpin almost every aspect of transportation across all its various modes. Additionally, the Banking
and Finance, Communications, Energy, and Water Sectors
rely on GPS as their primary timing source. The systems
that support or enable critical functions in the CIKR sectors
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should be identified, either as part of or independent of the
infrastructure, as appropriate. Examples of CIKR functions
that depend on PNT services include: aviation (navigation, air
traffic control, surface guidance); maritime (harbor, inland
waterway vessel movement, and maritime surveillance, such
as Automatic Identification Systems (AIS)); surface transportation (rail, hazardous materials (HAZMAT) tracking); communications networks (global fiber and wireless networks);
and power grids. PNT services must be reliable, seamless,
resistant, and resilient to unintentional or intentional interference or jamming.
DHS has developed a PNT Interference Detection and
Mitigation (IDM) Plan as required by the U.S. Space-Based
PNT Policy of December 8, 2004. The policy established
responsibilities for multiple departments and agencies
within the Federal Government to better plan, manage,
and protect PNT services, and assigned to the DHS specific
responsibilities governing the protection of PNT services
within CIKR. The IDM Plan details the DHS initial response
to the policy implementation action and lays the foundation for further planning and actions necessary to meet
the responsibilities. The IDM Plan was approved by the
President on August 20, 2007.
3.3 Assess Risks
Common definitions, scenarios, assumptions, metrics, and
processes are needed to ensure that risk assessments contribute to a shared understanding among CIKR partners. The
approach outlined by the NIPP risk management framework
results in sound, scenario-based consequence and vulnerability estimates, as well as an assessment of the likelihood that
the postulated threat would occur.
The NIPP framework calls for CIKR partners to assess risk
from any scenario as a function of consequence, vulnerability, and threat, as defined below. As stated in the introduction
to this chapter, it is important to think of risk as influenced
by the nature and magnitude of a threat, the vulnerabilities
to that threat, and the consequences that could result:
R = f (C,V,T)
• Consequence: The effect of an event, incident, or occurrence; reflects the level, duration, and nature of the loss
resulting from the incident. For the purposes of the NIPP,
consequences are divided into four main categories: public
health and safety (i.e., loss of life and illness); economic
(direct and indirect); psychological; and governance/mission impacts.
National Infrastructure Protection Plan
• Vulnerability: Physical feature or operational attribute that
renders an entity open to exploitation or susceptible to a
given hazard. In calculating the risk of an intentional hazard, a common measure of vulnerability is the likelihood
that an attack is successful, given that it is attempted.
• Threat: Natural or manmade occurrence, individual, entity,
or action that has or indicates the potential to harm life,
information, operations, the environment, and/or property. For the purpose of calculating risk, the threat of an
intentional hazard is generally estimated as the likelihood
of an attack being attempted by an adversary; for other
hazards, threat is generally estimated as the likelihood that
a hazard will manifest itself. In the case of terrorist attacks,
the threat likelihood is estimated based on the intent and
capability of the adversary.
CIKR-related risk assessments consider all three components
of risk and are conducted on assets, systems, or networks,
depending on the characteristics of the infrastructure being
examined. Once the three components of risk have been
assessed for one or more given assets, systems, or networks,
they must be integrated into a defensible model to produce a
risk estimate.
DHS conducts risk analyses for each of the 18 CIKR sectors,
working in close collaboration with the SSAs, State and local
authorities, and private sector owners and operators. This
includes execution of the Strategic Homeland Infrastructure
Risk Assessment (SHIRA) data call that provides input to risk
analysis programs and projects and considers data collected
more broadly through other DHS Office of Infrastructure
Protection (IP) program activities as well.
DHS has identified a number of risk assessment characteristics and data requirements to produce results that enable
cross-sector risk comparisons; these are termed core criteria. These features provide a guide for improving existing
A very important program that provides a key synthesizing
assessment for the Federal NIPP community is the Strategic
Homeland Infrastructure Risk Assessment (SHIRA) process.
The SHIRA involves an annual collaborative process conducted
in coordination with interested members of the CIKR protection community to assess and analyze the risks to the Nation’s
infrastructure from terrorism, as well as natural and manmade
hazards. The information derived through the SHIRA process
feeds a number of analytic products, including the National
Risk Profile, the foundation of the National CIKR Protection
Annual Report, as well as individual Sector Risk Profiles.
methodologies or modifying them so that the investment
and expertise they represent can be used to support nationallevel, comparative risk assessment, investments, incident
response planning, and resource prioritization. The NIPP core
criteria for risk assessments are summarized in appendix 3A
and are discussed below.
3.3.1 NIPP Core Criteria for Risk Assessments
The NIPP core criteria for risk assessments identify the characteristics and information needed to produce results that can
contribute to cross-sector risk comparisons. These criteria
include both the analytic principles that are broadly applicable
to all parts of a risk methodology and specific guidance regarding information needed to understand and address each of the
three components of the risk equation: consequence, vulnerability, and threat. Risk assessments are conducted by many
CIKR partners to meet their own decisionmaking needs, using
a broad range of methodologies. Whenever possible, DHS seeks
to use information from partners’ risk assessments to contribute to an understanding of risks across sectors and throughout
the Nation. Thus, adherence to the NIPP core criteria will
facilitate the broadest applicability of existing assessments.
Figure 3-4: NIPP Risk Management Framework: Assess Risks
The Strategy: Managing Risk
33
Recognizing that many risk assessment methodologies are
under development and others evolve in a dynamic environment, the core criteria for risk assessment methodologies also
serve as a guide to future adaptations.
The basic analytic principles ensure that risk assessments are:
• Documented: The methodology and the assessment must
clearly document what information is used and how it is
synthesized to generate a risk estimate. Any assumptions,
weighting factors, and subjective judgments need to be
transparent to the user of the methodology, its audience,
and others who are expected to use the results. The types
of decisions that the risk assessment is designed to support
and the timeframe of the assessment (e.g., current conditions versus future operations) should be given.
• Reproducible: The methodology must produce comparable, repeatable results, even though assessments of different
CIKR may be performed by different analysts or teams of
analysts. It must minimize the number and impact of subjective judgments, leaving policy and value judgments to be
applied by decisionmakers.
• Defensible: The risk methodology must logically integrate
its components, making appropriate use of the professional
disciplines relevant to the analysis, as well as be free from
significant errors or omissions. Uncertainty associated with
consequence estimates and confidence in the vulnerability
and threat estimates should be communicated.
• Complete: The methodology should assess consequence, vulnerability, and threat for every defined risk scenario and follow
the more specific guidance for each of these as given in the
subsections that follow. The guidance is also summarized
in appendix 3A.
3.3.2 Risk Scenario Identification
All risk is assessed with respect to a specific scenario or
set of scenarios. Simply put, the risk scenario answers the
question “The risk of what?” All consequence, vulnerability,
and threat estimates are specific to the risk scenario. Risks
can be assessed for assets, networks, systems, and defined
combinations of these. In the case of the risk from terrorism,
the subject of the risk assessment is commonly called the
target. When developing scenarios for a risk assessment of a
relatively fixed system, an important first step is to identify
those components or critical nodes where potential consequences would be highest and where protective measures
and resiliency strategies can be focused. Open and adaptive
systems are likely to require more sophisticated approaches to
screening, which are still under development.
The risk scenario also identifies the potential source of harm.
For terrorism, the risk scenario must include the means of
attack and delivery, such as a 4000-pound TNT-equivalent,
vehicle-borne improvised explosive device (VBIED). In the
case of natural hazards, the risk scenario must include the
type and magnitude of the hazard (e.g., a Category 5 hurricane or an earthquake of 6.5 on the Richter scale).
Finally, the scenario must identify the conditions that are
relevant to calculating consequence, vulnerability, and threat.
DHS uses reasonable worst-case conditions to assess terrorism risks because intelligent adversaries can choose circumstances where targets are vulnerable and consequences are
maximized. The concept of “worst case” (that combination
of conditions that would make the most harmful results the
ones that occur) is moderated by reason. Scenarios should
not be compounded in complexity to include numerous
unlikely conditions, unless the focus of the contingency and
other planning is on extremely rare events. Neither should
scenarios be based simply on average conditions. Each type
of target will have the different characteristics needed to
accurately describe reasonable worst-case conditions, such
as a stadium’s maximum capacity, the storage volume of a
particularly hazardous material at a chemical facility, or the
height and duration of a high water level at a dam.
3.3.3 Consequence Assessment
The consequences that are considered for the national-level
comparative risk assessment are based on the criteria set
forth in HSPD-7. These criteria can be divided into four main
categories:
• Public Health and Safety: Effect on human life and physical well-being (e.g., fatalities, injuries/illness).6
• Economic: Direct and indirect economic losses (e.g., cost
to rebuild asset, cost to respond to and recover from attack,
downstream costs resulting from disruption of product or
service, long-term costs due to environmental damage).
• Psychological: Effect on public morale and confidence in
national economic and political institutions. This encompasses those changes in perceptions emerging after a significant incident that affect the public’s sense of safety and
well-being and can manifest in aberrant behavior.
6 Injuries and illnesses are not commonly assessed at this point; however, the capability exists to develop this information and NIPP partners should move toward
including it when it is relevant and possible.
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National Infrastructure Protection Plan
• Governance/Mission Impact: Effect on government’s or
industry’s ability to maintain order, deliver minimum essential public services, ensure public health and safety, and
carry out national security-related missions.
Under the general rubric of governance/mission impact are
several discrete, federally mandated missions that may be disrupted. Although many of these missions are directly fulfilled
by government agencies, some are fulfilled or supported by
the private sector; however, government actions can serve to
either foster a healthy environment for them or inadvertently
disrupt them. These include the responsibility to: ensure
national security and perform other Federal missions; ensure
public health; maintain order; enable the provision of essential public services; and ensure an orderly economy.
There are indirect and cascading impacts of disruptions that
are difficult to understand and may be even more difficult to
appraise. Some may already be accounted for in estimates of
economic losses, while others may require further metrics
development to enable them to be considered in a more
comprehensive risk assessment. Ongoing work with NIPP
partners will pursue solutions to these challenges, aiming to
improve our ability to compare and prioritize mission-disruption losses in addition to the other types of consequences
of concern.
A full-consequence assessment takes into consideration all
four consequence criteria; however, estimating potential
indirect impacts requires the use of numerous assumptions
and other complex variables. An assessment of all categories
of consequence may be beyond the capabilities available (or
the precision needed) for a given risk assessment. At a minimum, assessments should focus on the two most fundamental impacts—the human consequences and the most relevant
direct economic consequences.
3.3.3.1 Consequence Assessment Methodologies That
Enable National Risk Analysis
DHS works with CIKR partners to develop or improve
consequence assessment methodologies that can be applied
to a variety of asset, system, or network types and to produce
comparable quantitative consequence estimates. Many tools
and methods can support the assessment of direct effects
and consequences and are often sector-specific. Consequence
analysis should ideally address both direct and indirect
effects. Many assets, systems, and networks depend on
connections to other CIKR to function. For example, nearly
all Sectors share relationships with elements of the Energy,
Information Technology, Communications, Banking and
Finance, and Transportation Systems sectors. In many cases,
The Strategy: Managing Risk
the failure of an asset or system in one sector will affect the
ability of interrelated assets or systems in the same or another
sector to perform the necessary functions. Furthermore,
cyber interdependencies present unique challenges for
all sectors because of the borderless nature of cyberspace.
Interdependencies are dual in nature (e.g., the Energy Sector
relies on computer-based control systems to manage the
electric power grid, while those same control systems require
electric power to operate). As a result, complete consequence
analysis addresses both CIKR interconnections for the purposes of NIPP risk assessment.
Various Federal and State entities, including national laboratories, are developing sophisticated models and simulations
to identify dependencies and interdependencies within
and across sectors. The Federal Government established
the National Infrastructure Simulation and Analysis Center
(NISAC) to support these efforts (see section 6.4.2). NISAC
is chartered to develop advanced modeling, simulation,
and analysis capabilities for the Nation’s CIKR. These tools
and analyses address dependencies and interdependencies,
both physical and cyber, in an all-hazards context. These
sophisticated models enhance the Nation’s understanding of
CIKR dependencies and interdependencies to better inform
decisionmakers, especially for cross-sector priorities.
The level of detail and specificity achieved by using the most
sophisticated models and simulations may not be practical
or necessary for all assets, systems, or networks. In these
circumstances, a simplified dependency and interdependency
analysis based on expert judgment may provide sufficient
insight to make informed risk management decisions in a
timely manner.
3.3.3.2 Consequence Uncertainty
There is an element of uncertainty in consequence estimates.
Even when a scenario with reasonable worst-case conditions is clearly stated and consistently applied, there is often
a range of outcomes that could occur. For some incidents,
the consequence range is small and a single estimate may
provide sufficient information to support decisions. If the
range of outcomes is large, the scenario may require more
specificity about conditions to obtain appropriate estimates
of the outcomes. However, if the scenario is broken down to
a reasonable level of granularity and there is still significant
uncertainty, the single estimate should be accompanied by the
uncertainty range to support more informed decisionmaking.
The best way to communicate uncertainty will depend on
the factors that make the outcome uncertain, as well as the
amount and type of information that is available.
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3.3.4.2 SSA and DHS Analysis Responsibilities
Core Criteria Guidance for Consequence Assessments
• Document the scenarios assessed, tools used, and any key
assumptions made.
• Estimate the number of fatalities, injuries, and illnesses,
where applicable and feasible, keeping each separate
estimate visible to the user.
• Estimate the economic loss in dollars, stating which costs
are included (e.g., property damage losses, lost revenue,
loss to the economy) and what duration was considered.
• If monetizing human health consequences, document the
value(s) used and the assumptions made.
• Consider and document any protective or consequence
mitigation measures that have their effect after the
incident has occurred, such as the rerouting of systems or
HAZMAT or fire-and-rescue response.
• Describe psychological impacts and mission disruption
where feasible.
3.3.4 Vulnerability Assessment
Vulnerabilities are physical features or operational attributes
that render an entity open to exploitation or susceptible to a
given hazard. Vulnerabilities may be associated with physical (e.g., a broken fence), cyber (e.g., lack of a firewall), or
human (e.g., untrained guards) factors.
A vulnerability assessment can be a stand-alone process or
part of a full risk assessment. The vulnerability assessment
involves the evaluation of specific threats to the asset, system,
or network under review to identify areas of weakness that
could result in consequences of concern.
3.3.4.1 Vulnerability Assessment Methodologies That
Enable National Risk Analysis
Many different vulnerability assessment approaches are
used in the different CIKR sectors and by various government authorities. The primary vulnerability assessment
methodologies used in each sector are described in the
respective SSPs. The SSPs also provide specific details
regarding how the assessments can be carried out (e.g.,
by whom and how often). The results of the vulnerability
assessments need to be comparable in order to contribute to
national-level, cross-sector risk analysis. As with risk assessments, vulnerability assessments should meet the same
core criteria (i.e., be documented, objective, defensible, and
complete) if the results are to be compared at a national,
cross-sector level. In addition, vulnerability-specific core
criteria guidance is provided at the end of this section.
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SSAs and their sector partners are responsible for collecting
and documenting the vulnerability assessment approaches
used within their sectors. Owners or operators typically
perform the vulnerability assessments, sometimes with
facilitation by government authorities. The SSAs are also
responsible for compiling, where possible, vulnerability
assessment results for use in sector and national risk analysis
efforts. In addition, the SSAs work with DHS, where possible,
to review the results of assessments for assets, systems, and
networks that are of greatest concern from the SSA’s perspective. The SSAs should strive to involve owners and operators
in this effort. Vulnerability assessment information may be
submitted by owner/operators for validation as PCII under
the PCII Program (see section 4.3, Protection of Sensitive
CIKR Information). The PCII Program Manager may designate some information as “categorically included” PCII (see
section 4.3.1, Protected Critical Infrastructure Information
Program). This designation provides the SSA with the option
to receive the categorically included Critical Infrastructure
Information (CII) directly from the submitter. This arrangement is based on pre-approval from the PCII Program Office
on a case-by-case basis.
DHS works to ensure that appropriate vulnerability assessments are performed for nationally critical CIKR. DHS works
with CIKR owners and operators, the SSAs, and appropriate
State and local authorities, to either perform the assessment
or to verify the adequacy and relevance of previously performed assessments to support risk management decisions.
California Water System Comprehensive Review
Federal, State, and local stakeholders collaborated successfully to complete the first systems-based Comprehensive
Review (CR). A systems-based CR is a cooperative governmentled analysis of CIKR facilities. The California Water System
CR required extensive coordination, planning, research, data
collection, and outreach to State and local partners to identify
critical assets and system interdependencies. DHS, in conjunction with Federal and California State partners, worked with
facility owners and operators to identify critical water system
assets. This system consists of 161 assets spanning 33 counties. The review determined that 40 of the 161 assets were
critical assets. DHS completed 32 onsite vulnerability assessments and six Emergency Services Capabilities Assessments.
DHS met with site owners and operators, California State and
local law enforcement, and emergency management entities to analyze and track the gaps, potential enhancements,
and protective measures that were identified and to evaluate
vulnerability mitigation and grant funding effectiveness.
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DHS and the SSAs collaborate to support vulnerability assessments that address the specific needs of the NIPP’s approach to
CIKR protection and risk management. Such assessments may:
Core Criteria Guidance for Vulnerability Assessments
• More fully investigate dependencies and interdependencies;
• Identify the vulnerabilities associated with physical, cyber, or
human factors (openness to both insider and outsider threats),
critical dependencies, and physical proximity to hazards.
• Serve as a basis for developing common vulnerability
reports that can help identify strategic needs for protective
programs or R&D across sectors or subsectors;
• Describe all protective measures in place and how they
reduce the vulnerability for each scenario.
• Fill gaps when sectors or owner/operators have not yet
completed assessments and decisionmaking requires such
studies immediately; and
• Test and validate new methodologies or streamlined approaches for assessing vulnerability.
In some sectors and subsectors, vulnerability assessments
have never been performed or may have been performed
for only a small number of high-profile or high-value assets,
systems, or networks. To assist in closing this gap, DHS
works with the SSAs, owners and operators, and other CIKR
partners to provide the following:
• Vulnerability assessment tools that may be used as part of
self-assessment processes;
• Informative reports for industrial sectors, classes of activities, and high-consequence or at-risk special event sites;
• Generally accepted risk assessment principles for major
classes of activities and high-consequence or at-risk special
event sites;
• Assistance in the development and sharing of industrybased standards and tools;
• Recommendations regarding the frequency of assessments,
particularly in light of emergent threats;
DHS National Cybersecurity Division (NCSD) has developed
the Cyber Security Vulnerability Assessment (CSVA), a flexible
and scalable approach that analyzes an entity’s cybersecurity
posture and describes gaps and targeted considerations that
can reduce overall cyber risks. It assesses the policies, plans,
and procedures in place to reduce cyber vulnerability in 10
categories (e.g., access control, configuration management,
physical security of cyber assets, etc.) and leverages various
recognized standards, guidance, and methodologies (e.g., the
International Organization for Standardization 27001, the
Information Systems Audit and Control Association (ISACA)
Control Objects for Information and Related Technology
(COBIT), and the National Institute of Standards and
Technology Special Publication 800 series).
The Strategy: Managing Risk
• In evaluating security vulnerabilities, develop estimates of
the likelihood of an adversary’s success for each attack
scenario.
• For natural hazards, estimate the likelihood of the incident
causing harm to the asset, system, or network, given that
the natural hazard event occurs at the location of interest
for the risk scenario.
• Site assistance visits and vulnerability assessments of specific CIKR as requested by owners and operators, when
resources allow; and
• Cyber vulnerability assessment best practices. (DHS works
to leverage established methodologies that have traditionally focused on physical vulnerabilities by enhancing them
to better address cyber elements.)
Some vulnerability assessments will include both vulnerability analysis and consequence analysis for specified scenarios.
3.3.5 Threat Assessment
The remaining factor to be considered in the NIPP risk
assessment process is the assessment of threat. Assessment
of the current terrorist threat to the United States is derived
from extensive study and understanding of terrorists and terrorist organizations, and frequently is dependent on analysis
of classified information. DHS provides its partners with
Federal Government-coordinated unclassified assessments of
potential terrorist threats and appropriate access to classified
assessments where necessary and authorized. These threat
assessments are derived from analyses of adversary intent and
capability, and describe what is known about terrorist interest
in particular CIKR sectors, as well as specific attack methods.
Since international terrorists, in particular, have continually
demonstrated flexibility and unpredictability, DHS and its
partners in the Intelligence Community also analyze known
terrorist goals, objectives, and developing capabilities to
provide CIKR owners and operators with a broad view of the
potential threat and postulated terrorist attack methods.
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TRIPwire Community Gateway
The TRIPwire Community Gateway (TWCG) is a new TRIPwire
Web portal designed specifically for the Nation’s CIKR owners,
operators, and private security personnel. TWCG provides
expert threat analyses, reports, and relevant planning documents to help key private sector partners anticipate, identify,
and prevent improvised explosive device (IED) incidents.
TWCG shares IED-related information tailored to each of the
18 sectors of CIKR. Sector partners benefit from increased
communication, improved awareness of emerging threats, and
access to resources and guidance on specific IED preventive
and protective measures for their facilities and requirements.
3.3.5.1 Key Aspects of the Terrorist Threat to CIKR
Analysis of terrorist goals and motivations reveals that
domestic and international CIKR are potentially prime targets
for terrorist attack. Given the deeply rooted nature of these
goals and motivations, CIKR likely will remain highly attractive targets for terrorists. Threat assessments must address the
various elements of CIKR—physical, cyber, and human—
depending on the attack type and target. Physical attacks,
including the exploitation of physical elements of CIKR,
represent the attack method most frequently used overtly by
terrorists. In addition, there is increasing indication of terrorists’ intent to conduct cyber attacks and exploit the knowledge, influence, and access of insiders.
3.3.6 Homeland Infrastructure Threat and Risk
Analysis Center
The DHS Homeland Infrastructure Threat and Risk Analysis
Center (HITRAC) conducts integrated threat and risk analyses for CIKR sectors. HITRAC is a joint intelligence center
that spans both the DHS Office of Intelligence and Analysis
(I&A)—a member of the Intelligence Community—and IP.
As called for in section 201 of the Homeland Security Act,
HITRAC brings together intelligence and infrastructure specialists to ensure a sufficient understanding of the risks to the
Nation’s CIKR from foreign and domestic threats. HITRAC
works in partnership with the U.S. Intelligence Community
and national law enforcement to integrate and analyze
intelligence and law enforcement information in threat and
risk analyses products. HITRAC also works in partnership
with the SSAs and owners and operators to ensure that their
expertise on infrastructure operations is integrated into
HITRAC analyses.
HITRAC develops analytical products by combining threat
assessments based on all-source information and intel38
ligence analysis with vulnerability and consequence assessments. This process provides an understanding of the
threats, CIKR vulnerabilities, and potential consequences of
attacks and other hazards. Analyses may also include potential options for managing risk. This combination of intelligence and practical CIKR knowledge allows DHS to provide
products that contain strategically relevant and actionable
information. It also allows DHS to identify intelligence
collection requirements in conjunction with CIKR partners
so that the Intelligence Community can provide the type
of information necessary to support the CIKR risk management and protection missions. HITRAC coordinates closely
with partners outside the Federal Government through the
SSAs, SCCs, GCCs, Information Sharing and Analysis Centers
(ISACs), State and Local Fusion Centers, and State Homeland
Security Offices to ensure that its products are relevant to
partner needs and are accessible.
3.3.6.1 Threat and Incident Information
DHS leverages, on a 24/7 basis, intelligence and operations
monitoring and reporting from multiple sources to provide
analyses based on the most current information available
on threats, incidents, and infrastructure status. The timely
analysis of information provided by DHS is of unique value
to CIKR partners and helps them determine if changes are
needed in steady-state and threat-based CIKR risk management measures.
Core Criteria Guidance for Threat Assessments
For adversary-specific threat assessments:
• Account for the adversary’s ability to recognize the target
and the deterrence value of existing security measures.
• Identify any attack methods that may be employed.
• Consider the level of capability that an adversary demonstrates for a particular attack method.
• Consider the degree of the adversary’s intent to attack the
target.
• Estimate threat as the likelihood that the adversary would
attempt a given attack method against the target.
• If threat likelihoods cannot be estimated, use conditional
risk values (consequence times vulnerability) and conduct
sensitivity analyses to determine how likely the scenario
would have to be to support the decision.
For natural disasters and accidental hazards:
• Use best-available analytic tools and historical data to
estimate the likelihood of these events affecting CIKR.
National Infrastructure Protection Plan
DHS uses a variety of tools and systems to support incident and
threat warnings. iCAV and DHS Earth help visualize these incident reports and threat warnings, allowing analysts to deliver
a geospatial context to numerous information systems. It
facilitates fusing information from multiple suspicious activity
sources and provides situational awareness tracking for disasters such as hurricanes and other real-time events. This fusion
provides DHS, States, local jurisdictions, and the private sector
with a rapid, common understanding of the relationships
between these events to support coordinated risk-mitigation,
preparedness, response, and recovery activities.
DHS also supports SLFC efforts by ensuring that relevant threat
information is passed along in a timely manner to SLFCs, that
analyses conducted by national intelligence centers such as
HITRAC are readily available to SLFC partners, and that initiatives designed to share best practices related to CIKR identification, risk analysis, and prioritization are supported.
Specialized products that directly support the NIPP and the
SSPs include incident reports and threat warnings, which are
made available to appropriate partners.
Incident Reports: DHS monitors information on incidents
to provide reports that CIKR owners and operators and other
decisionmakers can use when considering how evolving
incidents might affect their CIKR protection posture. This
reporting provides a responsive and credible source to verify or
expand on information that CIKR partners may receive initially
through the news media, the Internet, or other sources. DHS
works with multiple government and private sector operations and watch centers to combine situation reports from
law enforcement, intelligence, and private sector sources
with infrastructure status and operational expertise to rapidly
produce reports from a trusted source. These help inform the
decisions of owners and operators regarding changes in riskmitigation measures that are needed to respond to incidents in
progress, such as rail or subway bombings overseas that may
call for precautionary actions domestically.
Strategic Threat Assessments: HITRAC works with the
Intelligence Community and with DHS’s partners to analyze information on adversaries who pose a threat to CIKR.
HITRAC provides a high-level assessment of terrorist groups
and other adversaries to the SSAs in order to inform their
SSPs and prioritization efforts.
Threat Warnings: DHS monitors the flow of intelligence,
law enforcement, and private sector security information on
a 24/7 basis in light of the business, operational, and status
expertise provided by its infrastructure analysis and owner/
operator partners to produce relevant threat warnings for
CIKR protection. The fusion of intelligence and infrastructure
The Strategy: Managing Risk
analysis clarifies the implications of intelligence reporting
about targeted locations or sectors, potential attack methods
and timing, or the specific nature of an emerging threat.
3.3.6.2 Risk Analysis
HITRAC uses risk analysis and other approaches to aid
CIKR partners in identifying, assessing, and prioritizing risk
management approaches. HITRAC also develops specialized
products for strategic planning that directly support the NIPP
and SSPs. In addition to these specific products, HITRAC
produces strategic assessments and trend analyses that help
define the evolving risk to the Nation’s CIKR.
• National Infrastructure Risk Analysis Program: National,
State, regional, cross-sector, sector-specific, and site-specific
risk analyses and assessments aid decisionmakers with
planning and prioritizing risk-reduction measures within
and across the CIKR sectors. These analyses and assessments
leverage a number of analytic approaches, including the
SHIRA process, which are tailored to particular decisions.
• National CIKR Prioritization Program: HITRAC works
with CIKR partners to identify and prioritize the assets,
systems, and networks most critical to the Nation through
the Tier 1 and Tier 2 Program for critical assets, systems,
networks, nodes, and functions within the United States,
and the Critical Foreign Dependencies Initiative (CFDI)
for CIKR outside of the United States. The prioritization of
CIKR guides the Nation’s protective and incident management responses.
• Infrastructure Risk Analysis Partnership Program (IRAPP):
IRAPP assists partners interested in pursuing their own CIKR
risk analysis, whether they are in the Federal, State, local, or
private sector CIKR protection communities. IRAPP involves
customized support to interested partners and the sharing of
best practices across the CIKR protection community.
• Committee on Foreign Investment in the United States
(CFIUS) Support: CFIUS is an interagency committee of
the Federal Government that reviews the national security
implications of foreign investments of U.S. companies or
operations. HITRAC provides support to CFIUS by developing written threat and risk assessments of foreign direct
investment in the United States and evaluating the potential
risks posed by foreign acquisition of U.S. CIKR. HITRAC
also supports DHS efforts to manage those risks through
the interagency CFIUS process.
• Critical Infrastructure Red Team (CIRT): The CIRT program focuses its analysis on high-risk sectors/subsectors
and high-risk attack methods from the perspective of our
Nation’s adversaries by conducting open-source analysis,
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developing operational plans, and exercising these scenarios through tabletop exercises and developing lessons
learned from those activities. These efforts identify gaps in
current strategies and risk-reduction programs for the Nation’s CIKR and support the development of recommendations for closing or managing identified gaps.
• Risk Analysis Development Program: The Risk Analysis
Development Program works to improve the capabilities
available to CIKR risk analysts and risk managers, both in
DHS and among the rest of the NIPP stakeholders. The program conducts R&D to identify sound, common risk analysis approaches that support cross-sector comparisons and
the full range of risk management decisions. Such practices
use the risk assessment core criteria summarized in appendix 3A as a foundation, but also require the use of common
scenarios and assumptions. These capabilities are being
tested and are evolving to overcome lingering challenges as
risk analysis practices for homeland security mature.
• Critical Foreign Dependencies Initiative (CFDI): CFDI, as
part of the larger National CIKR Prioritization Program, is
the Nation’s first step toward the identification and prioritization of the Nation’s critical foreign dependencies.
The program provides a consolidating and coordinating
mechanism by which the Federal Government may more
effectively and efficiently engage our foreign CIKR partners.
3.4 Prioritize
Prioritizing risk management efforts regarding the most
significant CIKR helps focus planning, increase coordination, and support effective resource allocation and incident
management, response, and restoration decisions.
The NIPP risk management framework is applicable to risk
assessments on an asset, system, network, function, national,
State, regional, or sector basis. Comparing the risk faced
by different entities helps identify where risk mitigation is
needed and to subsequently determine and help justify the
most cost-effective risk management options. This approach
identifies which CIKR should be given priority for risk reduction and which alternative options represent the best investment based on their risk-reduction return on investment. The
prioritization process also develops information that can be
used during incident response to help inform decisionmakers
regarding issues associated with CIKR restoration.
3.4.1 The Prioritization Process
The prioritization process involves aggregating, combining,
and analyzing risk assessment results to determine which
assets, systems, networks, sectors, or combinations of these
face the highest risk so that risk management priorities can be
established. It also provides the basis for understanding potential risk-mitigation benefits that are used to inform planning
and resource decisions.
This process involves two related activities: The first determines which regions, sectors, or other aggregation of CIKR
assets, systems, or networks have the highest risk from
relevant incidents or events. Of those with similar risk levels,
the CIKR with the highest expected losses are accorded the
highest priority in risk management program development.
The second activity determines which actions are expected
to provide the greatest mitigation of risk for any given
investment. The risk management initiatives that result in
the greatest risk mitigation for the investment proposed are
accorded the highest priority in program design, resource
allocation, budgeting, and implementation. Other priorities
may be set based on regulatory or statutory requirements,
presidential directives, and congressional mandates. This
approach ensures that programs make the greatest contribution possible to overall CIKR risk mitigation given the
Figure 3-5: NIPP Risk Management Framework: Prioritize
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National Infrastructure Protection Plan
National CIKR Prioritization Program
The DHS Tier 1 and Tier 2 Program identifies nationally significant critical assets and systems in order to enhance decisionmaking related to CIKR protection. CIKR identified through
the program include those that, if destroyed or disrupted,
could cause some combination of significant casualties, major
economic losses, or widespread and long-term disruptions to
national well-being and governance capacity.
The overwhelming majority of the assets and systems identified through this effort are classified as Tier 2. Only a small
subset of assets meet the Tier 1 consequence threshold—those
whose loss or damage could result in major national or regional
impacts similar to the impacts of Hurricane Katrina or the
September 11, 2001, attacks. The process of identifying these
nationally significant assets and systems is conducted on an
annual basis and relies heavily on the insights and knowledge of
a wide array of public and private sector security partners.
CIKR categorized as Tier 1 or Tier 2 as a result of this annual
process provide a common basis on which DHS and its
security partners can implement important CIKR protection
programs and initiatives, such as various grant programs, buffer zone protection efforts, facility assessments and training,
and other activities. Specifically, the Tier 1/Tier 2 list is used
to support eligibility determinations for Urban Area Security
Initiative (UASI), State Homeland Security, and Buffer Zone
Protection grant programs. The Tier 1/Tier 2 list is classified.
To meet the growing need for additional prioritized lists of
infrastructure for planning and incident management purposes, the National CIKR Prioritization Program has also
expanded to: identify, assess, and prioritize foreign infrastructure critical to the Nation through CFDI; provide sectors and
States with the opportunity to build lists to meet their individual risk and incident management needs; and provide a forum
through which the infrastructure protection community can
and will continue to improve its ability to prioritize CIKR during
incidents and enable response and recovery operations.
available resources. In light of emerging threats, the need
to address current credible threat information may require
shifting resources.
Assessments become more complex and difficult at different
aggregations, such as when comparisons are necessary across
sectors, across different geographic areas, or against different
types of events. Using a common approach with consistent
assumptions and metrics increases the ability to make such
comparisons. Without this consistency, assessments are much
more challenging.
The Strategy: Managing Risk
3.4.2 Tailoring Prioritization Approaches to Sector and
Decisionmakers’ Needs
CIKR partners rely on different approaches to prioritize
risk management activities according to their authorities,
specific sector needs, risk landscapes, security approaches,
and business environment. For example, owners and operators, Federal agencies, and State and local authorities all
have different options available to them to help reduce risk.
Asset-focused priorities may be appropriate for CIKR whose
risk is predominantly associated with facilities, the local
environment, and physical attacks, especially those that can
be exploited and used as weapons. Function-focused priorities may more effectively ensure the continuity of operations
in the event of a terrorist attack or natural disaster in sectors
where CIKR resilience may be more important than CIKR
hardening. Programs to reduce CIKR risk give priority to
investments that protect physical assets or ensure resilience
in virtual systems, depending on which option best enables
cost-effective CIKR risk management.
To ensure a consistent approach to risk analysis for CIKR
protection, partners establish priorities using risk analyses
that use common scenarios and assumptions and follow
the parameters for risk assessment methodologies set out
in appendix 3A. For quick-response decisions, lacking
Critical Foreign Dependencies Initiative
CFDI involves three phases of activities, two on an annual
basis and one ongoing:
• Phase I—Identification (annual): DHS, working with CIKR
protection and intelligence community partners, developed
the first-ever National Critical Foreign Dependencies List in
FY2008, reflecting the critical foreign dependencies of the
CIKR sectors, as well as critical foreign dependencies of
interest to the Nation as a whole. The identification process
includes input from public and private sector CIKR partners.
• Phase II—Prioritization (annual): DHS, working with CIKR
partners, and in particular DOS, prioritized the National
Critical Foreign Dependencies List based on factors such
as the overall criticality of the CIKR to the United States
and foreign partner willingness and capability to engage in
collaborative risk management activities.
• Phase III—Engagement (ongoing): Phase III involves leveraging the prioritized National Critical Foreign Dependencies
List to guide current and future U.S. bilateral and multilateral incident and risk management activities with foreign
partners. DHS and DOS established mechanisms to ensure
coordinated engagement and collaboration by public sector
entities, in partnership with the private sector.
41
sound risk assessments for reference, some priorities will
be informed by top-down assessments using surrogate data
or data at high levels of CIKR aggregation (e.g., population
density as a surrogate for casualties). As both the NIPP partnership and the knowledge base of risk assessments grow,
decisions can be increasingly informed by a combination of
top-down and bottom-up analyses using detailed information on specific individual facilities, with a prioritization
based on the level of risk reduced by the investment.
3.4.3 The Uses of Prioritization
A primary use of prioritization is to inform resource allocation
decisions, such as: where risk management programs should
be instituted; guidance on investments in these programs; and
which measures offer the greatest return on investment. The
results of the prioritization process guide CIKR risk management requirements and should drive important resource
allocation decisions.
At the national level, DHS is responsible for overall national
risk-informed CIKR prioritization in close collaboration with
the SSAs, States, and other CIKR partners. SSA responsibilities
include managing government interaction with the sector
and helping to cultivate information sharing and collaboration to identify, prioritize, and manage risk. They must also
extend their sector focus to enable cross-sector comparisons
of risk and metrics that help owners and operators, as well as
Federal, State, local, and tribal governments, support evaluations of the risk-reduction return on various investments.
At the State level, DHS is working to develop a collaborative
relationship with State and local authorities through the
Infrastructure Risk Analysis Partnership Program. This effort
is geared toward working with State authorities to foster the
capability to develop, evaluate, and support the implemen-
The National CIKR Risk Profile
Leveraging information provided through the SHIRA process,
HITRAC produces a National CIKR Risk Profile that serves as
the foundation of the infrastructure protection community’s
common prioritization of risks to the Nation’s infrastructure and
is captured in the National CIKR Protection Annual Report. Each
year, the National Risk Profile identifies the highest relative
risks to CIKR from among a number of natural and manmade
hazards, as well as those sectors at a higher risk from the
greatest number of hazards. The report also identifies additional
risk management concerns, such as high-likelihood risks and
low-likelihood/high-consequence infrastructure protection
priorities. By providing a common understanding of the Nation’s
CIKR risks, the National Risk Profile provides a common basis
for prioritization and helps to focus community efforts on those
hazards and sectors of greatest overall concern.
tation of CIKR risk management decisions in a State/local
environment. The program is initially being piloted with
a limited group of CIKR partners and will subsequently be
rolled out more broadly as the roles, responsibilities, and
approaches are tested and refined.
3.5 Implement Protective Programs and
Resiliency Strategies
The risk assessment and prioritization process at the sector and
jurisdictional levels will help identify requirements for nearterm and future protective programs and resiliency strategies.
Some of the identified shortfalls or opportunities for improvement will be filled by owner/operators, either voluntarily or
based on various incentives. Other shortfalls will be addressed
Figure 3-6: NIPP Risk Management Framework: Implement Programs
42
National Infrastructure Protection Plan
through the protective programs that each sector develops
under the SSP, in State CIKR protection plans, or through crosssector or national initiatives undertaken by DHS.
The Nation’s CIKR is widely distributed in both a physical
and logical sense. Effective CIKR protection requires both distributed implementation of protective programs by partners
and focused national leadership to ensure implementation of
a comprehensive, coordinated, and cost-effective approach
that helps reduce or manage the risks to the Nation’s most
critical assets, systems, and networks. At the implementation
level, protective programs and resiliency strategies consist
of numerous, diverse actions that are undertaken by various
CIKR partners. From the leadership perspective, programs are
structured to address coordination and cost-effectiveness.
The following sections describe the nature and characteristics
of best practice protective programs and resiliency strategies,
as well as some existing programs that could be applied to
specific assets, systems, and networks.
3.5.1 Risk Management Actions
Risk management actions involve measures designed to:
prevent, deter, and mitigate the threat; reduce vulnerability
to an attack or other disaster; minimize consequences; and
enable timely, efficient response and restoration in a postevent situation, whether a terrorist attack, natural disaster,
or other incident. The NIPP risk management framework
focuses attention on those activities that bring the greatest
return on investment, not simply the vulnerability reduction
to be achieved. Protective programs and resiliency strategies
vary between sectors and across a wide spectrum of activities
designed to deter, devalue, detect, or defend.
Risk management actions also may include the means for
mitigating the consequences of an attack or incident. These
actions are focused on mitigation, response, and/or recovery. Generally, it is considered more cost-effective to build
security and resiliency into assets, systems, and networks
than to retrofit them after initial development and deployment. Accordingly, CIKR partners should consider how risk
management, robustness, resiliency, and appropriate physical
security and cybersecurity enhancements could be incorporated into the design and construction of new CIKR.
In situations where robustness and resiliency are keys to CIKR
protection, providing protection at the system level rather
than at the individual asset level may be more effective and
efficient (e.g., if there are many similar facilities, it may be
easier to allow other facilities to provide the infrastructure
service rather than to protect each facility).
The Strategy: Managing Risk
3.5.2 Characteristics of Effective Protective Programs
and Resiliency Strategies
Characteristics of effective CIKR protective programs and
resiliency strategies include, but are not limited to, the following:
• Comprehensive: Effective programs must address the
physical, cyber, and human elements of CIKR, as appropriate, and consider long-term, short-term, and sustainable
activities. The SSPs describe many programs and initiatives
to protect CIKR within the sector (e.g., operational changes,
physical protection, equipment hardening, cyber protection, system resiliency, backup communications, training,
response plans, and security system upgrades).
• Coordinated: Because of the highly distributed and complex nature of the various CIKR sectors, the responsibility
for protecting CIKR must be coordinated:
––CIKR owners and operators (public or private sector)
are responsible for protecting property, information,
and people through measures that manage risk to help
ensure more resilient operations and more effective loss
prevention. These measures include increased awareness
of terrorist threats and implementation of operational
responses to reduce vulnerability (e.g., changing daily
routines, keeping computer software and virus-checking
applications up to date, and applying fixes for known
software defects).
––State, local, and tribal authorities are responsible for
providing or augmenting protective actions for assets,
systems, and networks that are critical to the public
within their jurisdiction and authority. They develop
protective programs, supplement Federal guidance and
expertise, implement relevant Federal programs such as
the Buffer Zone Protection Program (BZPP), and provide
specific law enforcement capabilities as needed. When
appropriate, they have access to Federal resources to meet
jurisdictional protection priorities.
––Federal agencies are responsible for enabling or augmenting protection for CIKR that is nationally critical or
coordinating the efforts of CIKR partners and the use of
resources from different funding sources. DHS, SSAs, and
other Federal departments and agencies carry out these
responsibilities while respecting the authorities of State,
local, and tribal governments, and the prerogatives of the
private sector.
––The SSAs, in conjunction with sector partners, provide
information on the most effective long-term protection
43
strategies, develop protective programs, and coordinate
the implementation of programs for their sectors. For
some sectors, this includes the development and sharing
of best and effective practices and related criteria, guidance documents, and tools.
––DHS, in collaboration with the SSAs and other public
and private sector partners, serves as the national focal
point for the development, implementation, and coordination of risk management approaches and tools and of
protective programs and resiliency strategies (including
cybersecurity efforts) for those assets that are deemed to
be nationally critical.
• Cost-Effective: Effective CIKR programs and strategies seek
to use resources efficiently by focusing on actions that offer
the greatest mitigation of risk for any given expenditure.
The following is a discussion of factors that should be
considered when assessing the cost-effectiveness and public
benefits derived through implementation of CIKR protection initiatives:
––Operating with full information: The NIPP describes the
mechanisms that enable the use of information regarding threats and corresponding protective actions. These
mechanisms include: information sharing; provision of
a dedicated communications network; and the use of
established, interoperable industry and trade association
communications mechanisms.
––Addressing the present-future tradeoff in long-leadtime investments: The NIPP provides the processes and
coordinating structures that allow State, local, and tribal
governments and private sector partners to effectively
use long-lead-time approaches to CIKR protection.
––Matching the underlying economic incentives of each
CIKR partner to the full extent possible: The NIPP
supports market-based economic incentives wherever
possible by relying on CIKR partners to undertake those
efforts that are in their own interests and complementing
those efforts with additional resources where necessary
and appropriate. This coordinated approach builds on
existing efforts that have proven to be effective and that
are consistent with best business practices, such as owners and operators selecting the measures that are best
suited to their particular risk profile and needs.
––Addressing the public-interest aspects associated with
CIKR protection: Risk management actions for CIKR
that provide benefits to the public at large go beyond
the actions that benefit owners and operators, or even
those that benefit the public residing in a particular State,
44
locality, or region. Such additional actions reflect different levels of the public interest—some CIKR are critical
to the national economy and to national well-being;
some CIKR are critical to a State, locality, or region; some
CIKR are critical only to the individual owner/operator
or direct customer base. Actions to protect the public’s
interest that require investment beyond the level that
those directly responsible for protection are willing and
able to provide must be of sufficient priority to warrant
the use of the limited resources that can be provided
from public funding or may require regulatory action or
appropriate incentives to encourage the private sector to
undertake them.
• Risk-Informed: Protective programs and resiliency strategies focus on mitigating risk. Associated actions should be
designed to allow measurement, evaluation, and feedback
based on risk mitigation. This allows owners, operators,
and the SSAs to reevaluate risk after the program has been
implemented. These programs and strategies use different
mechanisms for addressing each element of risk and combine their effects to achieve overall risk mitigation. These
mechanisms include:
––Consequences: Protective programs and resiliency strategies may limit or manage consequences by reducing the
possible loss resulting from a terrorist attack or other disaster through redundant system design, backup systems,
and alternative sources for raw materials or information.
––Vulnerability: Protective programs may reduce vulnerability by decreasing the susceptibility to destruction, incapacitation, or exploitation by correcting flaws or strengthening
weaknesses in assets, systems, and networks.
––Threat: Protective programs and resiliency strategies
indirectly reduce threat by making assets, systems, or networks less attractive targets to terrorists by lessening their
vulnerability and lowering the consequences. As a result,
terrorists may be less likely to achieve their objectives and,
therefore, less likely to focus on the CIKR in question.
3.5.3 Risk Management Activities, Initiatives, and
Reports
DHS, in collaboration with the SSAs and other sector partners, undertakes a number of protective programs, resiliency
strategies, initiatives, activities, and reports that support CIKR
protection. Many of these are available to or provide resources
for CIKR partners. These activities span a wide range of efforts
that include, but are not limited to, the following:
National Infrastructure Protection Plan
IP Vulnerability Assessment Project
The IP Vulnerability Assessment (VA) Project serves as the focal
point for strategic planning, coordination, and information sharing
in conducting vulnerability assessments of the Nation’s Tier 1
and Tier 2 CIKR. Through the development and deployment of a
scalable assessment methodology, the VA Project supports the
implementation of the NIPP through identifying vulnerabilities,
supporting collaborative security planning, and recommending
protective measures strategies. IP VA Project initiatives include
the BZPP, Site Assistance Visits (SAVs), CRs, and the ComputerBased Assessment Tool (CBAT). The VA Project provides vulnerability assessment methodologies that enhance DHS’s and CIKR
stakeholders’ ability to prevent, protect, and respond to terrorist
attacks and all-hazards incidents. The VA Project brings together:
Federal, State, local, tribal, and territorial governments; local law
enforcement; emergency responders; and CIKR owner and operators to conduct assessments to identify critical assets, vulnerabilities, consequences, and protective measures and resiliency
strategies. The VA Project also provides analysis of CIKR facilities
to include: potential terrorist actions for an attack; the consequences of such an attack; and the integrated preparedness and
response capabilities of Federal, State, local, tribal, and territorial
and private sector partners. The results are used to enhance the
overall CIKR protection posture at the facility, community, and
regional levels using short-term enhancements and long-term
risk-informed investments in training, processes, procedures,
equipment, and resources.
• Buffer Zone Protection Program: A Federal grant program
designed to provide resources to State and local law enforcement to enhance the protection of a given critical facility.
• Assistance Visits: Facility security assessments jointly
conducted by a federally led team and facility owners and
operators that are designed to facilitate vulnerability identification and mitigation discussions with individual owners
and operators.
• Training Programs: Training programs are designed to
provide CIKR partners with a source from which they can
obtain specialized training to enhance CIKR protection.
Subject matter, course length, and location of training can
be tailored to the partner’s needs.
• Control System Security: DHS coordinates efforts among
Federal, State, local, and tribal governments, as well as
control system owners, operators, and vendors to improve
control system security within and across all CIKR sectors.
The Strategy: Managing Risk
• Multi-Jurisdictional Improvised Explosive Device Security Plans: DHS assists high-risk urban environments with
developing thorough IED security plans that efficiently integrate assets and capabilities from multiple jurisdictions and
emergency services disciplines. The plan that results from
this process can help determine what actions are necessary to
enhance IED prevention and the protection capabilities of the
multi-jurisdictional area, which ultimately culminates in the
development of a NRF- and National Incident Management
System (NIMS)-compliant multi-jurisdictional plan.
• Protective Security Advisor (PSA) Program: DHS CIKR protection and vulnerability assessment specialists are assigned
as liaisons between DHS and the CIKR protection community at the State, local, and private sector levels in geographical
areas representing major concentrations of CIKR across the
United States. PSAs are responsible for sharing risk information and providing technical assistance to local law enforcement and owners and operators of CIKR within their respective areas of responsibility. The PSA Duty Desk serves as the
conduit among the PSAs, DHS, and other CIKR partners to
facilitate, on a 24/7 basis, coordination and collaboration
during steady-state and incident operations.
Protective Security Advisors
The mission of the PSAs is to represent DHS and IP in local
communities throughout the United States. PSAs work with
State HSAs, acting as liaisons among: DHS; the private sector;
and Federal, State, local, tribal, and territorial entities and
serving as DHS locally based critical infrastructure protection
specialists. PSAs provide support to officials responsible for
special events planning and exercises, and provide real-time
information on facility significance and protective measures
to facility owners and operators, as well as State and local
representatives. PSAs assist and facilitate IP efforts to identify,
assess, monitor, and minimize risk to CIKR at the State, local,
and regional levels.
As a result of their national “footprint” across the United States,
PSAs are often the first department personnel to provide support
for emergent incidents. Consequently, PSAs are uniquely able
to provide early situational awareness to DHS and IP leadership
during an incident or contingency operations. During natural
disasters and contingencies, PSAs deploy to State and local
Emergency Operations Centers (EOCs) and SLFCs to provide
situational awareness and facilitate information exchange to
and from the field. During incidents, upon designation by the
Assistant Secretary of Infrastructure Protection, PSAs perform as
Infrastructure Liaisons (ILs) at Joint Field Offices (JFOs) in support
of the Principal Federal Officials (PFOs) and Federal Coordinating
Officers (FCOs) under the NRF.
45
A detailed discussion of DHS-supported programs is provided
in appendix 3B.
The SSAs and other Federal departments and agencies also
oversee programs, initiatives, and activities that support CIKR
protection and resiliency. Many of these are also available to
or provide resources for CIKR partners. Examples include:
• The Department of Veterans Affairs created a methodology
also used by the Smithsonian Institution and adapted by
Federal Emergency Management Agency (FEMA) Manual
452, Risk Management: A How-To Guide to Mitigate Potential Terrorist Attacks Against Buildings, to assess the risk to
and mitigation for hundreds of buildings and museums.
• DOT manages a Pipeline Safety grant program that supports
efforts to develop and maintain State natural gas, liquefied
natural gas, and hazardous liquid pipeline safety programs.
• Other risk management activities include developing and
providing informational reports, such as the DHS Characteristics of Common Vulnerabilities Reports and the Indicators
of Terrorist Activity Reports, which are available to all State
and territorial homeland security offices. In addition to threat
and vulnerability information, informational reports also
include best practices for protection measures. One report in
particular, a part of FEMA’s Risk Management Series, addresses the protection of buildings and is applicable across sectors.
Enhanced Critical Infrastructure Protection (ECIP) Program
PSAs were directed to form partnerships with the owners and
operators of the Nation’s Tier 1 and Tier 2 CIKR and conduct
site visits (ECIP visits) for all of these assets. PSAs coordinate
site visits with the SSAs, owners and operators, HSAs, FBI,
local law enforcement (LLE), and other CIKR partners, as
necessary. During the visit, PSAs document information on the
facility’s current CIKR protection posture and overall security
awareness. The primary goals for ECIP site visits are to:
• Inform facility owners and operators of the importance of their
facilities as an identified high-priority CIKR and the need to be
vigilant in light of the ever-present threat of terrorism;
• Identify protective measures currently in place at Tier 1 and
Tier 2 facilities, provide comparisons of CIKR protection
postures across like assets, and track the implementation
of new protective measures; and
• Enhance existing relationships between Tier 1/Tier 2 facility owners and operators, DHS, and various Federal, State,
local, tribal, and territorial partners in order to:
– Provide increased situational awareness regarding
potential threats;
– Maintain an indepth knowledge of the current CIKR
protection posture at each facility; and
– Provide a known and available Federal resource to facility owners and operators.
3.6 Measure Effectiveness
The use of performance metrics is a critical step in the NIPP
risk management process to enable DHS and the SSAs to
objectively and quantitatively assess improvements in CIKR
protection and resiliency at the sector and national levels.
While the results of risk analyses outlined in section 3.3
help sectors set priorities, performance metrics allow NIPP
partners to track progress against these priorities. The metrics
provide a basis for DHS and the SSAs to establish accountability, document actual performance, facilitate diagnoses,
promote effective management, and provide a feedback
mechanism to decisionmakers.
Figure 3-7: NIPP Risk Management Framework: Measure Effectiveness
46
National Infrastructure Protection Plan
3.6.1 NIPP Metrics Types and Progress Indicators
3.6.1.1 Outcome Metrics
The focus of the NIPP metrics program is to track progress
toward a strategic goal by measuring beneficial results or
outcomes. The key to NIPP performance management is to
align outcome metrics to sector priorities. The 18 sectors
are diverse, operate in every State, and affect every level of
government. As a result, NIPP priorities and many NIPP
metrics will vary from sector to sector. All NIPP metrics must
be specific and clear as to what they are measuring, practical
or feasible in that the needed data are available, and built on
objectively measured data.
In addition to outcome metrics, other information will be
utilized, such as output data and descriptive data.
The National Coordinator Progress Indicator describes IP
efforts to support NIPP- and SSP-related activities.
Sector Progress Indicators collectively describe the progress
made by each sector and the effectiveness of different activities within the CIKR sectors.
Both types of progress indicators will have certain common
features. They will contain a limited number of prioritized
metrics and data that are aligned to sector priorities. Outcome
metrics will be given the most importance, but some process
and descriptive data may be included. Collectively, these
metrics and data will provide a holistic picture of the health
and effectiveness of the national and sector CIKR efforts and
will help drive future investment and resource decisions.
3.6.1.3 Qualitative Information
• Output (or Process) Data are used to gauge whether specific
activities were performed as planned, track the progress
of a task, or report on the output of a process. Output data
show progress toward performing the activities necessary
to achieve CIKR protection goals and can serve as leading
indicators for outcome measures. They also help build a
comprehensive picture of CIKR protection status and activities. Examples include the number of protective programs
implemented in a fiscal year, percentage of sector organizations exchanging CIKR information, and the level of
response to a data call for asset information.
Although not considered metrics, the NIPP also provides
mechanisms for qualitative feedback that can be applied to
augment and improve the effectiveness and efficiency of
public and private sector CIKR protection and resiliency programs. DHS works with CIKR partners to identify and share
lessons learned and best practices for all aspects of the risk
management process. DHS also works with the SSAs to share
relevant input from sector partners and other sources that can
be used as part of the national effort to continuously improve
CIKR protection and resiliency.
• Descriptive Data are used to understand sector resources and
activities, but do not reflect CIKR protection performance.
Examples include: a narrative description of progress; the
number of facilities in a jurisdiction; the population resident or working in the area affected by an incident; and the
number of suppliers in an infrastructure service provider’s
supply chain.
3.6.2 Gathering Performance Information
NIPP metrics are evolving from the current focus on
descriptive and output data to a focus on outcome metrics.
Descriptive and output data have been critical during the initial implementation of the NIPP in order to closely track the
progress of the sectors in building key NIPP elements, such as
the SSPs and GCCs/SCCs. The next stage of NIPP implementation will concentrate on working with the sectors to identify
and track outcome metrics that are aligned to sector priorities and provide NIPP partners with a more comprehensive
assessment of the success of CIKR protection efforts.
3.6.1.2 NIPP Metrics Progress Indicators
NIPP outcome metrics and output/descriptive data will
be identified and reported in two ways—the National
Coordinator Progress Indicator and Sector Progress Indicators:
The Strategy: Managing Risk
DHS works with the SSAs and sector partners to gather the
information necessary to measure the level of performance
associated with the progress indicators. Given the inherent
differences in CIKR sectors, a one-size-fits-all approach to
gathering this information is not appropriate. One of the
available resources to support information gathering is the
PSA Program through the ECIP/Infrastructure Survey Tool.
The PSAs can be particularly helpful in gathering information
at individual facilities or assets when different CIKR protection initiatives are implemented. This information can be
used independently or combined with that of other assets, as
well as with data on systems and networks that may not be
amenable to physical inspection.
DHS also works with the SSAs and sector partners to determine the appropriate measurement approach to be included
in the sector’s SSP and to help ensure that partners engaged
with multiple sectors or in cross-sector matters are not
subject to unnecessary redundancy or conflicting guidance in
information collection. Information collected as part of this
effort is protected as discussed in detail in chapter 4.
47
3.6.3 Assessing Performance and Reporting on
Progress
HSPD-7 requires each SSA to provide the Secretary of
Homeland Security with an annual report on their efforts to
identify, prioritize, and coordinate the protection of CIKR
in their respective sectors. The reports are due no later than
June 1 of each year. The SSAs work in close collaboration
with sector partners, their respective SCCs and GCCs, and
other organizations in developing this report. DHS and SSAs
work in close collaboration to assess progress made toward
goals in each sector based on these reports.
The National Annual Report currently includes similar
reports for the SLTTGCC and the RCCC as appendixes.
Additional appendixes to the current National Annual
Report address the year’s accomplishments for IP, the Office
of Cybersecurity & Communications, the Tier 1 and Tier 2
Program, and the NISAC.
DHS compiles all of these reports into a national cross-sector
report that describes annual progress toward CIKR protection goals on a national basis and makes recommendations to
the EOP for prioritized resource allocation across the Federal
Government to meet national CIKR protection requirements.
A more detailed discussion of the national resource allocation
process for CIKR protection is included in chapter 7.
In addition to these annual reports, the SSAs regularly update
their measurements of CIKR status and protection levels to
support DHS status tracking and comprehensive inventory
updating. By maintaining a regularly updated knowledge
base, DHS is able to quickly compile real-time CIKR status
and protection postures to respond to changing circumstances as indicated by tactical intelligence assessments of
terrorist threats or natural disaster damage assessments. This
helps inform resource allocation decisions during incident
response and other critical operations that support the homeland security mission.
3.7 Using Metrics and Performance
Measurement for Continuous Improvement
By using NIPP metrics to evaluate the effectiveness of efforts
to achieve sector priorities, CIKR partners adjust and adapt
the Nation’s CIKR protection approach to account for progress achieved, as well as for changes in the threat and other
relevant environments. At the national level, NIPP metrics
are used to focus attention on areas of CIKR protection that
warrant additional government resources or other changes
through an analysis of gaps and priorities for protective programs at both the national and sector levels. If an evaluation
of the effectiveness of efforts to achieve priorities using
NIPP metrics reveals that there is insufficient progress,
DHS and its CIKR partners will undertake actions to focus
efforts on addressing these particular gaps or improvement
opportunities.
In addition to supporting the evaluation of progress against
sector priorities, metrics can also serve as a feedback mechanism for other parts of the NIPP risk management framework. The metrics can inform progress against the broader
sector goals (see section 3.1). Metrics can also provide
analysts with information to adjust their risk assessments (see
section 3.3). For instance, metrics indicate the effectiveness of
protective programs and the extent to which these programs
are mitigating risks. Finally, metrics can also inform the prioritization process (see section 3.4), as this information can
assist decisionmakers in identifying effective ways to achieve
desired outcomes.
Figure 3-8: NIPP Risk Management Framework: Feedback Loop for Continuous Improvement of CIKR Protection
48
National Infrastructure Protection Plan
4. Organizing and Partnering for
CIKR Protection
The enormity and complexity of the Nation’s CIKR, the distributed character of our national protective
architecture, and the uncertain nature of the terrorist threat and manmade or natural hazards make the
effective implementation of protection and resiliency efforts a great challenge. To be effective, the NIPP
must be implemented using organizational structures and partnerships committed to sharing and protecting the information needed to achieve the NIPP goal and supporting objectives described in chapter 1.
DHS, in close collaboration with the SSAs, is responsible for overall coordination of the NIPP partnership
organization and information-sharing network.
4.1 Leadership and Coordination Mechanisms
The coordination mechanisms described below establish
linkages among CIKR protection efforts at the Federal, State,
regional, local, tribal, territorial, and international levels, as
well as between public and private sector partners. In addition to direct coordination, the structures described below
provide a national framework that fosters relationships and
facilitates coordination within and across CIKR sectors:
• National-Level Coordination: IP facilitates overall development of the NIPP and the SSPs, provides overarching
guidance, and monitors the full range of associated coordination activities and performance measures. IP will support, not duplicate, SSA coordination, protection, or other
risk reduction capabilities. Chapter 2 details specific roles
for DHS.
• Sector Partnership Coordination: The CIKR Cross-Sector
Council; the Government Cross-Sector Council (made up
of two subcouncils—the NIPP Federal Senior Leadership
Council (FSLC) and the SLTTGCC); and individual SCCs
and GCCs create a structure through which representative
Organizing and Partnering for CIKR Protection
groups from Federal, State, local, and tribal governments
and the private sector can collaborate and develop consensus approaches to CIKR protection.
• Regional Coordination: Regional partnerships, groupings,
and governance bodies such as the Great Lakes Partnership,
the All-Hazards Consortium, the Pacific NorthWest Economic Region, and the Southeast Regional Research Initiative enable CIKR protection coordination within and across
geographical areas and sectors. Such bodies are composed
of representatives from industry and State, local, and tribal
entities located in whole or in part within the planning
area for an aggregation of high-risk targets, urban areas,
or cross-sector groupings. They facilitate enhanced coordination among jurisdictions within a State where CIKR
cross multiple jurisdictions, and help sectors coordinate
with multiple States that rely on a common set of CIKR.
They also are organized to address common approaches to
a wide variety of natural or manmade hazards. The RCCC
was established in 2008 to help enhance the engagement of
regionally based partners and to leverage the CIKR protection activities and resiliency strategies that they lead.
49
• International Coordination: The United States-CanadaMexico Security and Prosperity Partnership; the North Atlantic Treaty Organization’s (NATO’s) Senior Civil Emergency Planning Committee; certain government councils, such
as the CFIUS; the CFDI; and consensus-based nongovernmental or public-private organizations, such as the global
Forum of Incident Response and Security Teams (FIRST),
enable a range of CIKR protection coordination activities
associated with established international agreements.
• Ensures that effective policies, approaches, guidelines,
and methodologies regarding partner coordination are
developed and disseminated to enable the SSAs and other
partners to carry out NIPP responsibilities;
• Facilitates the development of risk, risk-informed, and
criticality-based assessments and prioritized lists of CIKR;
• Facilitates the sharing of CIKR prioritization and protectionrelated best practices and lessons learned;
• Facilitates participation in preparedness activities, planning,
readiness exercises, and public awareness efforts; and
4.1.1 National-Level Coordination
Respecting the SSA’s responsibilities as the sector lead, DHS,
in collaboration with the SSAs and the GCCs, monitors the
coordination and integration of national-level CIKR protection activities through IP. In support of CIKR partner coordination, DHS:
• Leads, integrates, and coordinates the execution of the
NIPP, in part by acting as a central clearinghouse for the
information-sharing, reporting, and coordination activities
of the individual sector governance structures;
• Facilitates the development and ongoing support of governance and coordination structures or models;
• Facilitates NIPP revisions and updates using a comprehensive national review process;
• Ensures cross-sector coordination with the SSAs to avoid
conflicting guidance, duplicative requirements, and reporting.
4.1.2 Sector Partnership Coordination
The goal of NIPP-related organizational structures, partnerships, and information-sharing networks is to establish the
context, framework, and support for activities required to
implement and sustain the national CIKR protection effort.
DHS, in collaboration with the SSAs and sector partners,
issues coordinated guidance on the framework for CIKR
public-private partnerships, as well as metrics to measure
their effectiveness.
Figure 4-1: Sector Partnership Model
Government
Coordinating Council
Sector
Coordinating Council
Sector 1
Sector 1
Sector 2
Government
Coordinating Council
Sector
Coordinating Council
Government
Coordinating Council
Sector
Coordinating Council
Government
Coordinating Council
Sector 3
Sector 6
Sector 7
Government
Sector 14
Cross-Sector Council
Sector 15
Government
Coordinating Council
Sector 4
Sector
Coordinating Council
Government
Coordinating Council
Government
Coordinating Council
Sector 3
Sector
Coordinating Council
Government
Coordinating Council
Sector 5
NIPP FSLC
Sector
Coordinating Council
Government
Coordinating Council
Sector 4
Sector 2
Sector
Coordinating Council
Sector
Coordinating Council
Sector
Coordinating Council
Sector 5
Sector 6
Sector 7
Sector 14
Sector 15
CIKR
Cross-Sector Council
SLTTGCC
Regional Consortium
Coordinating Council
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National Infrastructure Protection Plan
The NIPP relies on a partnership model, illustrated in figure
4-1, as the primary organizational structure for coordinating CIKR efforts and activities. The NIPP partnership model
encourages formation of SCCs and GCCs as described below.
DHS also provides guidance, tools, and support to enable
these groups to work together to carry out their respective
roles and responsibilities. SCCs and corresponding GCCs
work in tandem to create a coordinated national framework
for CIKR protection and resiliency within and across sectors.
The sector partnership model facilitates the integration of all
partners into CIKR planning and operational activities to help
ensure a collaborative approach to CIKR protection.
4.1.2.1 CIKR Cross-Sector Council
Cross-sector issues and interdependencies are addressed
among the SCCs through the CIKR Cross-Sector Council,
which comprises the leadership of each of the SCCs. The
Partnership for Critical Infrastructure Security provides this
representation with support from DHS’s CIKR Executive
Secretariat. The partnership coordinates cross-sector initiatives to support CIKR protection by identifying legislative
issues that affect such initiatives and by raising awareness of
issues in CIKR protection. The primary activities of the CIKR
Cross-Sector Council include:
• Providing senior-level, cross-sector strategic coordination
through partnership with DHS and the SSAs;
• Identifying and disseminating CIKR protection best practices across the sectors;
• Participating in coordinated planning efforts related to the
development, implementation, and revision of the NIPP
and the SSPs or aspects thereof; and
• Coordinating with DHS to support efforts to plan and execute the Nation’s CIKR protection mission.
4.1.2.2 Government Cross-Sector Council
Cross-sector issues and interdependencies between the GCCs
will be addressed through the Government Cross-Sector
Council, which comprises two subcouncils—the NIPP FSLC
and the SLTTGCC:
• NIPP Federal Senior Leadership Council: The objective
of the NIPP FSLC is to facilitate enhanced communications
and coordination between and among Federal departments
and agencies with a role in implementing the NIPP and
HSPD-7. The council’s primary activities include:
––Forging consensus on CIKR risk management strategies;
––Evaluating and promoting implementation of risk
management-based CIKR programs;
Organizing and Partnering for CIKR Protection
––Coordinating strategic issues and issue management
resolution among Federal departments and agencies, and
State, regional, local, tribal, and territorial partners;
––Advancing collaboration within and across sectors;
––Advancing collaboration with the international community;
––Participating in planning efforts related to the development, implementation, update, and revision of the NIPP
and the SSPs or aspects thereof; and
––Evaluating and reporting on the progress of Federal CIKR
protection activities.
• State, Local, Tribal, and Territorial Government Coordinating Council: The SLTTGCC serves as a forum to ensure that
State, local, and tribal homeland security partners are fully
integrated as active participants in national CIKR protection
efforts and to provide an organizational structure to coordinate across jurisdictions on State and local government-level
CIKR protection guidance, strategies, and programs. The
SLTTGCC will provide the State, local, tribal, or territorial
perspective or feedback on a wide variety of CIKR issues. The
primary functions of the SLTTGCC include the following:
––Providing senior-level, cross-jurisdictional strategic communications and coordination through partnership with
DHS, the SSAs, and CIKR owners and operators;
––Participating in planning efforts related to the development, implementation, update, and revision of the NIPP
and SSPs or aspects thereof;
––Coordinating strategic issues and issue management
resolution among Federal departments and agencies, and
State, local, tribal, and territorial partners;
––Coordinating with DHS to support efforts to plan,
implement, and execute the Nation’s CIKR protection
mission; and
––Providing DHS with information on State-, local-, tribal-,
and territorial-level CIKR protection initiatives, activities,
and best practices.
The cross-sector bodies described in sections 4.1.2.1 and
4.1.2.2 will convene in joint session and/or working groups,
as appropriate, to address cross-cutting CIKR protection
issues. The NIPP-related functions of the cross-sector bodies
include activities to:
• Provide or facilitate coordination, communications, and
strategic-level information sharing across sectors and
between and among DHS, the SSAs, the GCCs and other
51
supporting Federal departments and agencies, and other
public and private sector partners;
• Identify issues shared by multiple sectors that would benefit
from common investigations and/or solutions;
• Identify and promote best practices from individual sectors
that have applicability to other sectors;
• Contribute to cross-sector information-sharing, planning,
and risk management activities, as appropriate; and
• Provide input to the government on R&D efforts that
would benefit multiple sectors.
4.1.2.3 Sector Coordinating Councils
The sector partnership model encourages CIKR owners and
operators to create or identify an SCC as the principal entity
for coordinating with the government on a wide range of
CIKR protection activities and issues. The SCCs are self-organized, self-run, and self-governed, with a spokesperson designated by the sector membership. Specific membership will
vary from sector to sector, reflecting the unique composition
of each sector; however, membership should be representative of a broad base of owners, operators, associations, and
other entities—both large and small—within a sector.
The SCCs enable owners and operators to interact on a wide
range of sector-specific strategies, policies, activities, and
issues. The SCCs serve as principal sector policy coordination
and planning entities. Sectors also rely on ISACs, or other
information-sharing mechanisms, which provide operational and tactical capabilities for information sharing and,
in some cases, support for incident response activities. (A
more detailed discussion of ISAC roles and responsibilities is
included in section 4.2.7.)
The primary functions of an SCC include the following:
• Represent a primary point of entry for government into the
sector for addressing the entire range of CIKR protection
activities and issues for that sector;
• Serve as a strategic communications and coordination
mechanism between CIKR owners, operators, and suppliers, and, as appropriate, with the government during
emerging threats or response and recovery operations, as
determined by the sector;
• Identify, implement, and support the information-sharing
capabilities and mechanisms that are most appropriate for
the sector. The ISACs may perform this role if so designated
by the SCC;
• Participate in planning efforts related to the development,
implementation, update, and revision of the SSPs and review of the Sector Annual Reports;
• Facilitate inclusive organization and coordination of the
sector’s policy development regarding CIKR protection
planning and preparedness, exercises and training, public
awareness, and associated plan implementation activities
and requirements;
• Advise on the integration of Federal, State, local, and regional planning with private sector initiatives; and
• Provide input to the government on sector R&D efforts and
requirements.
The SCCs are encouraged to participate in efforts to develop
voluntary consensus standards to ensure that sector perspectives are included in standards that affect CIKR protection.7
4.1.2.4 Government Coordinating Councils
A GCC is formed as the government counterpart for each SCC
to enable interagency and cross-jurisdictional coordination.
The GCC comprises representatives from across various levels
of government (Federal, State, local, or tribal), as appropriate to the operating landscape of each individual sector. Each
GCC is co-chaired by a representative from the designated
SSA with responsibility for ensuring appropriate representation on the GCC and providing cross-sector coordination
with State, local, and tribal governments. Each GCC is
co-chaired by the DHS Assistant Secretary for Infrastructure
Protection or his/her designee.
The GCC coordinates strategies, activities, policy, and communications across governmental entities within each sector.
The primary functions of a GCC include the following:
• Provide interagency strategic communications and coordination at the sector level through partnership with DHS,
the SSA, and other supporting agencies across various levels
of government;
• Participate in planning efforts related to the development,
implementation, update, and revision of the NIPP and the
SSPs;
7 Voluntary consensus standards are developed or adopted by voluntary consensus standards bodies, both domestic and international. These organizations plan,
develop, establish, or coordinate standards through an agreed-upon procedure that relies on consensus, although not necessarily on unanimity. Federal law encourages
Federal participation in these bodies to increase the likelihood that standards meet both public and private sector needs. Examples of other standards that are distinct
from voluntary consensus standards include non-consensus standards, industry standards, company standards, or de facto standards developed in the private sector but
not in the full consensus process, standards that are unique to government and developed by government for its own uses, and standards mandated by law.
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National Infrastructure Protection Plan
• Coordinate strategic communications and discussion and
resolution of issues among government entities within the
sector; and
sector, and international boundaries and take into account
dependencies and interdependencies. They are typically selforganizing and self-governing.
• Coordinate with and support the efforts of the SCC to
plan, implement, and execute the Nation’s CIKR protection mission.
Regional organizations, whether interstate or intrastate, vary
widely in terms of mission, composition, and functionality. Regardless of the variations, these organizations provide
structures at the strategic and/or operational levels that help
address cross-sector CIKR planning and protection program
implementation. They may also provide enhanced coordination among jurisdictions within a State where CIKR cross
multiple jurisdictions and help sectors coordinate with
multiple States that rely on a common set of CIKR. In some
instances, State Homeland Security Advisors may serve as
focal points for regional initiatives and provide linkages
between the regional organizations and the sector partnership model. Based on the nature or focus of the regional
initiative, these organizations may link into the sector partnership model, as appropriate, through the individual SCCs
or GCCs or cross-sector councils, or more broadly through
the RCCC.
4.1.2.5 Regional Consortium Coordinating Council
The RCCC brings together representatives of regional partnerships, groupings, and governance bodies to enable CIKR
protection coordination among CIKR partners within and
across geographical areas and sectors.
4.1.2.6 Critical Infrastructure Partnership Advisory
Council (CIPAC)
CIPAC directly supports the sector partnership model by providing a legal framework that enables members of the SCCs
and GCCs to engage in joint CIKR protection-related discussions. CIPAC serves as a forum for government and private
sector partners to engage in a broad spectrum of activities,
such as:
• Planning, coordination, implementation, and operational
issues;
• Implementation of security and preparedness programs;
• Operational activities related to CIKR protection, including
incident response and recovery; and
• Development and support of national policies and plans,
including the NIPP and the SSPs.
CIPAC membership consists of private sector CIKR owners
and operators, or their representative trade or equivalent
associations, from the respective sector’s recognized SCC,
and representatives of Federal, State, local, and tribal governmental entities (including their representative trade or
equivalent associations) that make up the corresponding GCC
for each sector. DHS published a Federal Register Notice on
March 24, 2006, announcing the establishment of CIPAC as a
FACA-exempt body, pursuant to section 871 of the Homeland
Security Act.
4.1.3 Regional Coordination and the Partnership Model
Regional partnerships, organizations, and governance
bodies enable CIKR protection coordination among CIKR
partners within and across certain geographical areas, as
well as planning and program implementation aimed at a
common hazard or threat environment. These groupings
include public-private partnerships that cross jurisdictional,
Organizing and Partnering for CIKR Protection
4.1.4 International CIKR Protection Cooperation
Many CIKR assets, systems, and networks, both physical
and cyber, are interconnected with a global infrastructure
that has evolved to support modern economies. Each of the
CIKR sectors is linked in varying degrees to global energy,
transportation systems, telecommunications, cyber, and
other infrastructure. This global system creates benefits and
efficiencies, but also brings interdependencies, vulnerabilities, and challenges in the context of CIKR protection. The
Nation’s safety, security, prosperity, and way of life depend
on these “systems of systems,” which must be protected both
at home and abroad.
The NIPP strategy for international CIKR protection coordination and cooperation is focused on:
• Instituting effective cooperation with international CIKR
partners, as well as high-priority cross-border protection
programs. Specific protective actions are developed through
the sector planning process and specified in the SSPs and
the annual CFDI Action Plan;
• Implementing current agreements and instruments that
affect CIKR protection;
• Identifying infrastructure located outside the United States
that if disrupted or destroyed would lead to loss of life in
the United States, or critically affect the Nation’s economic,
industrial, or defensive capabilities; and
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• Addressing cross-sector and global issues such as cybersecurity and foreign investment.
International CIKR protection activities require coordination
with the DOS and appropriate SSAs and must be designed
and implemented to benefit the United States and its international partners.
CIKR protection may be affected by foreign investment and
ownership of sector assets. This issue is monitored at the
Federal level by the CFIUS. The committee provides a forum
for assessing the impact of proposed foreign investments
on CIKR protection, monitoring to ensure compliance with
agreements that result from CFIUS rulings, and supporting
executive branch reviews of telecommunications applications
to the Federal Communications Commission (FCC) from
foreign entities to assess if they pose any national security
threat to CIKR (see appendix 1B.4.2).
4.1.4.1 Cooperation With International Partners
DHS, in coordination with the appropriate SSAs, other
Federal agencies, and the Department of State (DOS), works
with international partners and other entities involved in the
international aspects of CIKR protection to exchange experiences, share information, and develop a cooperative environment to materially improve U.S. CIKR protection. DHS,
the DOS, and the SSAs work with foreign governments to
identify international interdependencies, vulnerabilities, and
risk-mitigation strategies, and through international organizations, such as the Group of Eight (G8), NATO, the European
Union, the Organization of American States (OAS), and the
Organisation for Economic Co-operation and Development
(OECD), to enhance CIKR protection. Forums such as the
International Maritime Organization (IMO), a specialized
agency of the United Nations, cooperate with a host of partners to govern international shipping; develop and maintain
a regulatory framework for shipping; address safety and
environmental concerns; legal matters and others. The IMO
is based in the United Kingdom and has 168 member states.
While the SSAs and owners and operators generally are
responsible for developing CIKR protection programs to
address risks that arise from or include international sources or
considerations, DHS manages specific programs to enhance the
cooperation and coordination needed to address the unique
challenges and opportunities posed by the international aspects
of CIKR protection. The following DHS efforts augment, but
do not supersede or replace, the activities and programs of
other Federal agencies or other NIPP partners.
• Critical Foreign Dependencies Initiative: In accordance
with the NIPP, the Federal Government created a comprehensive inventory of infrastructure located outside the
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United States that if disrupted or destroyed would lead
to loss of life in the United States or critically affect the
Nation’s economy or national security. In response to this
requirement, DHS worked with the DOS to develop the
CFDI, a process designed to ensure that the resulting classified National Critical Foreign Dependencies List is inclusive,
representative, and leveraged in a coordinated and responsible manner.
• International Outreach Program: DHS, in cooperation
with the DOS and other Federal agencies, carries out international outreach activities to engage foreign governments
and international/multinational organizations to promote a
global culture of CIKR protection. These outreach activities
enable international cooperation and engage constituencies that often do not traditionally address CIKR protection.
This outreach encourages the development and adoption
of best practices, training, and other programs designed
to improve the protection of U.S. CIKR overseas, as well as
the reliability of international CIKR on which this country
depends. Other Federal, State, local, tribal, and private sector entities also engage in international outreach that may
be related to CIKR risk mitigation in situations where they
work directly with their foreign counterparts.
• The National Exercise Program (NEP): DHS provides overarching coordination for the NEP to ensure the Nation’s
readiness to respond in an all-hazards environment and
to practice and evaluate the steady-state protection plans
and programs put in place by the NIPP. The NEP provides
opportunities through exercises for international partners
to engage with Federal, State, and local departments and
agencies to address cooperation and cross-border issues,
including those related to CIKR protection. DHS and other
CIKR partners also participate in exercises sponsored by
international partners.
• National Cyber Exercises: DHS and its partners conduct
exercises to identify, test, and improve coordination of the
cyber incident response community, including Federal,
State, regional, local, tribal, and international governmental
entities, as well as private sector corporations and coordinating councils.
Where applicable, DHS encourages the use of PCII protections
to safeguard private sector CIKR information when sharing it
with international partners. The PCII Program will solicit the
submitter’s express permission before sharing the submitter’s
proprietary CIKR information with international partners.
4.1.4.2 Implementing Current Agreements
DHS, the SSAs, and other Federal agencies have entered into
agreements with international partners, including bilateral
National Infrastructure Protection Plan
and multilateral partnerships, with the assistance of the DOS.
The key partners involved in existing agreements include:
• Canada and Mexico: CIKR interconnectivity between the
United States and its immediate neighbors makes the borders
virtually transparent. Electricity, natural gas, oil, roads,
rail, food, water, minerals, and finished products cross our
borders with Canada and Mexico as a routine component of
commerce and infrastructure operations. The importance of
this trade, and the infrastructure that support it, was highlighted after the terrorist attacks of September 11, 2001, nearly closed both borders. The United States entered into the
2001 Smart Border Declaration with Canada and the 2002
Border Partnership Declaration with Mexico, in part, to address bilateral CIKR issues. In addition, the 2005 Security and
Prosperity Partnership of North America (SPP) established
a common approach to security to protect North America
from external threats, prevent and respond to threats, and
further streamline the secure and efficient movement of
legitimate, low-risk traffic across the shared borders.
• United Kingdom: The United Kingdom is a close ally of
the United States that has extensive experience in counterterrorism and CIKR protection. The United Kingdom has
developed substantial expertise in law enforcement and
intelligence systems, and in the protection of commercial
facilities based on its counterterrorism experience. Like
the United States, most of the critical infrastructure in the
United Kingdom is privately owned. The government of
the United Kingdom developed an effective, sophisticated
system to manage public-private partnerships. DHS formed
a Joint Contact Group (JCG) with the United Kingdom that
brings officials into regular, formal contact to discuss and
resolve a range of bilateral homeland security issues.
• The Group of Eight: Since September 11, 2001, the infrastructure in several G8 countries has been exploited and
used to inflict casualties and fear. As a result, G8 partners
underscored their determination to combat all forms of terrorism and to strengthen international cooperation. To that
end, within the G8 context, the United States spearheaded
various CIKR protection initiatives in 2007 and 2008. The
first project focused on G8 delegation nation security planning best practices, vulnerability assessment methodologies,
and threat assessments for critical energy infrastructure. The
second project focused on Chemical Sector infrastructure
protection activities, a timely subject given the release of the
CFATS in the United States the previous year. These projects
have increased the baseline understanding of the measures
underway, as well as the CIKR protection capabilities of each
G8 member nation. The G8 provides an effective forum
for member nations to work together to reduce global risks
Organizing and Partnering for CIKR Protection
to CIKR by sharing best practices and methodologies and
to understand common threats. Future projects related to
critical infrastructure protection within the G8 will address
issues related to interdependencies within and across critical
infrastructure systems.
• Asia-Pacific Economic Cooperation (APEC): This group is
responding to the terrorist threat by pursuing several practical counterterrorist initiatives that are intended to prevent
the movement of funds, goods, and people involved in terrorist activities, while at the same time ensuring that the legitimate cross-border movement of goods and people is not
impeded. APEC established the Counterterrorism Task Force
to assist economies in identifying, assessing, and coordinating counterterrorism capacity building. Other APEC measures include the Secure Trade in the APEC Region (STAR)
initiative, under which members have developed measures
to secure cargo, protect people in transit, strengthen the security of ships and ports, improve airline passenger systems
and crew safety, and strengthen border controls.
• North Atlantic Treaty Organization: NATO addresses
CIKR protection issues through the Senior Civil Emergency
Planning Committee, the senior policy and advisory body
to the North Atlantic Council on civil emergency planning
and disaster relief matters. The committee is responsible
for policy direction and coordination of planning boards
and committees in the NATO environment. It has developed considerable expertise that applies to CIKR protection
and has planning boards and committees covering ocean
shipping, inland surface transport, civil aviation, food and
agriculture, industrial preparedness, civil communications
planning, civil protection, and civil-military medical issues.
• European Union: The United States is engaged in a number of CIKR protection activities with the European Union,
including those related to advising the European Union on
CIKR risk analysis and management, writ large, as well as
counter-explosive device activities. The European Commission is in the process of implementing the European Programme for Critical Infrastructure Protection (EPCIP). This
program will affect all 27 nations in the European Union,
as well as others in the Euro-Zone that elect to participate.
EPCIP will initially focus on the Energy and Transport sectors, with expanded focus on the Telecommunications, Financial, and Chemical sectors in coming years. The United
States has engaged the EPCIP leadership for the purpose of
offering the assistance necessary to support the implementation of the program, with the ultimate goal of enhancing
CIKR protection activities across the board. Furthermore,
through both IP and the Science and Technology Directorate, DHS works with the Bureau of Diplomatic Security and
55
the Office of the Coordinator for Counterterrorism at DOS,
DOJ, and the FBI to conduct workshops, seminars, and
exercises with the European Union on countering terrorist
use of explosive devices. These two activities serve as models for U.S. engagement with the European Union on joint
CIKR protection activities.
4.1.4.3 Approach to International Cybersecurity
The United States proactively integrates its: intelligence
capabilities to protect the country from cyber attack; its
diplomatic outreach, advocacy, and operational capabilities to
build awareness, preparedness, capacity, and partnerships in
the global community; and its law enforcement capabilities to
combat cyber crime wherever it originates. The private sector, international industry associations, and companies with
global interests and operations also are engaged in addressing
cybersecurity internationally. For example, the U.S.-based
Information Technology Association of America participates
in international cybersecurity conferences and forums, such
as the India-based National Association for Software and
Service Companies Joint Conference. These efforts require
interaction between policy and operations functions to
coordinate national and international activity that is mutually
supportive around the globe:
• International Cybersecurity Outreach: DHS, in cooperation
with the DOS, other Federal departments and agencies, and
the private sector, engages in multilateral and bilateral discussions to further international computer security awareness
and policy development, as well as incident response team
information-sharing and capacity-building objectives. DHS
engages in bilateral discussions on cybersecurity issues with
various international partners, such as India, Italy, Japan, and
Norway. DHS also works with international partners in multilateral and regional forums to address cybersecurity and
critical infrastructure information protection. For example,
the APEC Telecommunications Working Group recently
engaged in a capacity-building program to help member
countries develop computer emergency response teams.
The OAS has approved a framework proposal by its Cyber
Security Working Group to create an OAS regional computer
incident response contact network for information sharing
and capacity building. Multilateral collaboration to build a
global culture of security includes participation in the OECD,
the G8, and the United Nations. Many of these countries and
organizations have developed mechanisms for engaging the
private sector in dialogue and program efforts.
• Collaboration on Cyber Crime: The U.S. outreach strategy
for comprehensive cyber laws and procedures draws on the
Council of Europe Convention on Cyber Crime, as well as:
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(1) the G8 High-Tech Crime Working Group’s principles
for fighting cyber crime and protecting critical information
infrastructure, (2) the OECD guidelines on information and
network security, and (3) the United Nations General Assembly resolutions based on the G8 and OECD efforts. The goal
of this outreach strategy is to encourage foreign governments
and regional organizations to join the United States in efforts
to protect internationally interconnected systems.
• Collaborative Efforts for Cyber Watch Warning and Incident Response: The United States works with key allies on
cybersecurity policy and operational cooperation. Leveraging
pre-existing relationships among Computer Security Incident
Response Teams (CSIRTs), DHS has established a preliminary
framework for cooperation on cybersecurity policy, watch
and warning, and incident response with several other nations. DHS is also participating in the establishment of an
International Watch and Warning Network (IWWN) among
cybersecurity policy, computer emergency response, and law
enforcement participants from 15 countries. The IWWN will
provide a mechanism by which the participating countries
can share information to build global cyber situational
awareness and coordinate incident response.
• Partnerships to Address Cyber Aspects of CIKR Protection: The Federal Government leverages existing agreements such as the SPP and the JCG with the United Kingdom to address the Information Technology Sector and
cross-cutting cybersecurity as part of CIKR protection.
The trilateral SPP builds on existing bilateral agreements
between the United States and Canada and the United
States and Mexico by providing a forum to address issues
on a dual binational basis. In the context of the JCG, DHS
established an action plan to address cybersecurity, watch,
warning, incident response, and other strategic initiatives.
4.2 Information Sharing: A Network Approach
The effective implementation of the NIPP is predicated on
active participation by government and private sector partners in meaningful, multidirectional information sharing.
When owners and operators are provided with a comprehensive picture of threats or hazards to CIKR and participate
in ongoing multidirectional information flow, their ability to
assess risks, make prudent security investments, and develop
appropriate resiliency strategies is substantially enhanced.
Similarly, when the government is provided with an understanding of private sector information needs, it can adjust its
information collection, analysis, synthesis, and dissemination
activities accordingly.
National Infrastructure Protection Plan
The NIPP information-sharing approach constitutes a shift
from a strictly hierarchical to a networked model, allowing
distribution and access to information both vertically and
horizontally, as well as the ability to enable decentralized
decisionmaking and actions. The objectives of the network
approach are to:
• Enable secure multidirectional information sharing between and across government and industry that focuses,
streamlines, and reduces redundant reporting to the greatest extent possible;
• Implement a common set of all-hazards communications,
coordination, and information-sharing capabilities for all
CIKR partners;
• Provide CIKR partners with a robust communications
framework tailored to their specific information-sharing
requirements, risk landscape, and protective architecture;
• Provide CIKR partners with a comprehensive common operating picture that includes timely and accurate information
about natural hazards, general and specific terrorist threats,
incidents and events, impact assessments, and best practices;
• Provide CIKR partners with timely incident reporting and
verification of related facts that owners and operators can
use with confidence when considering how evolving incidents might affect their risk posture;
• Provide a means for State, local, tribal, territorial, and
private sector partners to be integrated, as appropriate, into
the intelligence cycle, to include providing input to the
development of intelligence requirements;
• Enable the multidirectional flow of information required
for CIKR partners to assess risks, conduct risk management
activities, invest in security measures, and allocate resources; and
• Protect the integrity and confidentiality of sensitive information.
Within the CIKR community, information sharing is a means
to an end. The objective of an effective environment for
information sharing is to provide timely and relevant information that partners can use to make decisions and take the
necessary actions to manage CIKR risk.
The CIKR Information-Sharing Environment (ISE) supports
three levels of decisionmaking and action: (1) strategic
planning and investment, (2) situational awareness and
preparedness, and (3) operational planning and response. It
provides policy, governance, planning, and coordination of
information sharing, as well as a forum for identifying the
Organizing and Partnering for CIKR Protection
types of information necessary for partners to make appropriate decisions and take the necessary actions for effective
risk management.
Figure 4.2 illustrates the broad concept of the NIPP multidirectional, networked information-sharing approach within
the CIKR ISE. This network consists of components that
are connected by a national communications platform, the
Homeland Security Information Network (HSIN). HSIN is
an all-hazards communications system developed by State
and local authorities that connects: all 50 States; 5 territories;
Washington, DC; and 50 major urban areas. HSIN is one of
the key DHS technology tools for strengthening the protection and ensuring the reliable performance of the Nation’s
critical infrastructure through communication, coordination,
and information sharing. It is an Internet-based platform
that enables secure, encrypted, unclassified, and for official
use only (FOUO) communication between DHS and vetted
members within and across CIKR sectors so that partners can
obtain, analyze, and share information. The diagram illustrates how this information exchange capability is used for
two-way and multidirectional information sharing among:
DHS; the Federal Intelligence Community; Federal departments and agencies; State, local, and tribal jurisdictions;
and the private sector. The connectivity of the network also
allows these partners to share information and coordinate
among themselves (e.g., State-to-State coordination). CIKR
partners are grouped into nodes in the information-sharing
network approach.
4.2.1 Supporting the CIKR Protection Mission
The primary objectives of the NIPP networked approach to
information sharing include enhancing situational awareness
and maximizing the ability of government and private sector
partners at all levels to assess risks and execute risk-mitigation
programs and activities. Implementation of the Nation’s CIKR
protection mission depends on the ability of the government
to receive and provide timely, actionable information on
emerging threats to CIKR owners and operators and security
professionals to support the necessary steps to mitigate risk.
Ongoing and future information-sharing initiatives generally
fall within one of four overarching categories:
• Planning: All partners have a stake in setting the individual
information requirements that best suit the needs of each
CIKR sector, driven by the activities in which they need
to participate to mitigate CIKR risk. DHS, in conjunction
with: the SSAs; SCCs; and other State, local, tribal, territorial, and private sector partners, will collaboratively develop
and disseminate an Annual CIKR Protection Information
57
Requirements Report that summarizes the States and the
sectors’ input and makes recommendations for information
requirements. The Information Requirements Report will be
included in the National CIKR Protection Annual Report. In
addition to this process, DHS will coordinate with the Intelligence Community to support information collection that
reflects the emerging requirements provided by the SSAs and
State, local, tribal, territorial, and private sector partners.
• Information Collection: Private sector participation in
information collection generally is voluntary in nature and
includes providing subject matter expertise and operational,
vulnerability, and consequence data. Private sector partners
also report suspicious activity that could signal preoperational terrorist activity to the DHS National Operations
Center (NOC) through the National Infrastructure
Coordinating Center (NICC). Information shared by the
private sector, including that which is protected by PCII or
other approaches, is integrated into government-collected
information to produce comprehensive threat assessments
and threat warning products.
• Analysis: HITRAC is responsible for integrating CIKRspecific vulnerability and consequence data with threat
information to produce actionable risk assessments used to
inform CIKR risk-mitigation activities at all levels. HITRAC
analysts work closely with CIKR sector subject matter
experts and fusion centers to ensure that these products
address the individual requirements of each sector and help
actuate corresponding security activities.
• Dissemination and Decisionmaking: DHS assessments,
such as Site Assistance Visits (SAVs) and Buffer Zone Protection Plans (BZPs), which may include information afforded
PCII protection, are shared across the sectors through electronic dissemination, posting to HSIN portals, and direct
outreach by DHS. During natural disasters, NISAC provides
detailed analyses of the impact of disruptions to CIKR. For
Figure 4-2: NIPP Networked Information-Sharing Approach
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example, annually before each hurricane season, NISAC
posts to HSIN detailed analyses of impacts to CIKR for areas
where hurricane landfall is most likely. Similarly, posted on
HSIN are operational cross-sector and sector-specific daily
and monthly reports that are culled from open sources.
Alerts and notifications of vulnerabilities and incidents are
sent to the CIKR sectors and their partners in Federal, State,
and local agencies as the necessity arises. These efforts and
others provide the private sector with timely, actionable
information to enhance situational awareness and enable
all-hazards planning activities.
4.2.1.1 Balancing the Sharing and Protection of
Information
Effective information sharing relies on the balance between
making information available and the ability to protect information that may be sensitive, proprietary, or the disclosure of
which might compromise ongoing law enforcement, intelligence, or military operations or methods.
Distribution of information is based on using appropriate protocols for information protection. Whether the sharing is topdown (by partners working with national-level information
such as system-wide aggregate data or the results of emergent
threat analysis from the Intelligence Community) or bottom-up (by field officers or facility operators sharing detailed
and location-specific information), the network approach
places shared responsibility on all CIKR partners to maintain
appropriate and protected information-sharing practices.
timely information products, often produced within hours,
that are available for appropriate dissemination to CIKR
partners based on previously specified reporting processes
and data formats.
• Bottom-Up Sharing: State, local, tribal, private sector, and
nongovernmental organizations report a variety of security- and incident-related information from the field using
established communications and reporting channels. This
bottom-up information is assessed by DHS and its partners
in the intelligence and law enforcement communities in
the context of threat, vulnerability, consequence, and other
information to illustrate a comprehensive risk landscape.
On January 18, 2007, the National Program Manager of
the Information Sharing Environment (PM-ISE) and the
Federal Information Sharing Council, both established by
the Intelligence Reform and Terrorism Prevention Act of
2004, incorporated the CIKR ISE into the national ISE framework. The PM-ISE is seated in the Office of the Director of
National Intelligence. Both the National Information Sharing
Strategy issued in October 2007 and the Information Sharing
Environment Implementation Plan issued in November 2006
recognized that private sector participation in the ISE is composed primarily of CIKR owners and operators, and recognized
the role of the NIPP in defining and establishing this portion of
the ISE. The PM-ISE designated IP as the Federal Lead for the
implementation of the CIKR ISE within the national ISE.
4.2.1.2 Top-Down and Bottom-Up Sharing
During incident situations, DHS monitors risk management
activities and CIKR status at the functional/operations level,
the local law enforcement level, and the cross-sector level.
Information sharing may also incorporate information that
comes from pre- and post-event natural disaster warnings
and reports. While information sharing is multidirectional within the networked model, there are two primary
approaches to information sharing during or in response to a
threat or incident.
• Top-Down Sharing: Under this approach, information regarding a potential terrorist threat originates at the national
level through domestic and/or overseas collection and
fused analysis, and is subsequently routed to State and local
governments, CIKR owners and operators, and other Federal agencies for immediate attention and/or action. This
type of information is generally assessed against DHS analysis reports and integrated with CIKR-related information
and data from a variety of government and private sector
sources. The result of this integration is the development of
Organizing and Partnering for CIKR Protection
Threat information that is received from local law enforcement or private sector suspicious activity reporting is routed
to DHS through the NICC and the NOC. The information is
then routed to intelligence and operations personnel to support further analysis or action as required. In the context of
evolving threats or incidents, further national-level analyses
may result in the development and dissemination of a variety
of HITRAC products as discussed in chapter 3. Further
information-sharing and incident management activities are
based on the results of the integrated national analysis and
the needs of key decisionmakers.
DHS also monitors operational information such as changes
in local risk management measures, pre- and post-incident
disaster or emergency response information, and local law
enforcement activities. Monitoring local incidents contributes
to a comprehensive picture that supports incident-related
damage assessment, recovery prioritization, and other
national- or regional-level planning or resource allocation
efforts. Written products and reports that result from the
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ongoing monitoring are shared with relevant CIKR partners
according to appropriate information protection protocols.
4.2.2 The CIKR Information-Sharing Environment
As specified in the Intelligence Reform and Terrorism
Prevention Act of 2004, the Federal Government is working
with State and local partners and the private sector to create the
ISE for terrorism and homeland security information, in which
access to such information is matched to the roles, responsibilities, and missions of all organizations engaged in countering terrorism and is timely and relevant to their needs. It is
important to note that most of the information shared daily
with the CIKR ISE is necessary for coordination and management of risks resulting from natural hazards and accidents.
Consequently, for information sharing to be efficient and
sustainable for CIKR owners and operators, the same environment needs to be used to share terrorism information.
With its breadth of participants and the complexity of the
CIKR protection mission served, CIKR information sharing breaks new ground. It also creates business risks for the
owners and operators. Significant questions are raised, such
as: What information is required for a productive two-way
exchange? How is information most efficiently delivered and
to whom to elicit effective action? How is information—both
proprietary and government—appropriately protected? How
will the sectors take appropriate action in coordination with
all levels of government? How can business risks be mitigated
when an exchange takes place?
Of particular criticality is the coordination of CIKR information sharing at the national level with that at the local level,
where most decisions are made and actions are taken to
support the CIKR protection mission. The integration of the
CIKR ISE into the national ISE as its private sector component,
in recognition of its comprehensiveness and engagement
between CIKR owners and operators and all levels of government, strengthens the foundation for effective coordination.
4.2.2.1 CIKR ISE Coordination and Governance
A necessary component for implementing the CIKR ISE is the
sector partnership model, which provides the framework for
developing requirements for process, policy, technology, levels of performance, and content. It also provides the essential
characteristics for defining the “trusted” environment. By
using the sector partnership model to develop requirements,
the CIKR ISE accommodates a broad range of sector cultures,
operations, and risk management approaches and recognizes
the unique policy and legal challenges for full two-way sharing of information between the CIKR owners and operators
and the various levels of government.
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4.2.2.2 Primary Information-Sharing Support
Mechanisms
The CIKR ISE encompasses a number of mechanisms that
facilitate the flow of information, mitigate obstacles to voluntary information sharing by CIKR owners and operators,
and provide feedback and continuous improvement for NIPP
information-sharing structures and processes. Other supporting technologies and more traditional methods of communications will continue to support CIKR protection, as appropriate,
and will be fully integrated into the network approach.
The Sector Information-Sharing Maturity Model
This capability provides a DHS-supported process to the
Sector and Government Coordinating Councils to identify,
document, develop, and implement, when needed, core
sector-specific and cross-sector coordination and communication business processes among CIKR owners and operators
and their government counterparts at all levels. The five
core processes for each sector include: alerts, warnings, and
notifications; suspicious activity reporting; data management;
incident response communication; and routine steady-state
collaboration and communication. Defining these business
processes in the form of standard operating procedures identifies the necessary participants, clarifies roles and responsibilities, and pre-establishes the necessary and appropriate
related actions to be taken by sector and government participants. This capability includes support for the annual testing
of these business processes by the sectors to ensure their
continued validity and usefulness to their stakeholders.
HSIN
When fully deployed, the HSIN will constitute a robust and
significant information-sharing system that supports NIPPrelated steady-state CIKR protection and NRF-related incident
management activities, as well as serving the informationsharing processes that form the bridge between these two
homeland security missions. The linkage between these sets
of activities results in a dynamic view of the strategic risk
and evolving incident landscape. HSIN functions as one of a
number of mechanisms that enable DHS, the SSAs, and other
partners to share information. When HSIN is fully developed,
users will be able to access ISE terrorism information based on
their roles, responsibilities, and missions. The HSIN is composed of multiple, non-hierarchical communities of interest
(COIs) that offer CIKR partners the means to share information based on secure access. COIs provide virtual areas where
groups of participants with common concerns, such as law
enforcement, counterterrorism, critical infrastructure, emergency management, intelligence, international, and other topics, can share information. This structure allows government
National Infrastructure Protection Plan
and industry partners to engage in collaborative exchanges,
based on specific sector-generated information requirements,
mission emphasis, or interest level. Within the HSIN-Critical
Sectors COI, each sector establishes the rules for participation, including the vetting and verification processes that are
appropriate for the sector CIKR landscape and the requirements
for information protection. For example, in some sectors,
applicants are vetted through the SCC or the ISAC; others may
require participants to be documented members of a specific
profession, such as law enforcement.
DHS and the SSAs work with other partners to measure the
efficacy of the network and to identify areas in which new
mechanisms or supporting technologies are needed. The
HSIN and the key nodes of the NIPP information-sharing
approach are detailed in the following sections. By offering
a user-friendly, efficient conduit for information sharing,
HSIN enhances the combined effectiveness in an all-hazards
environment. HSIN network architecture design is informed
by experience gained by DoD and other Federal agencies in
developing networks to support similar missions. It supports
a secure common operating picture (COP) for all command
or watch centers, including those of supporting emergency
management and public health activities.
4.2.2.3 Facilitating Usefulness of Information: iCAV and
DHS Earth
An important resource that DHS uses to facilitate networkedbased information sharing is the iCAV suite of tools and the
underlying Geospatial Information Infrastructure (GII). The
iCAV and DHS Earth viewers, as well as the GII, provide
mechanisms for: industry; Federal, State, and local governments; and other partners to exchange static and real-time
information supporting situational and strategic awareness
using standards-based information exchange mechanisms.
While the iCAV suite of tools permits the viewing of this
information in a dynamic map, the GII and IDW provide
additional capabilities that allow the data to be shared, stored,
and archived in secure, federally compliant standard formats.
The iCAV suite of tools also provides the ability to integrate
or link a variety of systems and numerous users, ranging
from local first-responders to interested agencies within the
Federal Government. Through iCAV and DHS Earth, DHS
connects previously stove-piped systems, providing consistent, mission-specific COPs across organizational boundaries,
fostering horizontal and vertical CIKR information sharing
with mission partners.
Organizing and Partnering for CIKR Protection
4.2.3 Federal Intelligence Node
The Federal Intelligence Node, which comprises national
Intelligence Community agencies, SSA intelligence offices,
and the DHS Office of Intelligence and Analysis (OI&A), identifies and establishes the credibility of general and specific
threats. This node also includes national, regional, and fieldlevel information-sharing and intelligence center entities that
contribute to information sharing in the context of the CIKR
protection mission.
At the national level, these centers include, but are not limited
to, the HITRAC, the FBI-led National Joint Terrorism Task
Force (NJTTF), the National Counterterrorism Center (NCTC),
and the National Maritime Intelligence Center.
• HITRAC analyzes and integrates threat information and
works closely with components of the other NIPP information-sharing nodes to generate and disseminate threat
warning products and risk analyses to CIKR partners, both
internal and external to the network, as appropriate.
• The NJTTF mission is to enhance communications, coordination, and cooperation among Federal, State, local, and
tribal agencies representing the intelligence, law enforcement, defense, diplomatic, public safety, and homeland
security communities by providing a point of fusion for
terrorism intelligence and by supporting Joint Terrorism
Task Forces (JTTFs) throughout the United States.
• The NCTC serves as the primary Federal organization for
analyzing and integrating all intelligence possessed or
acquired by the U.S. Government that pertains to terrorism
and counterterrorism, except purely domestic counterterrorism information. The NCTC may, as consistent with
applicable law, receive, retain, and disseminate information from any Federal, State, or local government or other
source necessary to fulfill its responsibilities.
• The U.S Coast Guard Intelligence Coordination Center,
collocated with the Office of Naval Intelligence at the National Maritime Intelligence Center, serves as the central
point of connectivity to fuse, analyze, and disseminate
information and intelligence related to the Maritime
Transportation System.
At the regional and field levels, Federal information-sharing
and intelligence centers include entities such as the local
JTTFs, the DHS/DOJ-sponsored Project Seahawk, and FBI Field
Intelligence Groups that provide the centralized intelligence/
information-sharing component in every FBI field office.
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4.2.4 Federal Infrastructure Node
The Federal Infrastructure Node, which comprises DHS,
SSAs, GCCs, and other Federal departments and agencies,
gathers and receives threat, incident, and other operational information from a variety of sources (including a
wide range of watch/operations centers). This information
enables assessment of the status of CIKR and facilitates the
development and dissemination of appropriate real-time
threat and warning products and corresponding protective
measures recommendations to CIKR partners (see chapter
3). Participants in the Federal node collaborate with CIKR
owners and operators to gain input during the development
of threat and warning products and corresponding protective
measures recommendations.
4.2.5 State, Local, Tribal, Territorial, and Regional Node
This node provides links among: DHS; the SSAs; and partners at the State, local, tribal, territorial, and regional levels. Several established communications channels provide
protocols for passing information from the local to the State
to the Federal level and disseminating information from the
Federal Government to other partners. The NIPP network
approach augments these established communications channels by facilitating two-way and multidirectional information
sharing. Members of this node provide incident response,
first-responder information, and reports of suspicious activity to the FBI and DHS for the purposes of awareness and
analysis. Homeland security advisors receive and further disseminate coordinated DHS/FBI threat and warning products,
as appropriate.
Numerous States and urban area jurisdictions also have
established fusion centers or terrorism early warning centers to
facilitate a collaborative process among law enforcement, public safety, other first-responders, and private entities to collect,
integrate, evaluate, analyze, and disseminate criminal intelligence and other information that relates to CIKR protection.
of attacks, and the effects of risk-mitigation actions not only
on risk reduction, but also on business operations within the
private sector.
The CIKR functionality described above should be integrated
with all other SLFC capabilities to assist fusion centers in
achieving their mission. This CIKR functionality should
correlate with and complement the baseline capabilities
developed for SLFCs. Guidance for SLFCs that support CIKR
protection activities is being developed as an appendix to the
Baseline Capabilities for State and Major Urban Area Fusion Centers. (This
document may be obtained at www.it.ojp.gov.) This guidance identifies the additional capabilities that SLFCs should
achieve to effectively integrate CIKR protection activities into
their analytic and information/intelligence-sharing processes
and describes how SLFCs can support risk-reduction efforts
taken by Federal, State, local, and private sector partners.
4.2.6 Private Sector Node
The Private Sector Node includes CIKR owners and
operators, SCCs, ISACs, and trade associations that provide
incident information, as well as reports of suspicious activity that may indicate actual or potential criminal intent
or terrorist activity. DHS, in return, provides all-hazards
warning products, recommended protective measures, and
alert notification to a variety of industry coordination and
information-sharing mechanisms, as well as directly to
affected CIKR owners and operators.
The NIPP network approach connects and augments existing information-sharing mechanisms, where appropriate,
to reach the widest possible population of CIKR owners and
operators and other partners. Owners and operators need
accurate and timely incident and threat-related information in order to effectively: manage risk; enable post-event
response and recovery; and make decisions regarding
protection strategies, partnerships, mitigation plans, security
measures, and investments for addressing risk.
4.2.5.1 State and Local Fusion Centers
Another key mechanism for information exchange at the
local level is the SLFCs. SLFCs are developing or integrating operational capabilities that focus on securing CIKR
and advancing Federal, State, local, and private sector CIKR
protection efforts. These capabilities should incorporate the
dissemination of tailored, timely, and actionable analytical
products related to CIKR to maximize information sharing
and support the risk-reduction activities of the CIKR protection partners. Through such efforts, the capability should
be able to support a comprehensive understanding of the
threat, local CIKR vulnerabilities, the potential consequences
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Information exchange between fusion centers and local
partners:
• Site-specific risk information;
• Interdependency information;
• Suspicious activity reports;
• Communications capability information;
• Adversary tactics, techniques, and procedures;
• Best practices;
• Standard operating procedures for incident response; and
• Emergency contact/alert information.
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HSPD-7 and the NIPP recognize that CIKR sectors have
diverse approaches to establishing their own sectors’
information-sharing programs that will most effectively and
efficiently meet the requirements of their industry structures,
operating cultures, and regulatory regimes. Each sector has
the ability to implement a tailored information-sharing
solution that may include: privately owned and operated
ISACs; voluntary standards development organizations;
or other mechanisms, such as trade associations, security
organizations, and industry-wide or corporate operations
centers, working in concert to expand the flow of knowledge
exchange to all infrastructure owners and operators.
ISACs provide an example of a private sector informationsharing and analysis mechanism. Originally recommended
by Presidential Decision Directive 63 (PDD-63) in 1998,
ISACs are private sector-specific entities that advance physical
and cyber CIKR protection by establishing and maintaining
collaborative frameworks for operational interaction between
and among members and external partners. ISACs, as identified by the sector’s SCC, typically serve as the tactical and
operational arms for sector information-sharing efforts.
ISAC functions include, but are not limited to: supporting
sector-specific information/intelligence requirements for
incidents, threats, and vulnerabilities; providing secure capability for members to exchange and share information on
cyber, physical, or other threats; establishing and maintaining operational-level dialogue with the appropriate governmental agencies; identifying and disseminating knowledge
and best practices; and promoting education and awareness.
ISACs vary greatly in composition (i.e., membership), scope
(e.g., focus and coverage within a sector), and capabilities
(e.g., 24/7 staffing and analytical capacity), as do the sectors
they serve. Most ISACs are members of the ISAC Council,
which provides the mechanism for cross-sector sharing of
operational information. Sectors that do not have ISACs per se
use other mechanisms that participate in the HSIN and other
CIKR protection information-sharing arrangements.
4.2.7 DHS Operations Node
The DHS Operations Node maintains close working relationships with other government and private sector partners
to enable and coordinate an integrated operational picture,
provide operational and situational awareness, and facilitate
CIKR information sharing within and across sectors. DHS and
other Federal watch/operations centers provide, on a 24/7
basis, the capability required to enable the real-time alerts
and warnings, incident reporting, situational awareness, and
assessments needed to support CIKR protection.
The principal purpose of a watch/operations center is to
collect and share information. Therefore, the value and
effectiveness of such centers is largely dependent on a timely,
accurate, and extensive population of information sources.
The NIPP information-sharing network approach virtually
integrates numerous primary watch/operations centers at
various levels to enhance information exchange, providing a
far-reaching network of awareness and coordination.
4.2.7.1 National Operations Center8
The NOC serves as the Nation’s hub for domestic incident
management operational coordination and situational awareness. The NOC is a standing interagency organization that
operates on a 24/7 basis, fusing law enforcement, national
intelligence, emergency response, and private sector reporting. The NOC facilitates homeland security information-sharing and operational coordination among Federal, State, local,
tribal, and private sector partners, as well as select members
of the international community. As such, it is at the center of
the NIPP information-sharing network.
The NOC information-sharing and coordination functions
include:
• Information Collection and Analysis: The NOC maintains
national-level situational awareness and provides a centralized, real-time flow of information. An NOC common operating picture is generated using data collected from across
the country to provide a broad view of the Nation’s current
overall risk and preparedness status. Using the common
operating picture, NOC personnel, in coordination with
the FBI and other agencies, as appropriate, perform initial
assessments to gauge the terrorism nexus and track actions
taking place across the country in response to a threat,
natural disaster, or accident. The information compiled by
the NOC is distributed to partners, as appropriate, and is
accessible to affected CIKR partners through the HSIN.
• Situational Awareness and Incident Response Coordination: The NOC provides the all-hazards information needed
to help make decisions and define courses of action.
• Threat Warning Products: DHS jointly reviews threat
information with the FBI, the Intelligence Community,
and other Federal departments and agencies on a continuous basis. When a threat is determined to be credible and
8 The Federal Response to Hurricane Katrina: Lessons Learned, issued by the Homeland Security Council, February 2006, recommended the establishment
of the NOC as a single entity to unify situational awareness and response, recovery, and mitigation functions. The NOC replaces the DHS Homeland Security
Operations Center.
Organizing and Partnering for CIKR Protection
63
actionable, DHS is responsible for coordinating with these
Federal partners in the development and dissemination of
threat warning products. This coordination ensures, to the
greatest extent possible, the accuracy and timeliness of the
information, as well as concurrence by Federal partners.
DHS disseminates threat warning products to Federal, State,
local, and tribal governments, as well as to private sector
organizations and international partners as COI members
through the HSIN, established email distribution lists, and
other methods, as required:
• Threat Advisories: Contain actionable threat information and
provide recommended protective actions based on the nature
of the threat. They also may communicate a national, regional, or sector-specific change in the HSAS threat condition.
• Homeland Security Assessments: Communicate threat
information that does not meet the timeliness, specificity,
or criticality criteria of an advisory, but it is pertinent to the
security of U.S. CIKR.
The NOC comprises four sub-elements: the NOC
Headquarters Element (NOC-HQE), the National Response
Coordination Center (NRCC), the intelligence and analysis
element, and the NICC:
• NOC Headquarters Element: The NOC-HQE is a multiagency center that provides overall Federal prevention,
protection, and preparedness coordination. The NOC-HQE
integrates representatives from DHS and other Federal
departments and agencies to support steady-state threatmonitoring requirements and situational awareness, as well
as operational incident management planning and coordination. The organizational structure of the NOC-HQE is
designed to integrate a full spectrum of interagency subject
matter expertise, operational planning capability, and
reach-back capability to meet the demands of a wide range
of potential incident scenarios.
• National Response Coordination Center: The NRCC is a
multi-agency team operating from FEMA Headquarters that
functions as the operational component of the DHS NOC.
The NRCC coordinates personnel and resource deployments to support disaster operations and prioritizes interagency allocation of resources. It also maintains situational
awareness linkages with regional, State, and local partners
and a 24/7 watch team.
• Intelligence and Analysis Element: The intelligence and
analysis element is responsible for interagency intelligence
collection requirements, analysis, production, and product
dissemination for DHS, to include homeland security threat
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warnings, advisory bulletins, and other information pertinent to national incident management (see section 4.2.4).
• National Infrastructure Coordinating Center: The NICC,
which operates on a 24/7 basis, is a watch/operations
center that maintains ongoing operational and situational
awareness of the Nation’s CIKR sectors. As a CIKR-focused
element of the NOC, the NICC provides a centralized
mechanism and process for information sharing and coordination among the government, SCCs, GCCs, ISACs, and
other industry partners. The NICC receives situational, operational, and incident information from the CIKR sectors
in accordance with the information-sharing protocols established in the NRF. The NICC also disseminates products
originated by HITRAC that contain all-hazards warning,
threat, risk, and CIKR protection information:
––Alerts and Warnings: The NICC disseminates threat-related
and other all-hazards information products to an extensive customer base of private sector partners.
––Suspicious Activity and Potential Threat Reporting: The NICC
receives and processes reports from the private sector on
suspicious activities or potential threats to the Nation’s
CIKR. The NICC documents the information provided,
compiles additional details surrounding the suspicious
activity or potential threat, and forwards the report to
DHS sector specialists, the NOC, HITRAC, and the FBI.
––Incidents and Events: When an incident or event occurs, the
NICC coordinates with DHS sector specialists, industry
partners, and other established information-sharing
mechanisms to communicate pertinent information. As
needed, the NICC generates reports detailing the incident, as well as the sector impacts (or potential impacts),
and disseminates them to the NOC.
During Hurricanes Gustav and Ike in 2008, the NICC facilitated critical incident-related information sharing between
the government and CIKR owners and operators. Through
the Infrastructure Protection Executive Notification Service
(ENS), the NICC provided situation reports to the SSAs, which,
in turn, contacted their respective CIKR owners and operators and related government agencies to develop impact
assessments. Throughout both hurricanes, the SSAs submitted reports twice daily via a secure Web site. These reports
included information on damage assessments, restoration
activities, and key issues or concerns. The NICC compiled
the SSA reports and uploaded the CIKR portion of the DHS
Situation Report into the COP and/or HSIN-CS for access by
the SSAs and CIKR owners and operators.
National Infrastructure Protection Plan
––National Response Planning and Execution: The NICC supports
the NRF by facilitating information sharing among the
SCCs, GCCs, ISACs, and other partners during CIKR mitigation, response, and recovery activities.
4.2.7.2 National Coordinating Center for
Telecommunications
Pursuant to Executive Order 12472, the National
Communications System (NCS) assists the President, National
Security Council, Homeland Security Council, Office of
Science and Technology Policy (OSTP), and OMB in the
coordination and provision of NS/EP communications for
the Federal Government under all circumstances, including
crisis or emergency, attack, recovery, and reconstitution. As
called for in the Executive Order, the NCS has established
the National Coordinating Center for Telecommunications
(NCC), which is a joint industry-government entity. Under
the Executive Order, the NCC assists the NCS in the initiation,
coordination, and recovery of NS/EP communications services or facilities under all conditions of crisis or emergency.
The NCC regularly monitors the status of communications
systems. It collects situational and operational information
on a regular basis, as well as during a crisis, and provides
information to the NCS. The NCS, in turn, shares information with the White House and other DHS components.
4.2.7.3 United States Computer Emergency
Readiness Team
The United States Computer Emergency Readiness Team
(US-CERT), which operates on a 24/7 basis, is a single
point of contact for cyberspace analysis, warning, information sharing, and incident response and recovery for CIKR
partners. It is a partnership between DHS and the public and
private sectors designed to enable protection of cyber infrastructure and to coordinate the prevention of and response to
cyber attacks across the Nation.
US-CERT coordinates with CIKR partners to disseminate
reasoned and actionable cybersecurity information through a
Web site, accessible through the HSIN, and through mailing
lists. Among the products that it provides are:
• Cybersecurity Bulletins: Weekly bulletins written for
systems administrators and other technical users that
summarize published information concerning new security
issues and vulnerabilities.
• Technical Cybersecurity Alerts: Written for system administrators and experienced users, technical alerts provide
timely information on current security issues, vulnerabilities, and exploits.
Organizing and Partnering for CIKR Protection
• Cybersecurity Alerts: Written in a language for home,
corporate, and new users, these alerts are published in conjunction with technical alerts when there are security issues
that affect the general public.
• Cybersecurity Tips: Tips provide information and advice
on a variety of common security topics. They are published
biweekly and are primarily intended for home, corporate,
and new users.
• National Web Cast Initiative: DHS, through US-CERT and
the Multi-State Information Sharing and Analysis Center
(MS-ISAC), has initiated a joint partnership to develop a
series of national Web casts that will examine critical and
timely cybersecurity issues. The purpose of the initiative is
to strengthen the Nation’s cyber readiness and resilience.
US-CERT also provides a method for citizens, businesses, and
other important institutions to communicate and coordinate
directly with the Federal Government on matters of cybersecurity. The private sector can use the protections afforded by
the Critical Infrastructure Information Act to electronically
submit proprietary data to US-CERT.
4.2.8 Other Information-Sharing Nodes
DHS, other Federal agencies, and the law enforcement community provide additional services and programs that share
information supporting CIKR protection with a broad range of
partners. These include, but are not limited to, the following:
• Sharing National Security Information: DHS sponsors
security clearances for designated private sector owners and
operators to promote the sharing of classified information
using currently available methods and systems.
• FBI Law Enforcement Online (LEO): LEO can be accessed
by any approved employee of a Federal, State, or local law
enforcement agency, or approved member of an authorized
law enforcement special interest group. LEO provides a
communications mechanism to link all levels of law enforcement throughout the United States.
• RISSNET™ is a secure nationwide law enforcement and
information-sharing network that operates as part of the Regional Information Sharing Systems (RISS) Program. RISS is
composed of six regional centers that share intelligence and
coordinate efforts targeted against criminal networks, terrorism, cyber crime, and other unlawful activities that cross
jurisdictional lines. RISSNET features include online access to
a RISS electronic bulletin board, databases, RISS center Web
pages, secure email, a RISS search engine, and other center
resources. The RISS program is federally funded and administered by the DOJ/Bureau of Justice Assistance.
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• FBI InfraGard: InfraGard is a partnership among the FBI,
other governmental entities, and the private sector. The
InfraGard National Membership Alliance is an association
of businesses, academic institutions, State and local law enforcement agencies, and other participants that enables the
sharing of knowledge, expertise, information, and intelligence related to the protection of U.S. CIKR from physical
and cyber threats.
• The United States Coast Guard (USCG) HOMEPORT: The
HOMEPORT Web site is an Internet-enabled venue capable
of supporting the sharing of sensitive information among
Federal, State, local, and private sector maritime regulatory
or security personnel. HOMEPORT is the primary means of
informing members of local Maritime Security Committees.
• Interagency Cybersecurity Efforts: The intelligence and
law enforcement communities have various informationsharing mechanisms in place. Examples include:
––U.S. Secret Service Electronic Crimes Task Forces (ECTFs): ECTFs
prevent, detect, and investigate electronic crimes, cyberbased attacks, and intrusions against CIKR and electronic
payment systems, and provide interagency information
sharing on related issues.
––Cybercop Portal: The DHS-sponsored Cybercop portal is
a secure Internet-based information-sharing mechanism that connects more than 5,300 members of the
law enforcement community, bank investigators, and
the network security specialists involved in electronic
crimes investigations.
4.3 Protection of Sensitive CIKR Information
NIPP implementation will rely greatly on critical infrastructure information provided by the private sector and State
and local governments. Much of this is sensitive business or
security information that could cause serious damage to companies, the economy, and public safety or security through
unauthorized disclosure or access to this information.
The Federal Government has a statutory responsibility to safeguard information collected from or about CIKR activities.
Section 201(d)(12)(a) of the Homeland Security Act requires
DHS to “ensure that any material received pursuant to this
Act is protected from unauthorized disclosure and handled
and used only for the performance of official duties.” DHS
and other Federal agencies use a number of programs and
procedures, such as the PCII Program, to ensure that CIKR
information is properly safeguarded. In addition to the PCII
Program, other programs and procedures used to protect
sensitive information include Sensitive Security Information
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for transportation activities, Unclassified Controlled Nuclear
Information (UCNI), Safeguards Information, contractual provisions, classified national provisions, Classified
National Security Information, Law Enforcement Sensitive
Information, Federal Security Information Guidelines,
Federal Security Classification Guidelines, and other requirements established by law.
4.3.1 Protected Critical Infrastructure Information
Program
The PCII Program was established pursuant to the Critical
Infrastructure Information (CII) Act of 2002. The program
institutes a means for the voluntary sharing of private
sector, State, and local CIKR information with the Federal
Government while providing assurances that the information
will be exempt from public disclosure and will be properly
safeguarded.
The PCII Program, which operates under the authority of the
CII Act and the implementing regulation (6 Code of Federal
Regulations (CFR) Part 29 (the Final Rule)), defines both the
requirements for submitting CII and those that governmental entities must meet for accessing and safeguarding PCII.
DHS remains committed to making PCII an effective tool for
robust information sharing between critical infrastructure
owners and operators and the government. For more information, contact the PCII Program Office at pcii-info@dhs.
gov. Additional PCII Program information may also be found
at www.dhs.gov/pcii.
4.3.1.1 PCII Program Office
The PCII Program Office is responsible for managing PCII
Program requirements, developing protocols for handling
PCII, raising awareness of the need for protected information
sharing between different levels of government and the private sector, and ensuring that programs receiving voluntary
CII submissions that have been validated as PCII use approved
procedures to continuously safeguard submitted information.
The Program Office collaborates with governmental organizations and the private sector to develop information-sharing
partnerships that promote greater homeland security.
4.3.1.2 Critical Infrastructure Information Protection
The following processes and procedures apply to all CII
submissions:
• Individuals or collaborative groups may submit information
for protection to either the PCII Program Office or a Federal
PCII Program Manager Designee;
• The PCII Program Office validates the information as PCII if
it qualifies for protection under the CII Act;
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• All PCII is stored in secure data management systems and
CIKR partners follow PCII Program safeguarding, handling,
dissemination, and storage requirements established in the
Final Rule and promulgated by the PCII Program Office;
• Secure methods are used for disseminating PCII, which
may only be accessed by authorized PCII users who have
taken the PCII Program training (see section 6.2 for PCII
training offerings), have homeland security duties, and
have a need to know for the specific PCII;
• Authorized users must comply with the safeguarding requirements defined by the PCII Program Office; and
• Any suspected disclosure of PCII will be promptly investigated.
The Final Rule invested the PCII Program Manager with the
authority and flexibility to designate certain types of CII as
presumptively valid PCII to accelerate the validation process
and to facilitate submissions directly to the SSAs and other
Federal partners. This is known as a “categorical inclusion.”
Specifically, categorical inclusions allow:
• The PCII Program Manager to establish categories of information for which PCII status will automatically apply;
• Indirect submissions to DHS through DHS field representatives and other Federal partners; and
• The PCII Program Office to designate DHS field representatives and Federal partners other than DHS to receive CII
indirectly on behalf of DHS, but only the PCII Program
Manager is authorized to make the decision to validate a
submission as PCII.
The Final Rule enables submitters to submit their CII directly
to a PCII Program Manager Designee within a given Federal
agency. Interested submitters should contact the PCII Program
Office at [email protected] to determine whether a Federal
partner has an appropriate PCII categorical inclusion program
established. If not, the PCII Program Office will work with
the submitter and the relevant Federal partner to establish a
program and facilitate the application of PCII protections to
the submitter’s CIKR information.
4.3.1.3 Uses of PCII
PCII may be shared with accredited governmental entities,
including authorized Federal, State, or local government
employees or contractors supporting Federal agencies, only
for the purposes of securing CIKR and protected systems.
PCII will be used for analysis, prevention, response, and
recovery of CIKR threatened by terrorism or other hazards.
Organizing and Partnering for CIKR Protection
PCII may be used to generate advisories, alerts, and warnings
relevant to the private sector. Communications available to
the public, however, will not contain any actual PCII. PCII
can be combined with other information, including classified
information to support CIKR protection activities, but must
be marked accordingly.
The CII Act specifically authorizes disclosure of PCII without
the permission of the submitter to:
• Further an investigation or prosecute a criminal act;
• Either House of Congress, to the extent that they address
matters within their jurisdiction, or any related committee,
subcommittee, or joint committee; and
• The Comptroller General or any authorized representative
of the Comptroller General, while performing the duties of
the Government Accountability Office.
4.3.1.4 PCII Protections and Authorized Users
The PCII Program has established policies and procedures to
ensure that PCII is properly accessed, used, and safeguarded
throughout its life cycle. These safeguards ensure that submitted information is:
• Used appropriately for homeland security purposes;
• Accessed only by authorized and properly trained government employees and contractors with homeland security
duties who have a need to know and for non-Federal
government employees who have signed a Non-Disclosure
Agreement;
• Protected from disclosure under the Freedom of Information Act (FOIA) and similar State and local disclosure laws,
and from use in civil litigation and regulatory actions; and
• Protected and handled in a secure manner.
The law and rule prescribe criminal penalties for intentional
unauthorized access, distribution, and misuse of PCII, including the following provisions:
• Federal employees may be subject to disciplinary action, including criminal and civil penalties and loss of employment;
• Contract employees may face termination and the contractor may have its contract terminated; and
• The CII Act sanctions for unauthorized disclosure of PCII
apply only to Federal personnel. In order to become accredited, State and local participating entities must demonstrate
that they can apply appropriate State and local penalties for
improperly handling sensitive information such as PCII.
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PCII is actively used by numerous DHS information collection and assessment tools, including the C/ACAMS, BZPs, and
SAVs. PCII also partners with many Federal agencies, notably
the Department of Health and Human Services (HHS) and
DoD. In addition, the PCII Program actively partners with all
State, local, and territorial governments interested in accessing PCII.
4.3.2 Other Information Protection Protocols
Information protection protocols may impose requirements for
access or other standard processes for safeguarding information. Information need not be validated as PCII to receive security protection and disclosure restrictions. Several categories of
information related to CIKR are considered to be sensitive and
require protection, but are not classified. The major categories
that currently apply to CIKR are discussed below.
4.3.2.1 Sensitive Security Information (SSI)
The Maritime Transportation Security Act, the Aviation
Transportation Security Act, and the Homeland Security
Act establish protection for Sensitive Security Information
(SSI). The Transportation Security Administration (TSA)
and the USCG may designate information as SSI when
disclosure would:
• Be detrimental to security;
• Reveal trade secrets or privileged or confidential information; or
• Constitute an unwarranted invasion of privacy.
Parties accessing SSI must demonstrate a need to know. Holders
of SSI must protect such information from unauthorized disclosure and must destroy the information when it is no longer
needed. SSI protection pertains to government officials, as well
as to Transportation Systems Sector owners and operators.
4.3.2.2 Unclassified Controlled Nuclear Information
(UCNI)
DoD and DOE may designate certain information as UCNI.
Such information relates to the production, processing, or use
of nuclear material; nuclear facility design information; and
security plans and measures for the physical protection of
nuclear materials. This designation is used when disclosure
could affect public health and safety or national security by
enabling illegal production or diversion of nuclear materials
or weapons. Access to UCNI is restricted to those who have
a need to know. Procedures are specified for marking and
safeguarding UCNI.
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4.3.2.3 Safeguards Information (SGI)
Safeguards Information (SGI) is a special category of sensitive unclassified information authorized by Section 147 of
the Atomic Energy Act of 1954, as amended. SGI concerns
the physical protection of operating power reactors, spent
fuel shipments, strategic special nuclear material, or other
radioactive material. While SGI is considered sensitive unclassified information, its handling and protection more closely
resemble the handling of classified Confidential information
than other sensitive unclassified information. The categories
of individuals who are permitted access to SGI and the access
requirements are listed in 10 CFR 73.21.
4.3.2.4 Freedom of Information Act Exemptions and
Exclusions
FOIA was enacted in 1966 and amended and modified by
congressional legislation, including the Privacy Act of 1974,
the Electronic Freedom of Information Act of 1996, and the
OPEN Government Act of 2007. The act established a statutory right of public access to executive branch information
in the Federal Government and generally provides that any
person has a right, enforceable in court, to obtain access to
Federal agency records. Certain records may be protected
from public disclosure under the act if they fall into one of
three special law enforcement exclusions that protect information, such as informants’ names. They may also be protected from public disclosure under the act if they are in one
of nine exemption categories that protect such information as
classified national security data, personnel and medical files,
information that Congress exempted by another statute, trade
secrets or financial information obtained by the government from individuals, information subject to common law
privileges, certain law enforcement records, and information
exempt on privacy grounds.
4.3.2.5 Classified Information
Under amended Executive Orders 12958 and 12829, the
Information Security Oversight Office of the National Archives
is responsible to the President for overseeing the security
classification programs in both government and industry
that safeguard National Security Information (NSI), including
information related to defense against transnational terrorism.
Specific characteristics distinguish classified information
from other sensitive information. These include:
• Information can only be designated as classified by a duly
empowered authority;
• Information classified by one classification authority must
be handled by others in accordance with the guidelines issued by the classifying authority;
National Infrastructure Protection Plan
• Information must be owned by, produced by or for, or
under the control of the Federal Government;
• Unauthorized disclosure of the information could reasonably be expected to result in damage to U.S. national
security; and
• The information falls into one or more of the categories of
information listed below:
––Military plans, weapons systems, or operations;
––Foreign government information;
––Intelligence activities (including special activities), intelligence sources or methods, or cryptology;
––Foreign relations or foreign activities of the United States,
including confidential sources;
––Scientific, technological, or economic matters related to
national security, which includes defense against transnational terrorism;
––Federal Government programs for safeguarding nuclear
materials or facilities;
––Vulnerabilities or capabilities of systems, installations,
infrastructure, projects, plans, or protection services related to national security, which includes defense against
transnational terrorism; or
––Weapons of mass destruction.
Many forms of information related to CIKR protection have
these characteristics. This information may be determined to
be classified information and must be protected accordingly.
4.3.2.6 Physical Security and Cybersecurity Measures
DHS uses strict information security protocols for the access,
use, and storage of sensitive information, including that
related to CIKR. These protocols include both physical security measures and cybersecurity measures. Physical security
protocols for DHS facilities require access control and riskmitigation measures. Information security protocols include
access controls, login restrictions, session tracking, and data
labeling. Appendix 3C provides a discussion of these protections as applied to the IDW.
4.3.2.7 Chemical-Terrorism Vulnerability Information
On April 9, 2007, DHS issued the CFATS. Congress authorized
these interim final regulations (IFR) under section 550 of
the Department of Homeland Security Appropriations Act of
2007, directing the department to identify, assess, and ensure
effective security at high-risk chemical facilities. In section 550,
Organizing and Partnering for CIKR Protection
Congress also acknowledged DHS’s need to both protect and
share chemical facility security information with appropriate
third parties. Consequently, DHS included provisions in the
IFR to create and explain Chemical-Terrorism Vulnerability
Information (CVI), a new category of protected information to
protect extremely sensitive information that facilities develop
for the purposes of complying with the CFATS, which could be
exploited by terrorists. At the same time, CVI allows the sharing of relevant information with State and local government
officials who have a need to know CVI in order to carry out
chemical facility security activities. Before being authorized to
access CVI, individuals will have to complete training to ensure
that they understand and comply with the various safeguarding and handling requirements for CVI.
More information on CFATS and CVI, including the
CVI Procedures Manual, can be found at www.dhs.gov/
chemicalsecurity.
4.4 Privacy and Constitutional Freedoms
Mechanisms detailed in the NIPP are designed to obtain
a high level of security while protecting the privacy, civil
rights, and civil liberties that form an integral part of
America’s national character. In providing for effective protection programs, the processes outlined in the NIPP respect
privacy, freedom of expression, freedom of movement, freedom from unlawful discrimination, and other liberties that
define the American way of life. Compliance with the Privacy
Act and governmental privacy regulations and procedures is
a key factor that is considered when collecting, maintaining,
using, and disseminating personally identifiable information.
The following DHS offices support the NIPP processes:
• DHS Privacy Office: Pursuant to Section 222 the Homeland
Security Act, DHS has designated a Chief Privacy Officer to
establish privacy policy within the Department and to work
with programs and offices to ensure their compliance with
all applicable privacy laws and policies. The DHS Privacy
Office conducts privacy impact assessments which identify
potential privacy risks, details steps programs have taken to
mitigate those potential risks, and makes recommendations
that programs may implement to further reduce risks to
privacy. The DHS Chief Privacy Officer, moreover consults
regularly with privacy advocates, industry experts, and the
public at large to provide transparency and ensure broad input and consideration of privacy issues, so that DHS achieves
solutions that protect privacy while enhancing security.
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• DHS Office for Civil Rights and Civil Liberties: Pursuant to
the Homeland Security Act, the Office for Civil Rights and
Civil Liberties provides legal and policy advice to department leadership on civil rights and civil liberties issues to
ensure our freedoms are preserved while protecting the
homeland. The Office for Civil Rights and Civil Liberties
also investigates and resolves complaints from the public
concerning civil rights and civil liberties abuses or racial,
ethnic, or religious profiling.
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National Infrastructure Protection Plan
5. CIKR Protection as Part of the
Homeland Security Mission
This chapter describes the linkages between the NIPP, the SSPs, and other CIKR protection strategies,
plans, and initiatives that are most relevant to the overarching national homeland security and CIKR
protection missions. It also describes how the unified national CIKR protection effort integrates elements of the homeland security mission, including preparedness and activities to prevent, protect
against, respond to, and recover from terrorist attacks, major disasters, and other emergencies. Sectorspecific linkages to these other national frameworks are addressed in the SSPs.
5.1 A Coordinated National Approach to the
Homeland Security Mission
The NIPP provides the structure needed to coordinate,
integrate, and synchronize activities derived from various
relevant statutes, national strategies, and Presidential directives to create a unified national approach to implementing
the CIKR protection mission. The relevant authorities include
those that address the overarching homeland security and
CIKR protection missions, as well as those that address a
wide range of sector-specific CIKR protection-related functions, programs, and responsibilities. This section describes
how overarching homeland security legislation, strategies,
HSPDs, and related initiatives work together (see figure 5-1).
Information regarding sector-specific CIKR-related authorities
is addressed in the respective SSPs.
5.1.1 Legislation
The Homeland Security Act of 2002 (figure 5-1, column 1)
provides the primary authority for the overall homeland
security mission and establishes the basis for the NIPP, the
SSPs, and related CIKR protection efforts and activities. A
number of other statutes (as described in chapter 2 and
CIKR Protection as Part of the Homeland Security Mission
appendix 2A) provide authorities for cross-sector and sectorspecific CIKR protection activities. Individual SSPs address
relevant sector-specific authorities.
Public Law 110-53, Implementing Recommendations of the
9/11 Commission Act of 2007, further refines and enumerates
the authorities specified in the Homeland Security Act and
formally assigns key infrastructure protection responsibilities
to DHS, including the creation of a database of all national
infrastructure to support cross-sector risk assessment and
management.
5.1.2 Strategies
The National Strategy for Homeland Security, The National
Strategy for the Physical Protection of Critical Infrastructures
and Key Assets, and The National Strategy to Secure Cyberspace
together provide the vision and strategic direction for the CIKR
protection elements of the homeland security mission (see
figure 5-1, column 1). A number of other Presidential strategies, such as the National Intelligence Strategy, provide direction and guidance related to CIKR protection on a national or
sector-specific basis (see appendix 2A).
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5.1.2.1 The National Strategy for Homeland Security
The President’s National Strategy for Homeland Security
(2002) established protection of America’s CIKR as a core
homeland security mission and as a key element of the
comprehensive approach to homeland security and domestic
incident management. This strategy articulated the vision
for a unified “American Infrastructure Protection effort” to
“ensure we address vulnerabilities that involve more than
one infrastructure sector or require action by more than one
agency” and to “assess threats and vulnerabilities comprehensively across all infrastructure sectors to ensure we reduce the
overall risk to the country, instead of inadvertently shifting
risk from one potential set of targets to another.”
This strategy called for the development of “interconnected
and complementary homeland security systems that are
reinforcing rather than duplicative, and that ensure essential
requirements are met … [and] provide a framework to align
the resources of the Federal budget directly to the task of
securing the homeland.”
The 2007 National Strategy for Homeland Security builds
on the first National Strategy for Homeland Security and
complements both the National Security Strategy issued
in March 2006 and the National Strategy for Combating
Terrorism issued in September 2006. It reflects the increased
understanding of threats confronting the United States,
incorporates lessons learned from exercises and real-world
catastrophes, and addresses ways to ensure long-term success
by strengthening the homeland security foundation that has
been built.
5.1.2.2 The National Strategy for the Physical
Protection of Critical Infrastructures and Key Assets
The National Strategy for the Physical Protection of Critical
Infrastructures and Key Assets identifies national policy, goals,
objectives, and principles needed to “secure the infrastructures
and assets vital to national security, governance, public health
and safety, economy, and public confidence.” The strategy:
identifies specific initiatives to drive near-term national protection priorities and inform the resource allocation process;
Figure 5-1: National Framework for Homeland Security
Homeland
Security Strategy
& Legislation
Presidential
Directives
National
Initiatives
The National
Strategy for
Homeland
Security
Homeland
Security
Presidential
Directive 3
National
Incident
Management
System
Homeland
Security Act
Homeland
Security
Presidential
Directive 5
National
Response
Framework
(10/07)
(11/02)
(3/02)
(2/03)
The National
Strategy for the
Physical
Protection of
Critical
Infrastructures
and Key Assets
(2008)
(2008)
Homeland
Security
Presidential
Directive 7
National
Infrastructure
Protection Plan
Homeland
Security
Presidential
Directive 8
National
Preparedness
Guidelines
(12/03)
Coordinated
Approach to
Homeland
Security
(2009)
(2/03)
The National
Strategy to
Secure
Cyberspace
(12/03)
(2007)
(2/03)
Implementing
Recommendations
of the 9/11
Commission Act
Other
Homeland
Security
Presidential
Directives
(8/07)
72
National Infrastructure Protection Plan
identifies key initiatives needed to secure each of the CIKR
sectors; and addresses specific cross-sector security priorities. Additionally, it establishes a foundation for building and
fostering the cooperative environment in which government,
industry, and private citizens can carry out their respective
protection responsibilities more effectively and efficiently.
5.1.2.3 The National Strategy to Secure Cyberspace
The National Strategy to Secure Cyberspace sets forth objectives and specific actions needed to prevent cyber attacks
against America’s CIKR, identifies and appropriately responds
to those responsible for cyber attacks, reduces nationally identified vulnerabilities, and minimizes damage and
recovery time from cyber attacks. This strategy articulates
five national priorities, including the establishment of a
security response system, a threat and vulnerability reduction
program, awareness and training programs, efforts to secure
government cyberspace, and international cooperation.
Priority in this strategy is focused on improving the national
response to cyber incidents, reducing threats from and
vulnerabilities to cyber attacks, preventing cyber attacks that
could affect national security assets, and improving the international management of and response to such attacks.
5.1.2.4 Implementing Recommendations of the 9/11
Commission Act of 2007
This act requires the implementation of some of the recommendations made by the 9/11 Commission, to include
requiring the Secretary of Homeland Security to: (1) establish
department-wide procedures to receive and analyze intelligence from State, local, and tribal governments and the
private sector; and (2) establish a system that screens 100
percent of maritime and passenger cargo. The act also established grants to support high-risk urban areas and State, local,
and tribal governments in preventing, preparing for, protecting against, and responding to acts of terrorism, and to assist
States in carrying out initiatives to improve international
emergency communications.
Title IX of the act requires DHS to establish a common set of
criteria for private sector preparedness in disaster management, emergency management, and business continuity.
These Voluntary Private Sector Preparedness Standards will be
accredited and certified by the American National Standards
Institute (ANSI) and the American Society for Quality (ASQ)
National Accreditation Board (ANAB).
The act also established grants to support high-risk urban
areas and State, local, and tribal governments in preventing,
preparing for, protecting against, and responding to acts of
terrorism.
CIKR Protection as Part of the Homeland Security Mission
5.1.3 Homeland Security Presidential Directives and
National Initiatives
Homeland Security Presidential Directives set national
policies and executive mandates for specific programs and
activities (see figure 5-1, column 2). The first was issued on
October 29, 2001, shortly after the attacks on September 11,
2001, establishing the Homeland Security Council. It was
followed by a series of directives regarding the full spectrum
of actions required to “prevent terrorist attacks within the
United States; reduce America’s vulnerability to terrorism,
major disasters, and other emergencies; and minimize the
damage and recover from incidents that do occur.” A number
of these are relevant to CIKR protection. HSPD-3, Homeland
Security Advisory System, provides the requirement for the
dissemination of information regarding terrorist acts to
Federal, State, and local authorities, and the American people.
HSPD-5 addresses the national approach to domestic incident management; HSPD-7 focuses on the CIKR protection
mission; and HSPD-8 focuses on ensuring the optimal level
of preparedness to protect, prevent, respond to, and recover
from terrorist attacks and the full range of natural and manmade hazards.
This section addresses the Homeland Security Presidential
Directives that are most relevant to the overarching CIKR
protection component of the homeland security mission (e.g.,
HSPD-3, -5, -7, and -8). Other related Presidential directives,
such as: HSPD-9, Defense of the United States Agriculture
and Food; HSPD-10, Biodefense for the 21st Century; and
HSPD-22, Domestic Chemical Defense, are relevant to CIKR
protection in specific sectors and are addressed in further
detail in the appropriate SSPs. Additional HSPDs are also
described in appendix 2A.
5.1.3.1 HSPD-3, Homeland Security Advisory System
HSPD-3 (March 2002) established the policy for the creation
of the HSAS to provide warnings to Federal, State, and local
authorities, and the American people in the form of a set of
graduated threat conditions that escalate as the risk of the
threat increases. At each threat level, Federal departments
and agencies are required to implement a corresponding
set of protective measures to further reduce vulnerability or
increase response capabilities during a period of heightened
alert. The threat conditions also serve as guideposts for the
implementation of tailored protective measures by State,
local, tribal, and private sector partners.
5.1.3.2 HSPD-5, Management of Domestic Incidents
HSPD-5 (February 2003) required DHS to lead a coordinated
national effort with: other Federal departments and agencies;
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State, local, and tribal governments; and the private sector to
develop and implement NIMS and the NRF (see figure 5-1,
column 4).
The NIMS (December 2008) provides a nationwide template
enabling: Federal, State, local, and tribal governments; the
private sector; and nongovernmental organizations to work
together effectively and efficiently to prevent, protect against,
respond to, and recover from incidents regardless of cause,
size, and complexity. The NIMS provides a uniform doctrine for command and management, including: Incident
Command, Multi-Agency Coordination, and Joint Information
Systems; resource, communications, and information management; and application of supporting technologies.
The NRP (December 2004) was superseded by the National
Response Framework (January 2008). Both the NRP and the
NRF were built on the NIMS template to establish a single,
comprehensive framework for the management of domestic
incidents (including threats) that require DHS coordination
and effective response and engaged partnership by an appropriate combination of: Federal, State, local, and tribal governments; the private sector; and nongovernmental organizations. The NRF includes a CIKR Support Annex that provides
the policies and protocols for integrating the CIKR protection
mission as an essential element of domestic incident management and establishes the Infrastructure Liaison function to
serve as a focal point for CIKR coordination at the field level.
5.1.3.3 HSPD-7, Critical Infrastructure Identification,
Prioritization, and Protection
HSPD-7 (December 2003) established the U.S. policy for
“enhancing protection of the Nation’s CIKR.” It mandated
development of the NIPP as the primary vehicle for implementing the CIKR protection policy. HSPD-7 directed the
Secretary of Homeland Security to lead development of the
plan, including, but not limited to, the following four key
elements:
• A strategy to identify and coordinate the protection of
CIKR;
• A summary of activities to be undertaken to prioritize, reduce the vulnerability of, and coordinate protection of CIKR;
• A summary of initiatives for sharing information and for
providing threat and warning data to State, local, and tribal
governments, and the private sector; and
• Coordination and integration, as appropriate, with other
Federal emergency management and preparedness activities, including the NRF and guidance provided in the
National Preparedness Guidelines.
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HSPD-7 also directed the Secretary of Homeland Security
to maintain an organization to serve as a focal point for the
security of cyberspace. The NIPP is supported by a series
of SSPs, developed by the SSAs in coordination with their
public and private sector partners, which detail the approach
to CIKR protection goals, initiatives, processes, and requirements for each sector.
5.1.3.4 HSPD-8, National Preparedness
HSPD-8 (December 2003) mandates the development of
a national preparedness goal, which was finalized in the
National Preparedness Guidelines (see figure 5-1, column 3),
aimed at helping entities at all levels of government build and
maintain the capabilities to prevent, protect against, respond
to, and recover from major events “to minimize the impact
on lives, property, and the economy.”
To do this, the National Preparedness Guidelines provide
readiness targets, priorities, standards for assessments and
strategies, and a system for assessing the Nation’s overall level
of preparedness across four mission areas: prevention, protection, response, and recovery. There are four critical elements
of the National Preparedness Guidelines:
• The National Preparedness Vision, which provides a concise statement of the core preparedness goal for the Nation.
• The National Planning Scenarios, which depict a diverse
set of high-consequence threat scenarios of both potential terrorist attacks and natural disasters. Collectively, the
15 scenarios are designed to focus contingency planning
for homeland security preparedness work at all levels of
government and with the private sector. The scenarios
form the basis for coordinated Federal planning, training,
exercises, and grant investments needed to prepare for
emergencies of all types.
• The Universal Task List (UTL), which is a menu of some
1,600 unique tasks that can facilitate efforts to prevent, protect against, respond to, and recover from the major events
that are represented by the National Planning Scenarios. It
presents a common vocabulary and identifies key tasks that
support the development of essential capabilities among
organizations at all levels. No entity is expected to perform
every task.
• The Target Capabilities List (TCL), which defines 37 specific capabilities that communities, the private sector, and
all levels of government should collectively possess in order
to respond effectively to disasters.
The National Preparedness Guidelines use capabilities-based
planning processes and enable Federal, State, local, and
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tribal entities to prioritize needs, update strategies, allocate
resources, and deliver programs. The guidelines reference
standard planning tools that are applicable to the implementation of the NIPP, including the UTL and the TCL. Like the
NIPP, the UTL and TCL are living documents that will be
enhanced and refined over time.
Annex 1 (December 2007) to HSPD-8 established a standard
and comprehensive approach to national planning intended to
enhance the preparedness of the Nation. The annex articulated
the U.S. Government policy “to integrate effective policy and
operational objectives to prevent, protect against, respond to,
and recover from all hazards, and comprises: (a) a standardized
Federal planning process; (b) national planning doctrine; (c)
resourced operational and tactical capabilities at each Federal
department and agency with a role in homeland security; (d)
strategic guidance, strategic plans, concepts of operations, and
operations plans and, as appropriate, tactical plans; and (e) a
system for integrating plans among all levels of government.”
5.1.3.5 HSPD-19, Combating Terrorist Use of Explosives
in the United States
In February 2007, the President signed HSPD-19, Combating
Terrorist Use of Explosives in the United States, requiring
the Attorney General to develop a report for the President,
including a national strategy and recommendations, on how
to more effectively deter, prevent, detect, protect against, and
respond to explosive attacks, including the coordination of
Federal Government efforts with State, local, tribal, and territorial governments, first-responders, and private sector organizations. HSPD-19 required that the “Attorney General, in
coordination with the Secretaries of Defense and Homeland
Security and the heads of other Sector-Specific Agencies (as
defined in HSPD-7) and agencies that conduct explosive
attack detection, prevention, protection, or response activities
…develop an implementation plan.” HSPD-19 required that
the plan implement its policy and any approved recommendations in the report and “include measures to (a) coordinate
the efforts of Federal, State, local, territorial, and tribal government entities to develop related capabilities, (b) allocate
Federal grant funds effectively, (c) resourced operational and
tactical capabilities at each Federal department and agency
with a role in homeland security; (d) coordinate training
and exercise activities, and (e) incorporate, and strengthen as
appropriate, existing plans and procedures to communicate
accurate, coordinated, and timely information regarding a
potential or actual explosive attack to the public, the media,
and the private sector.”
CIKR Protection as Part of the Homeland Security Mission
The HSPD-19 report presents a holistic approach for improving the Nation’s ability to deter, prevent, detect, protect
against, and respond to the threat of terrorist explosive and
IED attacks on the homeland. The report provides 35 recommendations to enhance and align our current counter-IED
capabilities and concludes that in order to improve our
national CIKR protection posture, there must be a systematic
approach in which all deterrence, prevention, detection,
protection, and response efforts are unified. The strategy and
recommendations provide a way forward that streamlines
and enhances current activities, reducing conflict, confusion,
and duplication of effort among interagency partners. The
Implementation Plan builds on the policies, strategy, and
guidance set forth by the President in HSPD-19 and outlined
by the Attorney General and interagency partners in the
HSPD-19 Report to the President.
The Secretary of Homeland Security designated IP to coordinate the department’s activities and represent DHS in the
DOJ-led implementation of HSPD-19. IP efforts to enhance
and coordinate the Nation’s ability to detect, deter, prevent,
and respond to IED attacks against critical infrastructure, key
resources, and soft targets include: (1) coordinating national
and intergovernmental IED security efforts; (2) conducting
requirements, capabilities, and gap analyses; and (3) promoting information-sharing and IED security awareness. DHS
collaborated with DOJ to develop the Implementation Plan for
Combating Terrorist Use of Explosives in the United States.
HSPD-19 also assigns to DHS specific roles and responsibilities for information sharing and counter-IED research,
development, testing, and evaluation. HSPD-19 states that
the Secretary of Homeland Security, in coordination with
the Attorney General, the Director of National Intelligence,
and the Secretaries of State and Defense, will establish and
maintain secure information-sharing systems to provide law
enforcement agencies and other first-responders with access
to detailed information that enhances the preparedness of
Federal, State, local, tribal, and territorial government personnel to deter, prevent, detect, protect against, and respond
to explosive attacks in the United States.
Additionally, HSPD-19 states that the Secretary of Homeland
Security, in coordination with the Attorney General, the
Secretary of Defense, and the Director of the Office of Science
and Technology Policy, is responsible for coordinating Federal
Government research, development, testing, and evaluation
activities related to the detection and prevention of, protection
against, and response to explosive attacks and the development
of explosives render-safe tools and technologies.
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5.2 The CIKR Protection Component of the
Homeland Security Mission
The result of this interrelated set of national authorities,
strategies, and initiatives is a common, holistic approach
to achieving the homeland security mission that includes
an emphasis on preparedness across the board and on the
protection of America’s CIKR as a steady-state component of
routine, day-to-day business operations for government and
private sector partners.
The NIPP and NRF are complementary plans that span a
spectrum of prevention, protection, response, and recovery
activities to enable this coordinated approach on a day-to-day
basis, as well as during periods of heightened threat. The NIPP
and its associated SSPs establish the Nation’s steady-state level
of protection by helping to focus resources where investment
yields the greatest return in terms of national risk management. The NRF addresses response and short-term recovery in
the context of domestic threat and incident management. The
National Preparedness Guidelines support implementation of
both the NIPP and the NRF by establishing national priorities
and guidance for building the requisite capabilities to support
both plans at all levels of government.
Each of the guiding elements includes specific requirements
for DHS and other Federal departments and agencies to build
engaged partnerships and work in cooperation and collaboration with State, local, tribal, and private sector partners. This
cooperation and collaboration between government and
private sector owners and operators is specifically applicable
to the CIKR protection efforts outlined in the NIPP.
The NIPP risk management framework, partnership model,
and information-sharing mechanisms are structured to support coordination and cooperation between the public and
private sectors while recognizing the differences between
and within sectors, acknowledging the need to protect
sensitive information, establishing processes for information
sharing, and providing for smooth transitions from steadystate operations to incident response.
Homeland security plans and strategies at the State, local, and
tribal levels of government address CIKR protection within
their respective jurisdictions, as well as mechanisms for
coordination with various regional efforts and other external
entities. The NIPP also is designed to work with the range
of CIKR protection-related plans and programs instituted by
the private sector, both through voluntary actions and as a
result of various regulatory requirements. These plans and
programs include business continuity and resilience measures. NIPP processes are designed to enhance coordination,
cooperation, and collaboration among CIKR partners within
and across sectors to synchronize related efforts and avoid
duplicative or unnecessarily costly security requirements.
5.3.1 Sector-Specific Plans
Based on guidance from DHS, the SSPs were developed
jointly by the SSAs in close collaboration with the SCCs,
GCCs, and others, including State, local, and tribal CIKR partners with key interests or expertise appropriate to the sector.
The SSPs provide the means by which the NIPP is implemented across all sectors, as well as a national framework for
each sector that guides the development, implementation,
and updating of State and local homeland security strategies
and CIKR protection programs. The SSPs for the original 17
sectors were officially released on May 21, 2007, after review
and comment by the Homeland Security Council’s Critical
Infrastructure Protection Policy Coordination Committee.
The SSP for the Critical Manufacturing Sector is under development and is scheduled for release in 2009.
Those SSPs that are available for general release may be
downloaded from: http://www.dhs.gov/nipp (click on
Sector-Specific Plans). If an SSP is not posted there, it is
marked as FOUO. To request copies of the FOUO SSPs,
please contact the responsible SSA, or the NIPP Program
Management Office ([email protected]).
The SSPs are tailored to address the unique characteristics and
risk landscapes of each sector while also providing consistency for protective programs, public and private protection
investments, and resources. The SSPs serve to:
5.3 Relationship of the NIPP and SSPs to
Other CIKR Plans and Programs
• Define sector partners, authorities, regulatory bases, roles
and responsibilities, and interdependencies;
The NIPP and the SSPs outline the overarching elements
of the CIKR protection effort that generally are applicable
within and across all sectors. The SSPs are an integral component of the NIPP and exist as independent documents
to address the unique perspective, risk landscape, and
methodologies and approaches associated with each sector.
• Establish or institutionalize already existing procedures for
sector interaction, information sharing, coordination, and
partnership;
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• Establish the goals and objectives, developed collaboratively
among sector partners, that are required to achieve the
desired protective posture for the sector;
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• Identify international considerations;
• Identify areas for government action above and beyond an
owner/operator or sector risk model; and
• Identify the sector-specific approach or methodology that
SSAs use, in coordination with DHS and other sector partners, to conduct the following activities through the NIPP
framework:
––Identify priority CIKR and functions within the sector,
including cyber considerations;
––Assess sector risks, including potential consequences,
vulnerabilities, and threats;
––Assess and, as appropriate, prioritize assets, systems,
networks, and functions of national-level significance
within the sector;
––Develop risk-mitigation programs based on detailed
knowledge of sector operations and risk landscape;
––Provide protocols to transition between steady-state
CIKR protection and incident response in an all-hazards
environment;
––Use metrics to measure and communicate program effectiveness and risk management progress within the
sector;
––Address R&D requirements and activities relevant to the
sector; and
––Identify the process used to promote cooperation and
information sharing within the sector.
The structure for the SSPs facilitates cross-sector comparisons
and coordination by DHS and other SSAs.
5.3.2 State, Regional, Local, Tribal, and Territorial CIKR
Protection Programs
The National Preparedness Guidelines define the development and implementation of a CIKR protection program as a
key component of State, regional, local, tribal, and territorial
homeland security programs. Creating and managing a CIKR
protection program for a given jurisdiction entails building
an organizational structure and mechanisms for coordination
between government and private sector entities that can be
used to implement the NIPP risk management framework.
This includes taking action within the jurisdiction to: set
goals and objectives; identify assets, systems, and networks;
assess risks; set priorities for CIKR across sectors and jurisdictional levels; implement protective programs and resiliency
CIKR Protection as Part of the Homeland Security Mission
strategies; measure the effectiveness of risk management
efforts; and share information among relevant public and private sector partners. These elements form the basis of focused
CIKR protection programs and guide the implementation
of the relevant CIKR protection-related goals and objectives
outlined in State, local, and tribal homeland security strategies. To assist in the development of such CIKR protection
programs, DHS issued a collaboratively developed Guide to
Critical Infrastructure and Key Resources Protection at the
State, Regional, Local, Tribal, and Territorial Levels (2008).
The guide can be downloaded at www.dhs.gov/nipp.
In a regional context, the NIPP risk management framework
and information-sharing processes can be applied through
the development of a regional partnership model or the
use of existing regional coordinating structures. Effective
regional approaches to CIKR protection involve coordinated
information sharing, planning, and sharing of costs. Regional
approaches also include exercises to bring public and private
sector partners together around: a shared understanding
of the challenges to regional resilience; analytical tools to
inform decisionmakers on risk and risk management, with
the associated benefits and costs; and forums to enable
decisionmakers to formulate protective measures and identify
funding requirements and resources within and across sectors and jurisdictions.
State, regional, local, tribal, and territorial CIKR protection
efforts enhance implementation of the NIPP and the SSPs by
providing unique geographical focus and cross-sector coordination potential. To ensure that these efforts are consistent
with other CIKR protection planning activities, the basic
elements to be incorporated in these efforts are provided in
appendix 5A. The recommended elements described in this
appendix: recognize the variations in governance models
across the States; recognize that not all sectors are represented
in each State or geographical region; and are flexible enough
to reflect varying authorities, resources, and issues within
each State or region.
5.3.3 Other Plans or Programs Related to CIKR
Protection
Federal partners should review and revise, as necessary, other
plans that address elements of CIKR protection to ensure
that they support the NIPP in a manner that avoids duplication and unnecessary layers of CIKR protection guidance.
Examples of government plans or programs that may contain
relevant prevention, protection, and response protocols or
activities that relate to or affect CIKR protection include
plans that address: State, local, and tribal hazard mitigation;
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continuity-of-operations (COOP); continuity-of-government
(COG); environmental, health, and safety operations; and
integrated contingency operations. Review and revision of
State, local, and tribal strategies and plans should be completed in accordance with overall homeland security and
grant program guidance.
Private sector owners and operators develop and maintain
plans for business risk management that include steady-state
security and facility protection, as well as business continuity and emergency management plans. Many of these plans
include heightened security requirements for CIKR protection
that address the terrorist threat environment. Coordination
with these planning efforts is relevant to effective implementation of the NIPP. Private sector partners are encouraged to
consider the NIPP when revising these plans and to work with
government partners to integrate their efforts with Federal,
State, local, and tribal CIKR protection efforts, as appropriate.
5.4 CIKR Protection and Incident Management
Together, the NIPP and the NRF provide a comprehensive,
integrated approach to addressing key elements of the
Nation’s homeland security mission to prevent terrorist
attacks, reduce vulnerabilities, and respond to incidents in an
all-hazards context. The NIPP establishes the overall risk-informed approach that defines the Nation’s steady-state posture
with respect to CIKR protection and resiliency, while the
NRF and NIMS provide the overarching framework, mechanisms, and protocols required for effective and efficient
domestic incident management. The NIPP risk management
framework, information-sharing network, and partnership
model provide vital functions that, in turn, inform and
enable incident management decisions and activities.
5.4.1 The National Response Framework
The NRF provides an all-hazards approach that incorporates
best practices from a wide variety of disciplines, including
fire, rescue, law enforcement, public works, and emergency
medical services. The operational and resource coordinating structures described in the NRF are designed to support
decisionmaking during the response to a specific threat or
incident and serve to unify and enhance the incident management capabilities and resources of individual agencies and
organizations acting under their own authority. The NRF
applies to a wide array of natural disasters, terrorist threats
and incidents, and other emergencies.
The NRF core document and annexes, including the CIKR
Support Annex, describe processes for coordination among:
78
various Federal departments and agencies; State, local, and
tribal governments; and private sector partners, both for
pre-incident preparedness, and post-incident response and
short-term recovery. The NRF specifies incident management roles and responsibilities, including emergency support
functions designed to expedite the flow of resources and
program support to the incident area. The SSAs and other
Federal departments and agencies have roles within the NRF
structure that are distinct from, yet complementary to, their
responsibilities under the NIPP. Ongoing implementation
of the NIPP risk management framework, partnerships, and
information-sharing networks sets the stage for CIKR security and restoration activities within the NRF by providing
mechanisms to quickly assess the impact of the incident on
both local and national CIKR, assist in establishing priorities
for CIKR restoration, and augment incident-related information sharing.
5.4.2 Transitioning From NIPP Steady-State to Incident
Management
The variety of alert and warning systems that exist for natural
hazards, technological or industrial accidents, and terrorist
incidents provide the bridge between steady-state operations
using the NIPP risk management framework and incident
management activities using the NRF concept of operations.
These all-hazards alert and warning mechanisms include
programs such as National Weather Service hurricane and
tornado warnings, and alert and warning systems established
around nuclear power plants and chemical stockpiles. In the
context of terrorist incidents, HSAS provides a progressive
and systematic approach that is used to match protective
measures to the Nation’s overall threat environment. This
link between the current threat environment and the corresponding protective actions related to specific threat vectors
or scenarios and to each HSAS threat level provides the
indicators used to transition from the steady-state processes
detailed in the NIPP to the incident management processes
described in the NRF.
DHS and CIKR partners develop and implement stepped-up
protective actions to match the increased terrorist threat
conditions specified by HSAS, and to address various other
all-hazards alerts and warning requirements. As warnings
or threat levels increase, NRF coordinating structures are
activated to enable incident management. DHS and CIKR
partners carry out their NRF responsibilities and also use
the NIPP risk management framework to provide the CIKR
protection dimension of incident operations. The NRF CIKR
Support Annex describes the concept of operations and
details the activities needed to support public-private sector
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incident operations and requirements, as well as to provide
situational awareness, analysis, and prioritized recommendations to inform incident management decisions. When an
incident occurs, regardless of the cause, the NRF is implemented for overall coordination of domestic incident management activities. The CIKR Support Annex includes a process
for considering requests for assistance from CIKR owners and
operators. Implementation of the CIKR Support Annex and
the NIPP risk management framework facilitates those actions
directly related to the current threat status, as well as incident prevention, response, and recovery. The NRF and CIKR
Support Annex can be found at www.fema.gov/NRF.
The process for integrating CIKR protection with incident
management and transitioning from NIPP steady-state processes to NRF incident management coordination includes
the following actions by DHS, SSAs, and other CIKR partners:
• Increasing protection levels to correlate with the specific
threat vectors or threat level communicated through HSAS
or other relevant all-hazards alert and warning systems, or
in accordance with sector-specific warnings using the NIPP
information-sharing networks;
• Using the NIPP information-sharing networks and risk
management framework to review and establish national
priorities for CIKR protection; facilitating communications
between CIKR partners; and informing the NRF processes
regarding priorities for response and recovery of CIKR
within the incident area, as well as on a national scale;
• Fulfilling roles and responsibilities as defined in the NRF
for incident management activities; and
• Working with sector-level information-sharing entities and
owners and operators on information-sharing issues during
the active response mode.
In addition, the DHS Office of Public Affairs has an established communications protocol to facilitate timely information exchange and necessary coordination with the CIKR
sectors and their Federal, State, local, and private sector
partners during those national-level incidents that involve a
coordinated Federal response.
CIKR Protection as Part of the Homeland Security Mission
79
6. Ensuring an Effective, Efficient
Program Over the Long Term
This chapter addresses the efforts needed to ensure an effective, efficient CIKR protection program over
the long term. It focuses particularly on the long-lead-time elements that require sustained plans and
investments over time, such as generating skilled human capital, developing high-tech systems, and
building public awareness.
Key activities needed to enhance CIKR protection and resiliency over the long term include:
• Building national awareness to support the CIKR protection
program and related investments by ensuring a focused understanding of the all-hazards risk environment and what is
being done to protect and enable the timely restoration of
the Nation’s CIKR in light of such threats;
• Enabling education, training, and exercise programs to
ensure that skilled and knowledgeable professionals and experienced organizations are able to undertake NIPP-related
responsibilities in the future;
• Conducting R&D and using technology to improve protective capabilities or resiliency strategies or to lower the costs
of existing capabilities so that CIKR partners can afford to
do more with limited budgets;
• Developing, protecting, and maintaining data systems and
simulations to enable continuously refined risk assessment
within and across sectors and to ensure preparedness for
domestic incident management; and
• Continuously improving the NIPP and associated plans and
programs through ongoing management and revision, as
required.
Ensuring an Effective, Efficient Program Over the Long Term
6.1 Building National Awareness
DHS, in conjunction with the SSAs and other CIKR partners,
is responsible for implementing a comprehensive national
awareness program that focuses on public and private sector
understanding of the CIKR all-hazards risk environment
and motivates actions that support the sustainability of CIKR
protection, investments, and risk management initiatives.
Objectives of the CIKR national awareness program are to:
• Incorporate CIKR protection and restoration considerations
into business planning and operations, including employee
and senior manager education and training programs,
across all levels of government and the private sector;
• Support public and private sector decisionmaking; enable
relevant and effective strategic planning for CIKR protection
and restoration; and inform resource allocation processes;
• Foster an understanding of:
– CIKR dependencies and interdependencies, and the value
of cross-sector CIKR protection and restoration planning
down to the community level;
– Evolving threats to CIKR as assessed by the intelligence
community and in the context of HSAS; and
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– Efforts to address the threat environment and enhance
CIKR protection, resiliency, and rapid restoration.
DHS and other Federal agencies also engage in comprehensive national cyberspace security awareness campaigns to
remove impediments to sharing vulnerability information
among CIKR partners. This campaign includes audience-specific awareness materials, expansion of the Stay Safe Online
campaign, and development of awards programs for those
making significant contributions to the effort.
A Continuum of Capability Development
This document establishes a framework to enable awareness, education, training, and exercise programs that allow
people and organizations to develop and maintain the core
competencies and expertise required for effective implementation of the CIKR protection mission. Building the requisite
individual and organizational capabilities requires attracting,
training, and maintaining sufficient numbers of professionals who have the particular expertise unique or essential to
CIKR protection. This, in turn, requires individual education
and training to develop and maintain the requisite levels of
competency through technical, academic, and professional
development programs. It also requires organizational training and exercises to validate the processes and enhance the
efficiency and effectiveness of CIKR programs.
As illustrated in figure 6-1, outreach and awareness create the
foundation on which a comprehensive CIKR education and
training program can be built. Exercises provide an objective assessment of an entity’s or individual’s capabilities, thus
identifying areas for improvement and highlighting training
gaps and needs.
The objectives of NIPP-related training and education programs are to:
• Provide an integrated, coordinated approach to NIPP and
CIKR-related education and training that energizes and
involves all partners;
• Develop and implement grassroots education and training
programs that communicate effectively with key audiences;
and
• Maximize coordination, deepen relationships, and broaden
the participation and practices required for implementing
the NIPP and the SSPs.
The framework for education, training, and exercise is
discussed below.
6.1.1 Education and Training
CIKR threat mitigation and protection have a broad target audience. Emphasis, for the purposes of education and training, is
Figure 6-1: Continuum of CIKR Capability Development
Outreach
Awareness
Education
Training
Exercise
Outreach and Awareness Plan
Press Releases
Marketing Materials
Briefings
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Education and Training Plan
General Awareness/Understanding Modules
(e.g., NIPP Overview – IS 860)
Webinars
Academic and Research Programs
Professional Continuing Education
Competency-Based Skills Training Courses
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placed on these target audiences as collections of individuals
rather than as organizations or entities, since it is the engagement and decisionmaking of those individuals, operating
in their own areas of expertise and responsibility, that will
determine the success of the public-private CIKR partnership.
• Others, including international partner executives, security
managers, program managers, and specialists.
It is crucial to understand these audiences and the similarities
and differences among them in order to ensure the effective
and efficient delivery of CIKR-related education and training.
The following is a description of the primary CIKR training
target audiences:
The U.S. Office of Personnel Management defines a competency as “a measurable pattern of knowledge, skills, abilities,
behaviors, and other characteristics that an individual needs
to perform work roles or occupational functions successfully.” A competency model is a collection of competencies
that together define the elements required for performance.
The CIKR competency model, illustrated in figure 6-2, provides the following:
• State, local, tribal, and territorial government officials;
SLTTGCC members; State elected officials; Homeland
Security Directors and Advisors; emergency managers;
program managers; and specialists;
• IP personnel, senior executives, program managers/analysts, PSAs, training managers, and specialists;
6.1.2 Core Competencies for Implementing CIKR
Protection
• Define education and training requirements;
• Organize existing education and training efforts;
• Identify education and training gaps;
• The SSA and other Federal agency personnel; senior executives, program managers, and specialists;
• Set forth a business case for education and training investments; and
• Regional consortium members;
• Establish performance metrics.
• Owner/operator executives, security managers, program
managers, and specialists; and
Each competency area is defined in table 6-1, which follows
figure 6-2.
Figure 6-2: Developing CIKR Core Competencies
Ensuring an Effective, Efficient Program Over the Long Term
83
Table 6-1: CIKR Competency Areas
Area
Includes Knowledge and Skills To . . .
Risk Analysis
• Perform accurate, documented, objective, defensible, transparent, and complete
analyses.
• Support executive and managerial decisionmaking related to CIKR programs.
Protective Measures/
Mitigation Strategies
• Establish CIKR program goals and objectives based on risk analysis and riskreduction return on investment.
• Plan, develop, and implement CIKR-related projects, measures, and activities.
Take advantage of existing emerging and anticipated methods and technologies in
order to develop effective strategies, projects, and activities.
• Implement continuous feedback mechanisms.
Partnership Building/
Networking
• Understand the roles and responsibilities of all partners.
• Establish mechanisms for interacting with partners and exchanging information
and resources (including best practices).
Information Collection & • Use systems, tools, and protocols to collect, analyze, organize, report, and
Reporting (Information
evaluate information.
Sharing)
• Communicate and share information with sector partners at each tier of
governance, including sector-specific, across sectors, and within the private sector.
Program Management
• Establish sector-specific or jurisdictional CIKR goals and plans.
• Identify and prioritize CIKR projects, strategies, and activities for a sector or
jurisdiction.
• Manage a CIKR program on schedule, within budget, and in compliance with
performance standards.
• Design and implement continuous feedback mechanisms at the program level.
• Develop and implement CIKR training plans.
Metrics & Program
Evaluation
• Define and establish CIKR metrics based on goals and objectives.
• Establish data collection and measurement plans, systems, and tools.
• Collect and analyze data.
• Report findings and conclusions.
• Note: This area includes the specialized (sector-specific) expertise required to
Technical & Tactical
Expertise (Sector- Specific) plan, implement, and evaluate technical and tactical activities, measures, and
programs.
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National Infrastructure Protection Plan
The training delivery levels identified in figure 6-2 represent
a cumulative structure that begins with basic awareness and
progresses to the expert knowledge and skills required to
perform specific CIKR-related tasks and functions. Training
and education programs typically fall into these levels:
• Awareness Materials: Motivate or inform course participants about CIKR-related concepts, principles, policies, or
procedures.
• College Courses: Present advanced CIKR knowledge, research, and theories to promote professional development.
• Skill Development Sessions: Focus on improving the performance of specific CIKR functions and tasks, both during
training and in the workplace.
• Exercises: Reinforce and test CIKR skill acquisition, processes, and procedures.
• Job Aids: Include tools or resources (such as guides, checklists, templates, and decision aids) that allow an individual
to quickly access the CIKR information that he/she needs to
perform a task.
6.1.3 Individual Education and Training
Building and sustaining capabilities to implement the NIPP
involves a complex approach to the education and training
effort that leverages existing accredited academic programs,
professional certification standards, and technical training
programs. This requires an effort with a national scope that
includes, but is not limited to, the following components:
• Training to provide individuals with the skills needed to
perform their roles and responsibilities under the NIPP and
the SSPs;
• Academic and research programs that result in formal degrees from accredited institutions; and
• Professional continuing education, which incorporates the
latest advances in CIKR risk-mitigation approaches and,
where appropriate, certification based on government,
industry, and professional organization standards.
To enable each of these components, the specific areas of
emphasis are discussed in the subsections that follow.
6.1.3.1 CIKR Protection Training
DHS, SSAs, and other CIKR partners offer a wide array of
training programs designed to enhance core competencies
and build the capabilities needed to support NIPP and SSP
implementation among the various target audiences. The level
and content of training programs vary based on sector requireEnsuring an Effective, Efficient Program Over the Long Term
ments. Some sectors rely on the use of established training programs, while others develop courses to meet specific tactical or
technical objectives. DHS offers NIPP-awareness-level training
through the FEMA Emergency Management Institute (EMI).
The independent study course (IS 860) is available online or
for classroom delivery. This course provides a foundation of
the basic principles of the NIPP, including the risk management framework and partnership model, information sharing,
and roles and responsibilities.
DHS, SSAs, and other CIKR partners offer courses that
enhance CIKR protection. One of the ongoing objectives of
NIPP- and SSP-related training is to identify and align training that enhances the core competencies and provides the
appropriate level of training and development opportunities
for each of the identified training audiences.
NIPP and SSP-related training and education programs, to date,
focus on enhancing risk management, information collection,
and the tactical and technical competencies required to detect,
deter, defend, and mitigate against terrorist activities and other
incidents. DHS and other Federal agencies support and provide training resources to local law enforcement and others,
with a special focus on urban areas with significant clusters of
CIKR, localities where high-profile special events are typically
scheduled, or other potentially high-risk geographical areas
or jurisdictions. Federally provided technical training covers
a range of topics such as buffer zone protection, bombing
prevention, workforce terrorism awareness, surveillance detection, high-risk target awareness, WMD incident training, and
continuity-of-operations training.
DHS supports cybersecurity training, education, and awareness programs by educating vendors and manufacturers on the
value of: pre-configuring security options in products so that
they are secure on initial installation; educating users on secure
installation and use of cyber products; increasing user awareness and ease of use of the security features in products; and,
where feasible, promotion of industry guidelines. These training efforts also encourage programs that leverage the existing
Federal Cyber Service: Scholarship for Service Program, as well
as various graduate and post-doctoral programs; link Federal
cybersecurity and computer forensics training programs; and
establish cybersecurity programs for departments and agencies,
including awareness, audits, and standards, as required.
DHS solicits recommendations from national professional
organizations and from Federal, State, local, tribal, and private sector partners for additional discipline-specific technical
training courses related to CIKR protection and supports
course development, as appropriate.
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6.1.3.2 Academic Programs
DHS works with a wide range of academic institutions to
incorporate CIKR protection into professional education
programs with majors or concentrations in this mission area.
DHS collaborates with universities to incorporate homeland
security-related curriculum, sponsors a post-graduate level
program at the Naval Postgraduate School in homeland
defense and security, and collaborates with other higher education programs. These venues offer opportunities to incorporate concentrations in various aspects of CIKR protection as
part of the multidisciplinary degree programs.
DHS is promoting the development of a long-term higher
education program that will include academic degrees and
adult education. The program is being developed through a
collaborative effort involving the IP, the S&T Universities and
Centers for Excellence Programs, TSA, and others. The initial
program is being developed in conjunction with the National
Transportation Security Center for Excellence (NTSCOE),
which brings together a number of academic institutions
with a mandate to build education and training programs
relevant to the CIKR protection mission. This initiative provides the framework for the identification, development, and
delivery of critical infrastructure courses for the transportation industry. The initiative will lead to the implementation
of adult education and academic degree programs as part of a
multidisciplinary core curriculum applicable across all critical
infrastructure sectors.
DHS will examine existing cybersecurity programs within
the research and academic communities to determine their
applicability as models for CIKR protection education and
broad-based research. These programs include:
• Co-sponsorship of the National Centers of Academic Excellence in Information Assurance Education (CAEIAE) and CAE
research programs with the National Security Agency; and
• Collaboration with the National Science Foundation to cosponsor the Federal Cyber Service: Scholarship for Service
Program. The Scholarship for Service Program provides
grant money to selected CAEIAE universities to fund the final 2 years of student bachelor’s, master’s, or doctoral study
in information assurance in exchange for an equal amount
of time spent working for the Federal Government.
DHS will ensure that the NCIP R&D Plan appropriately
considers the human capital needs for protection-related R&D
by incorporating analysis of the research community’s future
need for advanced degrees in protection-related disciplines
into the plan development process.
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6.1.3.3 Continuing Education and Professional
Competency
DHS encourages the use of established professional standards
where practical and, when appropriate, works with CIKR
partners to facilitate the development of continuing education, professional competency programs, and professional
standards for areas requiring unique and critical CIKR protection expertise. For example, DHS is fostering the development of CIKR adult and continuing education programs
and leading the development of private sector preparedness
standards that are relevant to the CIKR protection mission.
The adult education initiative focuses on enhancing the skills
and abilities of CIKR professionals and employees at all levels
in order to provide:
• General awareness and baseline understanding of critical
infrastructure, preparedness, and protective measures; and
• Specialized CIKR training for individuals directly engaged
in jobs or activities related to CIKR protection (security,
business continuity, emergency management, IT, engineering, and others).
6.1.4 Organizational Training and Exercises
Building and maintaining organizational and sector expertise requires comprehensive exercises to test the interaction
between the NIPP and the NRF in the context of terrorist
incidents, natural disasters, and other emergencies. Exercises
are conducted by private sector owners and operators, and
across all levels of government. They may be organized by
these entities on a sector-specific basis or through the NEP.
Through the NEP Training and Exercise Planning Workshop,
CIKR exercises can be nominated for inclusion on the NEP
Five-Year Exercise Schedule. IP, in collaboration with the SSAs
and the CIKR Cross-Sector Council, serves as the conduit for
all 18 CIKR sectors’ participation in NEP-sponsored activities
and events. As such, the IP exercise program strictly adheres
to the tenets of the NEP. CIKR-related exercise planning and
NIPP partner participation is coordinated within IP through its
Exercise Working Group (EWG), which consists of representation from all IP projects, the SSAs, and the private sector. The
EWG allows NIPP partners to translate goals and priorities into
specific objectives, coordinate exercise activities, participate in
the planning and conduct of exercises, and track improvement
plan actions against current capabilities, training, and exercises.
This group is also responsible for maintaining the IP MultiYear Training and Exercise Plan. This document is assessed and
revised, as needed, on an annual basis at the IP Training and
Exercise Planning Workshop.
National Infrastructure Protection Plan
National Exercise Program
Figure 6-3: National Exercise Program Tiers
DHS provides overarching coordination for the NEP to
ensure the Nation’s readiness to respond in an all-hazards
environment and to test the steady-state protection plans and
programs put in place by the NIPP and their transition to the
incident management framework established in the NRF.
Terms used by the NEP program include:
• National Level Exercise (NLE)—an annual national security and/or homeland security exercise centered on White
House-directed, U.S. Government-wide strategy and policy.
• Principal Level Exercise (PLE)—a quarterly exercise, for
appropriate department and agency principals or their
deputies, focused on current U.S. Government-wide strategic issues.
• NEP Five-Year Exercise Schedule—identifies the strategic
focus and scenario of each NEP Tier 1 and II exercise that
includes a strategic U.S. Government-wide focus.
• National Exercise Schedule (NEXS)—a schedule of all
Federal, State, and local exercises.
• Corrective Action Program (CAP)—administered by DHS
in support of the Homeland Security Council (HSC) and
the National Security Council (NSC), involves a system and
process for identifying, assigning, and tracking the remediation of issues.
• Homeland Security Exercise and Evaluation Program
(HSEEP)—DHS policy and guidance for designing, developing, conducting, and evaluating exercises. Provides a
threat and performance-based exercise process that includes
a mix and range of exercise activities through a series of
four reference manuals to help States and local jurisdictions
establish exercise programs and design, develop, conduct,
and evaluate exercises.
The NEP categorizes exercise activities into four tiers, as
shown in figure 6-3. These tiers reflect the relative priority
for national and regional Federal interagency participation,
with NEP Tier I as the highest and NEP Tier IV as the lowest.
U.S. Government exercises are assigned to NEP tiers based on
a consensus interagency judgment of how closely they align
to U.S. Government-wide strategic and policy priorities.
• Tier I Exercises (Required): NEP Tier I exercises are
centered on White House directed, U.S. Government-wide
strategy and policy-related issues and are executed with
the participation of all appropriate department and agency
principals (or their deputies) and all necessary operations
Ensuring an Effective, Efficient Program Over the Long Term
centers, nationally and regionally as appropriate. NLEs and
Principal-Level Exercises (PLEs) constitute NEP Tier I and
there are five NEP Tier I exercises annually.
• Tier II Exercises (Commended): NEP Tier II exercises
are focused on strategy and policy issues supported by all
appropriate departments and agencies, either through the
National Exercise Simulation Cell or as determined by each
department or agency’s leadership. NEP Tier II exercises are
endorsed through the NEP process as meriting priority for
interagency participation. NEP Tier II exercises take precedence over NEP Tier III exercises in the event of resource
conflicts. The Exercise and Evaluation Sub-Policy Coordination Committee shall recommend no more than three NEP
Tier II exercises for interagency participation annually.
• Tier III Exercises (Permitted): NEP Tier III exercises are
other Federal exercises focused on plans, policies, procedures, and objectives at the operational, tactical, or organization-specific level that do not require broad interagency
headquarters-level involvement to achieve their stated
exercise or training objectives.
• Tier IV Exercises: NEP Tier IV exercises are exercises in
which State, local, tribal, and/or territorial governments,
and/or private sector entities are the primary training audience or the subject of evaluation.
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DHS chairs and facilitates the NEP Executive Steering
Committee (ESC). The NEP ESC coordinates department and
agency, as well as regional, State, and local exercise requirements and objectives, and builds a recommended NEP FiveYear Exercise Schedule. The NEP ESC also prioritizes recommended lessons learned and corrective action plans. The core
members include DHS, DoD, DOE, HHS, DOJ, DOS, DOT,
the Office of the Director of National Intelligence (ODNI),
and the FBI. There are up to three rotating members serving
1-year terms. HSC, NSC, and OMB representatives serve in a
non-voting oversight capacity. The recommended NEP FiveYear Exercise Schedule and CAP are submitted to the Deputies
for approval through the Domestic Response Group Exercise
and Evaluation Policy Coordination Subcommittee to frame
those decisions.
Capabilities-Based Planning
The NEP has adopted a capabilities-based approach to exercise program management, foundation, design, development,
conduct, evaluation, and improvement planning. Capabilitiesbased planning builds capabilities suitable for a wide range
of threats and hazards while working within an economic
framework that necessitates prioritization and choice. It
addresses uncertainty by analyzing a wide range of realistic
scenarios to identify required capabilities, and is the basis
for guidance such as the National Preparedness Guidelines,
Target Capabilities List (TCL), and Universal Task List (UTL).
Capabilities-based planning is incorporated throughout the
cycle of preparedness, to include plans, training, equipment,
as well as exercises.
Training and Exercise Outreach and Coordination
DHS, SSAs, SCC, GCC, owners and operators, and other
CIKR partners work together to ensure that exercises include
adequate testing of steady-state CIKR protection measures
and plans, including: information sharing; application of
the NIPP risk management framework; and the ability of a
protected core of life-critical CIKR services, such as power,
food and water, and emergency transportation, to withstand
attacks or natural disasters and continue to function at an
appropriate level. DHS also ensures that the NIMS Integration
Center, which serves as the repository and clearinghouse for
reports and lessons learned from actual incidents, training,
and exercises, regularly compiles and disseminates information on CIKR protection best practices.
In an effort to better familiarize its State, regional, local,
tribal, territorial, and private sector partners with the NIPP,
IP hosts an annual series of NEP Tier III, NIPP-related workshops and tabletop exercises. The goals for this series include
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increasing the understanding of: the NIPP; the IP organization, as well as non-IP SSAs; IP critical points of entry for
public and private partners; State, regional, local, tribal, and
territorial organizations’ CIKR protection programs; and
private sector CIKR protection activities, as well as identifying
gaps and redundancies in these CIKR protection efforts.
6.1.5 CIKR Partner Role and Approach
Given the scope and nature of the education, training, and
exercise needs related to CIKR protection, the approach
adopted must, to the greatest extent possible, leverage existing education, training, and exercise programs.
DHS works through the NIPP partnership structure to provide
awareness-level training to introduce public and private sector
partners to the NIPP contents and requirements, and other
core curriculum that provides a cross-sector basis for CIKR
program management, sector awareness, metrics, and other
content relevant for all sectors and jurisdictions. DHS encourages and, where appropriate, facilitates specialized NIPP-related
occupational and professional training and education, and
development of professional and personnel security guidelines.
It also will encourage academic and research programs, and
coordinate the design of exercises that test and validate the
interaction between the NIPP framework and the NRF.
The SSAs and other Federal agencies are responsible for
reviewing, updating, and, as appropriate, developing new
CIKR protection-related training and education programs that
align with the NIPP and the competency model. Other CIKR
partners are encouraged to review existing training and/or
develop new training to align with the competency model
and support implementation of the NIPP, the SSPs, and/or
identified CIKR protection needs within their jurisdiction. All
CIKR partners should work with DHS and the SSAs to identify and fill gaps in current training, education, and exercise
programs for those specialized disciplines that are unique to
CIKR protection and resiliency.
6.2 Conducting Research and Development
and Using Technology
HSPD-7 establishes the national policy for “enhancing protection of the Nation’s critical infrastructure and key resources”
and mandates plans to: systematically “harness the Nation’s
research and development capabilities”; provide the longterm technology advances needed for more effective and
cost-efficient protection of CIKR; and provide the sustained
science, engineering, and technology base needed to prevent
National Infrastructure Protection Plan
or minimize the impact of future attacks on our physical and
cyber infrastructure systems.
Protection of the Nation’s physical and cyber infrastructure
and the people who operate and use these vital systems is
an extremely challenging portion of the overall homeland
security effort. The national architecture of CIKR assets and
systems continually grow more complex and more interdependent. Therefore, plans must cut across a broad range of
sectors, Federal and non-Federal governmental entities, and
critical industries.
Federal agencies work collaboratively to design and execute
R&D programs to help develop knowledge and technology
that can be used to more effectively mitigate the risk to CIKR.
Congress has provided for liability protections under the
Support Anti-Terrorism by Fostering Effective Technologies
Act of 2002 (the SAFETY Act) that serve to encourage technology use by CIKR partners.
In the near term, risk-informed priorities are designed
to allocate resources where they can best mitigate risk or
improve resiliency. In the long term, R&D holds the key
to more effective and cost-efficient CIKR protection and
resiliency through advances in technology. R&D programs
work to improve all aspects of CIKR protection—from the
detection of threats, through protection and performance
measures, to inherently secure and more resilient advanced
infrastructure designs.
Because owners and operators play a major role in CIKR
protection, research programs that support the NIPP must
find effective ways to consider the perspectives of sector
professional associations, sector councils, and other sources
that understand owner and operator technology needs.
Unique R&D needs associated with CIKR protection include:
• Conducting the development or redesign of technologybased equipment to significantly lower the costs of existing
capabilities so that CIKR partners with limited budgets can
afford state-of-the-art solutions;
• Researching issues, such as resiliency and protection in
building design, that affect all CIKR and can result in
solutions that can provide benefits across sectors if implemented; and
• Focusing research on the implementation and operational
aspects of technology used for CIKR protection to provide
resources that can help inform technology investment decisions, such as technical evaluation of security equipment or
technology clearinghouse information.
Ensuring an Effective, Efficient Program Over the Long Term
6.2.1 The SAFETY Act
Ingenuity and invention are the lifeblood of robust R&D. But
potential liabilities could stifle the entrepreneurial spirit for
developing technologies and products that disrupt attacks and
enable effective response. As part of the Homeland Security
Act, Public Law 107-296, Congress enacted the SAFETY Act,
which creates liability protections for sellers of qualified
anti-terrorism technologies. The SAFETY Act provides incentives for the development and deployment of anti-terrorism
technologies by limiting liability through a system of risk
and litigation management. The purpose of the SAFETY Act
is to ensure that the threat of liability does not deter potential sellers of anti-terrorism technologies from developing,
deploying, and commercializing technologies that could save
lives. The SAFETY Act gives liability protection to both sellers
of qualified anti-terrorism technology and their customers,
and applies to all types of enterprises that develop, sell, or use
anti-terrorism technologies.
The SAFETY Act applies to a broad range of technologies,
including products, services, and software, or combinations
thereof, as well as technology firms and providers of security
services. The SAFETY Act protects those businesses and their
customers and contractors by providing a series of liability
protections if their products or services are found to be effective by the Secretary of Homeland Security. Additionally, if
the Secretary certifies the technology under the SAFETY Act
(i.e., that the technology actually performs as it is intended
to do and conforms to certain seller specifications), the seller
is afforded a complete defense in litigation related to the
performance of the technology in preventing, detecting, or
deterring terrorist acts or deployment to recover from one.
Those technologies that have been “certified” are placed on
an Approved Product List for Homeland Security that is available at www.safetyact.gov.
A clear benefit of the SAFETY Act is that a cause of action
may be brought only against the seller of the Qualified
Anti-Terrorism Technology and may not be brought against
the buyer(s), their contractors, or downstream users of the
Qualified Anti-Terrorism Technology, or against the seller’s
suppliers or contractors. This stipulation includes CIKR owners and operators.
CIKR facility owners and operators are encouraged to
examine the SAFETY Act closely because: (1) CIKR owners (if purchasers of qualified technologies) will enjoy the
liability protections that flow from using qualified SAFETY
Act technologies, and (2) CIKR owners will also have a level
of assurance that the qualified products and services that
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they are utilizing have been vetted by DHS. Lower liability
insurance burdens for those using qualified technologies are
another potential outcome.
In these ways, the SAFETY Act is a valuable tool that can
enhance the ability of owners and operators to protect our
Nation’s CIKR.
6.2.2 National Critical Infrastructure Protection
R&D Plan
As directed by HSPD-7, the Secretary of Homeland Security
works with the Director of OSTP, EOP, to develop the NCIP
R&D Plan as a vehicle to support implementation of CIKR risk
management and supporting activities and programs.
The NCIP R&D Plan provides the focus and coordination
mechanisms required to achieve the vision provided in the
President’s Physical and Cyber Security CIKR Protection
Strategies. That vision calls for a “systematic national effort to
fully harness the Nation’s research and development capabilities.” The R&D planning process is designed to address
common issues faced by the various sector partners and to
ensure a coordinated R&D program that yields the greatest
value across a broad range of interests and requirements. The
plan addresses both physical and cyber CIKR protection. The
planning process also provides for the revision of research
goals and priorities over the long term to respond to changes
in the threat, technology, environment, business continuity,
and other factors.
DHS and OSTP coordinate with Federal and private sector
partners, including academic and national laboratory representatives, during the R&D planning cycle. The interagency
process used to develop and coordinate this plan is managed
through the Infrastructure Subcommittee of the National
Science and Technology Council (NSTC), which is co-chaired
by DHS and OSTP. The SSAs are responsible for providing
input into the plan after coordination with sector representatives and experts through such bodies as the SCCs and GCCs.
The NCIP R&D Plan articulates strategic R&D goals and
identifies the R&D areas in which advances in CIKR protection must be made. The goals and cross-sector R&D areas
contained in the NCIP R&D Plan are discussed in the following subsections.
6.2.2.1 CIKR Protection R&D Strategic Goals
The NCIP R&D planning process identifies three long-term,
strategic R&D goals for CIKR protection:
• A common operating picture to continuously monitor the
health of CIKR;
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• A next-generation Internet architecture with designed-in
security; and
• Resilient, self-diagnosing, self-healing infrastructure systems.
The strategic goals are used to guide Federal R&D investment
decisions and also to provide a coordinated approach to the
overall Federal research program. S&T and OSTP will work
with OMB to use the R&D Plan as a decisionmaking tool for
the evaluation of budget submissions across Federal agencies.
These goals also help guide the programs of researchers who
receive Federal grants and contracts.
6.2.2.2 CIKR Protection R&D Areas
R&D development projects for CIKR protection programs
fall into nine R&D areas or themes that cut across all CIKR
sectors:
• Detection and sensor systems;
• Protection and prevention systems;
• Entry and access portals;
• Insider threats;
• Analysis and decision support systems;
• Response and recovery tools;
• New and emerging threats and vulnerabilities;
• Advanced infrastructure architectures and systems design;
and
• Human and social issues.
Organizing research in these areas enables the development
of effective solutions that may be applied across sectors and
disciplines. These themes also provide an organizing framework for SSA use during the development of R&D requirements for their respective sectors, which will be reflected in
the SSPs. These requirements specify the capabilities that each
sector needs to satisfy CIKR protection needs. By incorporating these requirements into the NCIP R&D Plan, OMB is
better able to ensure that agency R&D budget requests are
aligned with the National R&D Plan for CIKR Protection.
Requirements are refreshed each year through the sector
annual reporting process.
6.2.2.3 Coordination of the NCIP R&D Plan With SSP
and Sector Annual Report R&D Planning
Each SSP includes a section on sector-specific CIKR protection
R&D that explains how the sector will strengthen the linkage
among sector-specific and national R&D planning efforts,
technology requirements, current R&D initiatives, gaps, and
candidate R&D initiatives. New candidate R&D initiatives are
developed during the Sector Annual Report writing process.
The SSP explains the process for:
National Infrastructure Protection Plan
• Sector Technology Requirements: Identifying and providing
a summary of sector technology requirements and communicating them to IP, S&T, and OSTP for inclusion in the NCIP
R&D Plan on an annual basis;
• Current R&D Initiatives: Annually soliciting a listing of
current Federal R&D initiatives from the S&T and OSTP that
have the potential to meet sector CIKR protection challenges and providing a description of how this listing will
be analyzed to indicate which initiatives have the greatest
potential for a positive impact;
• Gaps: Conducting an analysis of the gaps between the sector’s technology needs and current R&D initiatives from the
S&T and OSTP; and
• Candidate R&D Initiatives: Determining which candidate
R&D initiatives are most relevant for the sector and how
these will be summarized and reported to all appropriate
stakeholders.
Each SSA coordinates the development of the sector R&D
planning component of their SSP and SAR so that these documents reflect the SSA’s sector-level R&D investment priorities.
Coordination between IP, S&T, and the sectors through the
SSAs, GCCs, and SCCs ensures that the R&D information in
the SSP and Sector Annual Report is comprehensive.
6.2.3 Other R&D That Supports CIKR Protection
Other R&D efforts that may support CIKR protection are
conducted by the SSAs and other Federal agencies. These
programs address the research requirements set forth in
the President’s Physical and Cyber Security CIKR Protection
Strategies, which call for:
• Ensuring the compatibility of communications systems
with interoperability standards;
• Exploring methods to authenticate and verify personal
identity;
including efforts that can contribute to CIKR protection,
and addresses joint international operational requirements
through cooperative R&D with major allies.
DHS also conducts cooperative R&D programs with other
Federal agencies related to authentication and verification
of personal identity for the CIKR protection workforce and
works with the American National Standards Institute and
the National Institute of Standards and Technology (NIST)
through the Homeland Security Standards Panel to help coordinate the development of consensus standards that support
CIKR protection.
6.2.4 DHS Science and Technology Strategic
Framework
The Homeland Security Act of 2002 gave S&T the responsibility of advising the DHS Secretary on S&T requirements, priorities, and programs that support the department’s vision and
mission. The directorate also has the responsibility of developing and integrating technology with the strategies, policies,
and procedures in order to protect the Nation’s CIKR.
CIKR requirements are mapped to Integrated Product Teams
(IPTs) managed by S&T. S&T focuses on enabling its customers—the DHS components—and their customers, including: Border Patrol agents; the Coast Guard; airport baggage
screeners; Federal Air Marshals; and State, local, and Federal
emergency responders, as well as the many others teamed
and committed to the vital mission of securing the Nation.
Other CIKR customers of S&T are the sectors and their partners who own and operate infrastructure. Sectors develop
long-term requirements that are documented in SSPs. Sector
Annual Reports update requirements in response to changes
in risk as advised by the annual National Risk Profile. The
National Annual Report further applies the National Risk
Profile to prioritize requirements across sectors.
• Coordinating the development of CIKR protection consensus standards; and
To reach its goals, S&T created a customer-focused, outputoriented, full-service S&T management organization. See
appendix 6 for a detailed discussion of the S&T organization
as it relates to CIKR technology development.
• Improving technological surveillance, monitoring, and
detection capabilities.
6.2.5 Transitioning Requirements Into Reality
For example, the Technical Support Working Group is the
U.S. national forum that identifies, prioritizes, and coordinates interagency and international R&D requirements
for combating terrorism. The Technical Support Working
Group rapidly develops technologies and equipment to meet
the high-priority needs of the anti-terrorism community,
After identifying and justifying risk-based R&D requirements
in the Sector CIKR Protection Annual Reports, the full set of
requirements are reviewed, summarized, and consolidated
to develop the set presented in the National CIKR Protection
Annual Report. DHS works with the SSAs, SCCs, GCCs,
and cross-sector councils to further validate and refine the
requirements and to prioritize them before submitting them
Ensuring an Effective, Efficient Program Over the Long Term
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to the IPT process. The different IPTs then work to define the
actual projects, identify costs and resources, and finally turn
them into S&T projects.
Specifically, IPTs coordinate the planning and execution
of R&D programs together with the eventual hand-off to
the maintainers and users of the project results. The IPTs
are critical nodes in the process to determine operational
requirements, assess current capabilities to meet operational
needs, analyze gaps in capabilities and articulate programs
and projects to fill in the gaps and expand competencies.
IPTs constitute the Transition portfolio of S&T, targeting
deployable capabilities in the near term. IPTs generally
include the research and technology perspective, the customer/end-user perspective, and an acquisitions perspective.
The customers/end-users monitor and guide the capability
being developed; the research and technology representatives inform the discussions with scientific and engineering
advances and emerging technologies; and the acquisitions
staff helps to transition the results into practice by the maintainers and the end-users of the capability.
The overall requirements process promotes rigor in the
analysis and prioritization of sector requirements and capability gaps and also provides feedback to sectors on how their
needs align with ongoing and planned S&T projects.
6.3 Building, Protecting, and Maintaining
Databases, Simulations, and Other Tools
Many data systems, databases, models, simulations, decision
support systems, and similar information tools currently
exist or are under development to enable the execution of
national CIKR risk management.
To keep pace with the constantly evolving threat, technology, and business environments, these tools must be updated
and, in some cases, new tools must be developed. Sensitive
information associated with these tools must be appropriately
protected. Priority efforts in this area will be focused on
updating and improving key databases, developing and maintaining simulation and modeling capabilities, and coordinating with CIKR partners on databases and modeling.
6.3.1 National CIKR Protection Data Systems
HSPD-7 directs the Secretary of Homeland Security to implement plans and programs that identify, catalog, prioritize,
and protect CIKR in cooperation with all levels of government and private sector entities. Data systems currently
provide the capability to catalog, prioritize, and protect CIKR
through such functions as:
Figure 6-4: The NIPP R&D Requirements Generation Process
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National Infrastructure Protection Plan
• Maintaining an inventory of asset information and estimating the potential consequences of an attack or incident (e.g.,
the IDW);
• Work with end-users to design operations-related tools that
provide maximum utility and clarity for CIKR protection
activities in both emergencies and routine operations;
• Storing information related to terrorist attacks or incidents
(e.g., the National Threat and Incident Database);
• Work with end-users to design appropriate information
protection plans for sensitive information used and produced by CIKR protection modeling tools;
• Analyzing dependencies and interdependencies (e.g., the
NISAC);
• Managing the implementation of various protective programs (e.g., the BZPP Request Database); and
• Providing the continuous maintenance and updates required
to enable data in these systems to reflect changes in actual
circumstances, using tools such as iCAV and DHS Earth.
Properly maintaining systems with current and useful data
involves long-term support, coordination, and resource commitments by DHS, the SSAs, the States, private sector entities,
and other partners.
6.3.2 Simulation and Modeling
A number of CIKR partners make use of models and simulations to comprehensively examine the potential consequences
from terrorist attacks, natural disasters, and manmade
accidents that affect CIKR, including the effects of sector and
cross-sector dependencies and interdependencies. Continuous
maintenance and updates are required for these tools to produce reliable projections. Over the long term, new tools are
needed to address fundamental changes due to factors such as
technology, threats, or the business environment.
IP is the lead coordinator for modeling and simulation
capabilities regarding CIKR protection and resiliency. In this
capacity, DHS will:
• Coordinate with the S&T on requirements for the development, maintenance, and application of research-related
modeling capabilities for CIKR protection and resiliency;
• Specify requirements for the development, maintenance,
and application of operations-related modeling capabilities
for CIKR protection in coordination with S&T and the SSAs,
as appropriate;
• Coordinate with the SSAs that have relevant modeling capabilities to develop appropriate mechanisms for the development, maintenance, and use of such for CIKR protection as
directed by HSPD-7;
• Familiarize the SSAs and other CIKR partners with the
availability of relevant modeling and simulation capabilities
through training and exercises;
Ensuring an Effective, Efficient Program Over the Long Term
• Provide guidance on the vetting of modeling tools to
include the use of private sector operational, technical, and
business expertise, where appropriate; and
• Review existing private sector modeling initiatives and
opportunities for joint ventures to ensure that DHS, the
SSAs, and their CIKR partners make the maximum use of
applicable private sector modeling capabilities.
The principal modeling, simulation, and analysis capability
within the IP is the NISAC. NISAC analysts and operational
resources are located at the Sandia and Los Alamos National
Laboratories and the program operates under the direction of
a Washington, DC-based program office within IP. Mandated
by Congress to be a “source of National Expertise to address
critical infrastructure protection” research and analysis,
NISAC prepares and shares analyses of CIKR, including their
interdependencies, vulnerabilities, the consequences of
loss, and other complexities. NISAC has developed tailored
analytical tools, a core of unique expertise, and procedures
designed to effectively address the strategic-level analytical
needs of CIKR decisionmakers.
While the 2001 Uniting and Strengthening America
by Providing Appropriate Tools Required to Intercept
and Obstruct Terrorism (USA PATRIOT) Act established
the requirement for NISAC, the Homeland Security
Appropriations Act of 2007 specifies its current mission.
NISAC is required to provide “modeling, simulation, and
analysis of the assets and systems comprising CIKR in order
to enhance preparedness, protection, response, recovery,
and mitigation activities.” The center is also directed to share
information with Federal agencies and departments that
have CIKR responsibilities. Information sharing is accomplished through outreach meetings with sectors, analysts,
and consumers. NISAC pre-incident studies (e.g., hurricane
scenario studies) are posted and available for downloading
on HSIN. Selected products are reproduced for widespread
dissemination in hard copy. Products requested from the
NISAC program office are usually distributed by email or via
electronic media.
NISAC’s objectives cover two main areas of focus:
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• Provide operational support to DHS and other Federal
Government entities on an as needed basis in the form of
analysis, simulation, and scenario development; and
• Develop long-term capabilities by maintaining expertise
in the application of analysis tools and the development of
improved processes and tools in support of longer-term
DHS projects.
NISAC accomplishes its mission through three types of
products:
• Pre-planned, long-term analyses;
• Pre-planned, short-term analyses; and
• Unplanned, priority analytical projects that are based on
higher-level tasking or that are related to current threats to
CIKR (e.g., hurricane CIKR impact analysis).
Pre-planned analyses may result from several processes,
but they result primarily from the National and Sector
CIKR Protection Annual Reports, along with the supporting annual reports for IP, DHS’ Office of Cybersecurity and
Communications (CS&C), the SLTTGCC, and the RCCC. These
reports identify requirements for the analyses, which are then
prioritized in a similar manner to the R&D requirements.
NISAC utilizes CIKR information and data from a variety of
government CIKR sector and private sector sources, including
other participants in CIKR protection projects and programs.
NISAC uses some data that are considered proprietary to a
single industry or even to a specific firm; the data must therefore be protected from unrestricted dissemination in order to
maintain the trust of the information providers. NISAC products principally serve government decisionmakers, who can
derive valuable insight into incident consequences at a higher
level than the supporting data could provide. In selected
cases, NISAC products are made available to the private sector
in order to facilitate access to key NISAC recommendations of
concern to a wider community of CIKR stakeholders.
Although NISAC is the principal resource within IP for modeling, simulation, and analysis, it is not the sole source available to CIKR stakeholders in need of these capabilities. NISAC
works with other stakeholders to share critical authoritative
data in order to improve overall analytical quality and ensure
consistency with other providers of CIKR analysis.
6.3.3 Coordination on Databases and Modeling
Integrating existing databases into DHS databases, such as
the IDW, not only reduces the duplication of effort, but
also ensures that available data are consistent, current, and
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accurate, and provide users with a consolidated picture across
all CIKR sectors. However, this approach is effective only if
the source information is protected and maintained properly.
Maintaining a current and useful database involves the support, coordination, and commitment of the SSAs, private sector entities, and other partners. Because the most current and
accurate CIKR-related data are best known by owners and
operators, the effectiveness of the effort depends on all CIKR
partners keeping their databases and data systems current.
As the responsible agent for the identification of assets and
existing databases for their sectors, the SSAs:
• Outline in their SSPs the sector plans and processes for database, data system, and modeling and simulation development and updates;
• Work with sector partners, as appropriate, to facilitate the
collection and protection of accurate information for database, data system, and modeling and simulation use;
• Specify the timelines and milestones for the initial population of CIKR databases; and
• Specify a regular schedule for maintaining and updating
the databases.
DHS works with the SSAs and other CIKR partners to:
• Identify databases and other data services that will be integrated into CIKR databases and data systems;
• Facilitate the actual integration of supporting databases or
the importation of data into CIKR protection databases and
data systems using a common, standardized format, data
scheme, and categorization system or taxonomy specified
by DHS in coordination with the SSAs; and
• Define, as appropriate, the schedule for integrating data and
databases into such systems as the IDW.
6.4 Continuously Improving the NIPP and the
SSPs
The NIPP uses the SCCs, GCCs, and the cross-sector councils
as the primary forums for coordination of policy, planning,
training, and other requirements needed to ensure efficient
implementation and ongoing management and maintenance
of the NIPP and the SSPs.
6.4.1 Management and Coordination
IP is the Federal executive agent for NIPP management and
maintenance.
National Infrastructure Protection Plan
The NIPP is a multi-year plan describing mechanisms for
sustaining the Nation’s steady-state CIKR protection posture.
The NIPP and its component SSPs include a process for:
annual review; periodic interim updates as required; and
regularly scheduled partial reviews and re-issuance every
3 years or more frequently, if directed by the Secretary of
Homeland Security.
IP oversees the review and maintenance process for the NIPP;
the SSAs, in coordination with the GCCs and SCCs, establish
and operate the mechanism(s) necessary to coordinate this
review for their respective SSPs. The NIPP and SSP revision
processes includes developing or updating any documents
necessary to carry out NIPP activities. The NIPP is reviewed at
least annually to:
• Ensure that the NIPP framework is capable of measuring
accomplishments in support of CIKR protection goals and
objectives, and supporting the overall national approach to
the homeland security mission;
• Ensure that the plan adequately reflects the organization of
DHS and the SSAs;
• Ensure that the NIPP is consistent with the Federal plans
and activities that it directly supports;
• Adjust practices and procedures called for in the NIPP based
on changes in the national risk management environment;
• Incorporate lessons learned and best practices from day-today operations, exercises, and actual incidents and alerts; and
• Reflect progress in the Nation’s CIKR protection, as well as
changes to national priorities and guidance, critical tasks,
sector organization, or national capabilities.
As changes are warranted, periodic updates to the NIPP will
be issued. Types of developments that merit a periodic update
include new laws, Executive Orders, Presidential directives,
or regulations, and procedural changes to NIPP activities
based on real-world incidents or exercise experiences.
• Coordination and Approval: While DHS is the Federal executive agent for NIPP management and maintenance, any
Federal department or agency with assigned responsibilities
under the NIPP may propose a change to the plan. DHS is
responsible for coordinating the review and approval of
all proposed modifications to the NIPP with the SSAs and
other CIKR partners, as appropriate. Policy changes will be
coordinated and approved thorough the Homeland Security
Council policy process.
• Notice of Change: DHS will issue an official Notice of
Change for each interim revision to the NIPP. After publication, the modifications will be considered part of the NIPP
for operational purposes pending a formal revision and
re-issuance of the entire document. Interim changes can be
further modified or updated using this process. (Periodic
updates resulting from the annual review process do not
require the formal Notice of Change.)
• Distribution: DHS will distribute Notices of Change to
SCCs, GCCs, and other CIKR partners. Notices of Change to
other organizations will be provided upon request.
• Re-Issuance: DHS will coordinate full reviews and updating of the NIPP every 3 years or more frequently, if directed by the Secretary of Homeland Security. The review
and updating process will consider lessons learned and
best practices identified during implementation in each
sector and will incorporate the periodic changes and any
new information technologies. DHS will distribute revised
NIPP documents for interagency review and concurrence
through the Homeland Security Council process.
The SSAs, in coordination with their GCCs and SCCs, establish and operate the mechanism(s) necessary to coordinate
the SSP maintenance and update process in accordance with
the process established for the NIPP.
6.4.2 Maintenance and Updates
The following paragraphs establish the procedures for posting interim changes and periodic updating of the NIPP:
• Types of Changes: Changes include the addition of new or
supplementary material and deletions. No proposed change
should contradict or override authorities or other plans
contained in a statute, Executive Order, or regulation.
Ensuring an Effective, Efficient Program Over the Long Term
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7. Providing Resources for the CIKR
Protection Program
Since the terrorist attacks of September 11, 2001, government and private sector expenditures to
improve CIKR protection and resilience have increased across sectors and governmental jurisdictions.
With finite resources available to support CIKR protection requirements, the NIPP serves as the unifying
framework to ensure that CIKR investments are coordinated and address the highest priorities, based
on risk, to achieve the homeland security mission and ensure the continuity of the essential infrastructure and services that support the American government, economy, and way of life. Where regulations
require the use of certain tools, techniques, reporting, etc., the NIPP risk management framework is
flexible enough to be implemented in a manner that supports those requirements.
This chapter describes an integrated, risk-informed approach
to: guide resource support for the national CIKR protection
program; focus Federal grant assistance to State, local, tribal,
and territorial entities; and complement relevant private sector activities. This integrated approach coordinates CIKR protection programs and activities conducted by DHS, the SSAs,
and other Federal entities through the Federal appropriations
process, and focuses Federal grant funds to support national
CIKR protection efforts conducted at the State, local, tribal,
and territorial levels. This approach also includes mechanisms to involve private sector partners in the planning
process and supports collaboration among CIKR partners to
establish priorities, define requirements, share information,
and maximize the use of finite resources. Implementation
of this coordinated approach will help ensure that limited
resources are applied efficiently and effectively to address the
Nation’s most critical CIKR protection needs.
7.1 The Risk-Informed Resource Allocation
Process
Funding in support of CIKR protection programs at all levels
is guided by a straightforward principle: Resources must be
Providing Resources for the CIKR Protection Program
directed to the areas of greatest priority to enable effective
management of risk. By definition, all CIKR assets, systems,
and networks are important. However, considering the risk
factors of threat, vulnerability, and consequences, some
assets, systems, networks, or functions are more critical to
the Nation, as a whole, than others. This chapter describes a
process to ensure that the Nation’s CIKR protection resource
requirements are correctly identified and appropriately
prioritized to meet the most critical protection needs as well
as any relevant regulatory or congressional requirements.
Using a risk-informed approach, DHS collaborates with CIKR
partners to identify those assets, systems, networks, and
functions that are the most critical from a national perspective and lead, integrate, and coordinate a cohesive effort to
help ensure their protection and resiliency. Through the NIPP
framework, DHS works with the SSAs, States, and other government and private sector partners to gain an understanding
of how CIKR protection is being conducted across the country, the priorities and requirements (NIPP-based or other)
that drive these efforts, and how such efforts are funded.
This assessment helps DHS to identify duplicative efforts
and gaps across sectors and jurisdictions. DHS then uses the
information gained to recommend targeted investment that
helps ensure that government resources are allocated to the
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areas of the greatest priority with a view toward ensuring
that investments are cost-effective in reducing risk.
7.1.1 Sector-Specific Agency Reporting to DHS
Given their unique capabilities and individual risk landscapes, CIKR sectors each face different challenges. For
instance, some sectors have distinct, easily identifiable assets
that can be logically prioritized. Some are characterized by
thousands of distributed assets, not all of which are equally
critical. Others are made up of systems or networks for which
the identification of specific protective measures may prove
to be extremely complex, but should be attempted nonetheless. Furthermore, interdependencies among sectors can
cause duplicative efforts or lead to gaps in funding for CIKR
protection. To ensure that government resources are allocated
according to national priorities and are based on national
risk, need, and effective risk-reduction opportunities, DHS
must be able to accurately assess priorities, requirements, and
efforts across these diverse sectors. Requirements driven by
regulations, statutes, congressional mandates, and presidential directives should also be considered.
As DHS conducts this assessment, the SSAs, supported by
their respective SCCs and GCCs, provide information regarding their sectors’ individual CIKR protection efforts. The SCCs
participate in the process to ensure that private sector input
is reflected in SSA reporting on sector priorities and requirements. The first step for an SSA in the risk-informed resource
allocation process is to coordinate with sector partners,
including SCCs and GCCs, as appropriate, to determine sector
priorities, program requirements, and resource needs for
CIKR protection. HSPD-7 requires each SSA to provide an
annual report to the Secretary of Homeland Security on their
efforts to identify, prioritize, and coordinate CIKR protection
and resiliency in their respective sectors. Consistent with this
requirement, DHS provides the SSAs with reporting guidance
and templates that include requests for specific information, such as CIKR protection priorities, requirements, and
resources. The following elements are included in the Sector
CIKR Protection Annual Report to help inform the prioritization of resource allocation recommendations:
• Priorities and annual goals for CIKR protection and resiliency, as well as associated gaps;
• Sector-specific requirements for CIKR protection and resiliency activities and programs based on risk, need, and any
other drivers such as regulations and presidential directives;
• Projected CIKR-related resource requirements for the sector, with an emphasis on anticipated gaps or shortfalls in
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funding for sector- or national-level CIKR protection and
resiliency; and
• CIKR, the disruption of which would cause regionally or
nationally significant impacts under both steady-state and
incident conditions.
7.1.2 State Government Reporting to DHS
Like sectors, State governments face diverse CIKR protection challenges and have different priorities, requirements,
and available resources. Furthermore, State CIKR protection
efforts are closely intertwined with those of other government and private sector partners. In particular, States work
closely with local and tribal governments to address CIKR
protection challenges at those levels. To accurately assess
the CIKR protection effort and identify needs that warrant
attention at a national level, DHS must aggregate information
across State jurisdictions as it does across sectors.
DHS requires that each State develop a homeland security
strategy that establishes goals and objectives for its homeland
security program, which includes CIKR protection as a core
element. State administrative agencies develop a Program
and Capability Enhancement Plan that prioritizes statewide
resource needs to support this program. The State administrative agency works with DHS to identify:
• Priorities and annual goals for CIKR protection and resiliency;
• State-specific requirements for CIKR protection activities
and programs, based on risk and need;
• Mechanisms for coordinated planning and information
sharing with government and private sector partners;
• CIKR, the disruption of which would cause regionally or
nationally significant impacts for both steady-state and incident management purposes;
• Unfunded CIKR protection initiatives or requirements that
should be considered for funding using Federal grants (described in further detail below); and
• Other funding sources utilized to implement the NIPP and
address identified priorities and annual goals.
For consideration in the deliberations related to the Federal
budget cycle, information on statewide CIKR resource needs
must be reported to DHS by the date specified in the annual
DHS Grant Programs Directorate (GPD) planning guidance.
GPD includes report templates and planning guidance to support the States’ reporting efforts.
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7.1.3 State, Local, Tribal, and Territorial Government
Coordinating Council Reporting to DHS
The intent of the SLTTGCC is to provide input and suggestions for implementation of the NIPP, including sector protection programs and initiatives. These types of engagements
foster broad public sector partner involvement in actively
developing CIKR protection priorities and requirements.
Through the SLTTGCC Annual Report, the Council provides
annual updates on CIKR programs and initiatives that are
being conducted or planned by the Council, DHS, other
Federal partners, or private sector partners.
7.1.4 Regional Consortium Coordinating Council
Reporting to DHS
Cross-sector and multi-jurisdictional CIKR protection challenges provide an opportunity to manage interdependent
risks at the regional level. Individually, the activities of the
regional consortium enhance the physical security, cybersecurity, emergency preparedness, and overall public-private
continuity and resiliency of one or more States, urban areas,
or municipalities. The RCCC provides a unique mechanism to
integrate NIPP implementation on a regional scale and details
its efforts in the RCCC Annual Report.
7.1.5 Aggregating Submissions to DHS
DHS uses the information collected from the Sector CIKR
Protection Annual Reports, the SLTTGCC Annual Report, the
RCCC Annual Report, and State reports to assess CIKR protection status and requirements across the country. As national
priorities and requirements are established, DHS will develop
funding recommendations for programs and initiatives
designed to reduce national-level risk in the CIKR protection mission area. In cases where gaps or duplicative efforts
exist, DHS will work with the SSAs and the States to identify
strategies or additional funding sources to help ensure that
national CIKR protection priorities are efficiently and effectively addressed.
Following the collection, aggregation, and risk-based analysis of sector- and State-level reports, DHS summarizes this
information in the National CIKR Protection Annual Report.
This report details national CIKR protection priorities and
requirements, and makes recommendations for prioritized
focus across the Federal Government to meet national-level
CIKR protection needs. The National CIKR Protection Annual
Report is submitted along with the DHS budget submission
to the EOP on or before September 1 as part of the annual
Federal budget process (see figure 7-1).
Figure 7-1: National CIKR Protection Annual Report Process
Providing Resources for the CIKR Protection Program
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7.2 Federal Resource Prioritization for DHS,
the SSAs, and Other Federal Agencies
The Federal prioritization process described in this section
is designed to ensure that the collective efforts of DHS, the
SSAs, and other Federal departments and agencies support
the NIPP and national priorities. It is also designed to be
consistent with the DHS responsibility to coordinate overall
national CIKR protection and identify national-level gaps,
overlaps, or shortfalls. Driven in large part by existing and
well-understood Federal budget process milestones, this
approach is integrated into the established Federal budget
process and reporting requirements. The process outlined
in this chapter recognizes the existing budget authority and
responsibilities of all Federal departments and agencies with
CIKR protection-related programs and activities. We have
achieved significant progress in developing a comprehensive CIKR risk management program. We will continually
improve our risk management and performance measurement programs to refine their integration into the Federal
budget process. The NIPP process aims to create synergy
between current and future efforts to ensure a unified and
effective national CIKR protection effort. The specific roles of
DHS and the SSAs are described in further detail below.
protection-related programs and outstanding requirements
to DHS through their Sector CIKR Protection Annual Reports.
DHS uses the sector annual reports, as well as the annual
reports of the SLTTGCC and the RCCC, to inform the National
CIKR Protection Annual Report. The National CIKR Protection
Annual Report analyzes information about sector priorities,
requirements, and programs in the context of the National
Risk Profile, a high-level summary of the aggregate risk and
protective status of all sectors. The National Risk Profile drives
the development of national priorities, which, in turn, are used
to assess existing CIKR programs and to identify existing gaps
or shortfalls in national CIKR protection efforts. This analysis
provides the Executive Office of the President with information
that supports both strategic and investment decisions related to
CIKR protection and resiliency.
Figure 7-2: National CIKR Protection Annual Report Analysis
7.2.1 Department of Homeland Security
DHS is responsible for overall coordination of the Nation’s
CIKR protection efforts. To carry out this responsibility, DHS must: identify and prioritize nationally critical
assets, systems, networks, and functions; help ensure that
appropriate protective initiatives are implemented; and
help address any gaps or shortfalls in the protection of
nationally critical CIKR. DHS works closely with the EOP
to aggregate CIKR protection-related activities and related
resource requests from the SSAs, other Federal departments
and agencies, and other CIKR partners as a way to make
informed tradeoffs in prioritizing Federal investments.
These tradeoffs also consider other CIKR protection requirements that the various Federal departments and agencies
must address.
DHS works with the EOP to establish a national CIKR protection strategic approach and priorities, and with the SSAs,
supported by their respective SCCs and GCCs, to develop
sector-specific CIKR protection-related requirements. Driven
largely by the identification and prioritization of critical
assets, systems, networks, and functions across sectors and
States, the establishment of national protection priorities helps
inform resource allocation decisions later in the process. The
SSAs communicate information about their existing CIKR
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7.2.2 Sector-Specific Agencies
Earlier chapters of the NIPP articulated how DHS and the SSAs
work with the respective CIKR sectors to determine risk and
set priorities. Based on guidance from DHS, each SSA develops
and maintains an SSP that supports the NIPP; some SSPs may
also fulfill other mandates and requirements. Additionally,
the SSAs, in partnership with the SCCs and GCCs, determine
sector-specific priorities and requirements for CIKR protection.
The SSAs submit these priorities and requirements to DHS in
their sector annual reports. The SSAs work within their respective department or agency budget process to determine the
CIKR protection-related aspects of their department’s budget
submission. SSA annual reports are submitted to DHS on or
before June 1 of each year. Resource information contained in
the SSA annual reports is based on appropriated funding, as
well as the President’s most recent budget.
National Infrastructure Protection Plan
Figure 7-3: DHS and SSA Roles and Responsibilities in Federal Resource Allocation
7.3 Federal Resources for
State and Local Government
Preparedness
Federal grants from DHS and other Federal
agencies, when available, and other
programs, such as training and technical
assistance, offer key support to State and
local jurisdictions for CIKR protection programs. These programs provide resources
to meet CIKR needs that are managed by
State and local entities.
GPD is responsible for coordinating
Federal homeland security grant programs to help State, local, and tribal governments enhance their ability to prevent,
protect against, respond to, and recover
from terrorist acts or threats and other
hazards. GPD offers State, local, and tribal
partners access to funding through several
grant programs that can be leveraged to
support CIKR protection requirements
based on risk and need.
Additionally, the subset of CIKR protection funding requirements directed toward R&D and S&T investments are highlighted by the SSAs, SCCs, and GCCs in the sector annual
reports to inform the NCIP R&D Plan and its technology
roadmap, while ensuring efficient coordination with the DHS
R&D/S&T community and supporting the Federal research
and technology base. These R&D and S&T plans and requirements are based on the R&D planning section of each sector’s
SSP. The identified R&D requirements are prioritized based
on the potential increase in CIKR protection capabilities for a
given investment.
7.2.3 Summary of Roles and Responsibilities
Figure 7-3 outlines the roles and responsibilities of DHS
and the SSAs throughout this process, as well as the annual
timelines associated with major activities.
The final determination of funding priorities, based on the
collaborative efforts of DHS, the SSAs and other Federal departments and agencies, and the EOP, guides CIKR protection
programs in support of the NIPP and other applicable requirements. These priorities support Federal Government (DHS and
SSA) CIKR protection activities, as well as guide and support
homeland security and CIKR protection activities across and
within State, local, tribal, and territorial jurisdictions.
Providing Resources for the CIKR Protection Program
For the purposes of the NIPP, Federal grants available through
DHS/GPD can be grouped into two broad categories: (1)
overarching homeland security programs that provide
funding for a broad set of activities in support of homeland
security mission areas and the national priorities outlined
in the National Preparedness Guidelines; and (2) targeted
infrastructure protection programs for specific CIKR-related
protection initiatives and programs within identified jurisdictions. States should leverage the range of available resources,
including those from Federal, State, local, and tribal sources,
as appropriate, in support of the protection activities needed
to reduce vulnerabilities and close identified capability gaps
related to CIKR within their jurisdictions.
7.3.1 Overarching Homeland Security Grant Programs
The overarching homeland security grant programs support
activities that are conducted in accordance with the National
Preparedness Guidelines. These funds support overall State
and local homeland security efforts, and can be leveraged to
support State, local, tribal, and/or regional CIKR protection.
These funds are intended to complement and be allocated in
coordination with national CIKR protection efforts.
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The primary overarching homeland security grant programs
include:
• State Homeland Security Program (SHSP): The SHSP supports the implementation of the State Homeland Security
Strategy to address identified planning, organizing, equipment, training, exercise, and evaluation needs for acts of
terrorism. In addition, SHSP supports the implementation
of the National Preparedness Guidelines, the NIMS, the
NRF, and the NIPP to support the prevention of, protection
against, response to, and recovery from acts of terrorism.
• Urban Areas Security Initiative: UASI funds address the
unique planning, organizing, equipment, training, exercise, and evaluation needs of high-threat, high-density
urban areas, and assist them in building an enhanced and
sustainable capacity to prevent, protect against, respond to,
and recover from acts of terrorism.
7.3.2 Targeted Infrastructure Protection Programs
Targeted infrastructure protection programs include grants
for specific activities that focus on the protection of CIKR,
such as ports, mass transit, rail transportation, etc. These
funds support CIKR protection capabilities based on risk and
need in coordination with DHS, SSAs, and Federal agencies.
IP and GPD work with States to focus targeted infrastructure
protection grant programs, such as the BZPP and transportation security grants, to support national-level CIKR protection
priorities and to reinforce activities funded through Federal
department and agency budgets and other homeland security grant programs. As appropriate, SSAs serve as subject
matter experts reviewing and providing recommendations
for specific target grant programs. Grantees should apply
resources available under the overarching homeland security
grant programs, such as SHSP and UASI, to address their
regionally or locally critical CIKR protection initiatives. An
additional prioritized combination of grant funding across
various programs may be necessary to enable the protection
of certain assets, systems, networks, and functions deemed to
be nationally critical.
Available GPD grant funding is awarded to the Governorappointed State administrative agency, which serves in each
State as the lead for program implementation. Through the
State administrative agencies, States will identify and prioritize their homeland security needs, including CIKR protection, and leverage assistance from these funding streams to
accomplish the priorities identified in their State Homeland
Security Strategies, and Program and Capability Enhancement
Plans. These planning processes undertaken at the State level
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are built on the common framework articulated in: the
National Preparedness Guidelines; the National Priorities,
including implementation of the NIPP; and capabilities
enhancements based on the TCL.
DHS provides State, local, and tribal authorities with additional guidance on how to identify, assess, and prioritize
CIKR protection needs and programs in support of the
National Preparedness Guidelines as they apply to homeland security grants. Additional information on DHS grant
programs, guidelines, allocations, and eligibility is available
at: http://www.fema.gov/grants.
7.4 Other Federal Grant Programs That
Contribute to CIKR Protection
Other Federal departments and agencies provide grant
programs that can contribute to CIKR protection. These are
usually sector- or threat-specific programs; many are related
to technology development initiatives. Examples of these
grant programs include:
• Department of Energy: DOE manages programs for the
development of technologies to increase the resilience and
reliability of the U.S. energy infrastructure. These programs
address the development and demonstration of technologies and methodologies to protect physical energy infrastructure assets.
• Department of the Interior: The Bureau of Indian Affairs
manages a grant program for the Safety of Dams on Indian
Lands. Financial awards are specific to a given site; awards
are restricted to Indian tribes or tribal organizations.
• Department of Justice: The National Institute of Justice
(NIJ), Office of Justice Programs, manages a grant program
for Domestic Anti-Terrorism Technology Development. The
objective of the program is to support the development of
counterterrorism technologies, assist in the development of
standards for those technologies, and work with State and
local jurisdictions to identify particular areas of vulnerability to terrorist acts and to be better prepared to respond if
such acts occur. The NIJ is authorized to make grants to, or
enter into contracts or cooperative agreements with, State
and local governments, private nonprofit organizations,
public nonprofit organizations, for-profit organizations,
institutions of higher education, and qualified individuals. Applicants from the Territories of the United States and
federally recognized Indian tribal governments are also
eligible to participate in this program.
National Infrastructure Protection Plan
• Department of Transportation: The Pipeline and Hazardous Materials Safety Administration Pipeline Safety grant
program supports efforts to develop and maintain State
natural gas, liquefied natural gas, and hazardous liquid
pipeline safety programs. Grant recipients are typically State
government agencies.
owners and operators at all levels is required throughout the
process to: ensure a unified national CIKR protection effort;
provide accurate, secure identification of CIKR assets and
systems; provide and protect risk-related information; ensure
implementation of appropriate protective measures; measure
program effectiveness; and make required improvements.
• Department of Transportation: The Federal Transit
Administration is a grants-in-aid agency that has several
major assistance programs for eligible activities. Funds
are provided through legislative formulas or discretionary
authority. Funding from these programs is provided on an
80/20 Federal/local funding match basis unless otherwise
specified. These assistance programs can contribute to CIKR
protection efforts through funding for metropolitan and
State planning and research grants; urban, non-urban, and
rural transit assistance programs; bus and railway modernization efforts; major capital investments; and special
flexible-funding programs.
These opportunities for collaboration allow private sector owners and operators to benefit from CIKR protection
investments in a number of ways. First, investments in CIKR
protection will enable risk mitigation in a broader, all-hazards context, including common threats posed by malicious
individuals or acts of nature, in addition to those posed by
terrorist organizations. Second, business continuity planning
can facilitate recovery of commercial activity after an incident. Finally, investing in CIKR protection within the NIPP
framework will help private sector owners and operators
enhance protective measures, and will support decisionmaking with more comprehensive risk-informed information.
DHS explores new opportunities to encourage such collaboration through incentives (such as the SAFETY Act, which
creates liability protection for sellers of qualified anti-terrorism technologies), and by providing useful information on
risk assessment and management. While States typically are
the eligible applicants for DHS grant programs, certain private sector entities can apply directly for grant funds through
programs such as the Port Security Grant Program and the
Intercity Bus Security Grant Program.
These programs are available to a wide range of grant recipients, including CIKR owners and operators, and State, local,
and tribal governments.
7.5 Setting an Agenda in Collaboration with
CIKR Protection Partners
Resource allocation decisions for CIKR protection at all levels of
government should align as integral components of the unified
national approach established in the NIPP. In accordance with
the responsibilities established in HSPD-7, DHS works with
the SSAs and other government and private sector partners to
set the national agenda that specifies this strategic approach to
CIKR protection, articulates associated requirements, supports
collaboration among partners, and recognizes the contributions of private sector partners to the overall effort. While
Federal Government funding of programs and initiatives that
support CIKR protection makes a significant contribution to
the security of the Nation, a fully successful effort requires
DHS; the SSAs; and State, local, and tribal governments to work
closely with the private sector to promote the most effective
use of Federal and non-Federal resources.
More information about the NIPP is
available on the Internet at:
www.dhs.gov/nipp or by contacting DHS at:
[email protected]
The NIPP uses the risk management framework to support
coordination between CIKR partners outside the Federal
Government. Each step of the risk management framework
presents opportunities for collaboration between and among
all CIKR partners. Coordination between State and local
agencies and the sectors themselves ensures that cross-sector
needs and priorities are more accurately identified and
understood. Government coordination with private sector
Providing Resources for the CIKR Protection Program
103
List of Acronyms and Abbreviations
BZPP
Buffer Zone Protection Program
FACA
Federal Advisory Committee Act
C/ACAMS
Constellation/Automated Critical Asset
Management System
FBI
Federal Bureau of Investigation
FCC
Federal Communications Commission
CAEIAE
Centers of Academic Excellence in Information
Assurance Education
FEMA
Department of Homeland Security/Federal
Emergency Management Agency
CEO
Chief Executive Officer
FIRST
CFATS
Chemical Facility Anti-Terrorism Standards
Forum of Incident Response and Security
Teams
CFDI
Critical Foreign Dependencies Initiative
FOIA
Freedom of Information Act
CFIUS
Committee on Foreign Investment in the
United States
FOUO
For Official Use Only
FSLC
Federal Senior Leadership Council
CFR
Code of Federal Regulations
GCC
Government Coordinating Council
CII
Critical Infrastructure Information
GFIRST
CIKR
Critical Infrastructure and Key Resources
Government Forum of Incident Response and
Security Teams
CIPAC
Critical Infrastructure Partnership Advisory
Council
GPD
FEMA/Grant Programs Directorate (Division of
DHS Preparedness Directorate)
CWIN
Critical Infrastructure Warning Information
Network
GPS
Global Positioning System
GSA
General Services Administration
COG
Continuity of Government
HHS
Department of Health and Human Services
COI
Community of Interest
HITRAC
COOP
Continuity of Operations
Department of Homeland Security’s Homeland
Infrastructure Threat and Risk Analysis Center
COP
Common Operating Picture
HMGP
Hazard Mitigation Grant Program
CSIA IWG
Cyber Security and Information Assurance
Interagency Working Group
HSAC
Homeland Security Advisory Council
HSAS
Homeland Security Advisory System
CSIRT
Computer Security Incident Response Teams
HSC
Homeland Security Council
DHS
Department of Homeland Security
HSEEP
DoD
Department of Defense
Homeland Security Exercise and Evaluation
Program
DOE
Department of Energy
HSIN
Homeland Security Information Network
DOJ
Department of Justice
HSIN-CS
DOT
Department of Transportation
Homeland Security Information Network for
Critical Sectors
ECTF
Electronic Crimes Task Force
HSIP
Homeland Security Infrastructure Program
E.O.
Executive Order
HSOC
Homeland Security Operations Center
EOP
Executive Office of the President
HSPD
Homeland Security Presidential Directive
EPA
Environmental Protection Agency
iCAV
Integrated Common Analytical Viewer
List of Acronyms and Abbreviations
105
IDW
Infrastructure Data Warehouse
NICC
National Infrastructure Coordinating Center
IED
Improvised Explosive Device
NIJ
National Institute of Justice
IICD
Infrastructure Information Collection Division
NIMS
National Incident Management System
IICP
Infrastructure Information Collection Program
NIPP
National Infrastructure Protection Plan
IICS
Infrastructure Information Collection System
NISAC
IICV
Infrastructure Information Collection and
Visualization
National Infrastructure Simulation and Analysis
Center
NIST
National Institute of Standards and Technology
IDM
Infrastructure Data Management
NJTTF
National Joint Terrorism Task Force
IP
Office of Infrastructure Protection (Division
of DHS National Protection and Programs
Directorate)
NOC
National Operations Center
NOC-HQE
National Operations Center—Headquarters
Element
NRC
Nuclear Regulatory Commission
NRCC
National Response Coordination Center
NRF
National Response Framework
NSA
National Security Agency
NSC
National Security Council
NS/EP
National Security and Emergency Preparedness
NSTAC
National Security Telecommunications
Advisory Committee
NSTC
National Science and Technology Council
OAS
Organization of American States
OCA
Original Classification Authority
OECD
Organisation for Economic Co-operation and
Development
IRAPP
Infrastructure Risk Analysis Partnership
Program
ISAC
Information Sharing and Analysis Center
ISE
Information-Sharing Environment
IWWN
International Watch and Warning Network
IV
Infrastructure Visualization
JCG
Joint Contact Group
JTTF
Joint Terrorism Task Force
LEO
Law Enforcement Online
MIFC
Maritime Intelligence Fusion Center
MS-ISAC
Multi-State Information Sharing and Analysis
Center
NATO
North Atlantic Treaty Organization
NCC
National Coordinating Center for
Telecommunications
OI&A
Office of Intelligence and Analysis (Division of
DHS Preparedness Directorate)
NCIP R&D
National Critical Infrastructure Protection
Research and Development
OMB
Office of Management and Budget
NCRCG
National Cyber Response Coordination Group
OSTP
Office of Science and Technology Policy
NCS
National Communications System
PCC
Policy Coordination Committee
NCSA
National Cyber Security Alliance
PCII
Protected Critical Infrastructure Information
NCSD
DHS National Cyber Security Division
PDD
Presidential Decision Directive
NCTC
National Counterterrorism Center
PNT
Position, Navigation, and Timing
NEP
National Exercise Program
PSA
Protective Security Advisor
NHC
National Hurricane Center
PVTSAC
Private Sector Senior Advisory Committee
NIAC
National Infrastructure Advisory Council
RCCC
Regional Consortium Coordinating Council
NIAP
National Information Assurance Partnership
R&D
Research and Development
RISS
Regional Information Sharing Systems
106
National Infrastructure Protection Plan
SAV
Site Assistance Visit
SCADA
Supervisory Control and Data Acquisition
SCC
Sector Coordinating Council
SHIRA
Strategic Homeland Infrastructure Risk Analysis
SHSP
State Homeland Security Program
SLFC
State and Local Fusion Center
SLTTGCC
State, Local, Tribal, and Territorial Government
Coordinating Council
SPP
Security and Prosperity Partnership of North
America
SSA
Sector-Specific Agency
SSI
Sensitive Security Information
SSP
Sector-Specific Plan
S&T
Science and Technology Directorate of DHS
SVA
Security Vulnerability Assessment
TCL
Target Capabilities List
TSA
Transportation Security Administration
UASI
Urban Areas Security Initiative
UCNI
Unclassified Controlled Nuclear Information
UDOP
User Defined Operational Picture
U.S.
United States
U.S.C.
United States Code
US-CERT
United States Computer Emergency Readiness
Team
USCG
United States Coast Guard
UTL
Universal Task List
VBIED
Vehicle Borne Improvised Explosive Device
ViSAT
Vulnerability Identification Self-Assessment
Tool
WMD
Weapons of Mass Destruction
List of Acronyms and Abbreviations
107
Glossary of Key Terms
Many of the definitions in this Glossary are derived from
language enacted in Federal laws and/or included in national
plans, including the Homeland Security Act of 2002, the USA
PATRIOT Act of 2001, the National Incident Management
System, and the National Response Framework. Additional
definitions come from the DHS Lexicon.
All-Hazards. A grouping classification encompassing all
conditions, environmental or manmade, that have the
potential to cause injury, illness, or death; damage to or loss
of equipment, infrastructure services, or property; or alternatively causing functional degradation to social, economic, or
environmental aspects.
Asset. Person, structure, facility, information, material, or
process that has value. In the context of the NIPP, people are
not considered assets.
Business Continuity. The ability of an organization to continue to function before, during, and after a disaster.
Chemical Facility Anti-Terrorism Standards (CFATS). Section
550 of the DHS Appropriations Act of 2007 grants the
Department of Homeland Security the authority to regulate
chemical facilities that “present high levels of security risk.”
The CFATS establish a risk-informed approach to screening
and securing chemical facilities determined by DHS to be
“high risk.”
CIKR Partner. Those Federal, State, local, tribal, or territorial
governmental entities, public and private sector owners and
operators and representative organizations, regional organizations and coalitions, academic and professional entities, and
certain not-for-profit and private volunteer organizations that
share in the responsibility for protecting the Nation’s CIKR.
Consequence. The effect of an event, incident, or occur-
rence. For the purposes of the NIPP, consequences are
divided into four main categories: public health and safety,
economic, psychological, and governance impacts.
Control Systems. Computer-based systems used within many
infrastructure and industries to monitor and control sensitive
processes and physical functions. These systems typically collect measurement and operational data from the field, process
and display the information, and relay control commands
to local or remote equipment or human-machine interfaces
Glossary of Key Terms
(operators). Examples of types of control systems include
SCADA systems, Process Control Systems, and Distributed
Control Systems.
Critical Infrastructure. Systems and assets, whether physical
or virtual, so vital that the incapacity or destruction of such
may have a debilitating impact on the security, economy,
public health or safety, environment, or any combination of
these matters, across any Federal, State, regional, territorial,
or local jurisdiction.
Critical Infrastructure Information (CII). Information that is
not customarily in the public domain and is related to the
security of critical infrastructure or protected systems. CII
consists of records and information concerning any of the
following:
• Actual, potential, or threatened interference with, attack
on, compromise of, or incapacitation of critical infrastructure or protected systems by either physical or computerbased attack or other similar conduct (including the misuse
of or unauthorized access to all types of communications
and data transmission systems) that violates Federal, State,
or local law; harms the interstate commerce of the United
States; or threatens public health or safety.
• The ability of any critical infrastructure or protected system
to resist such interference, compromise, or incapacitation,
including any planned or past assessment, projection, or
estimate of the vulnerability of critical infrastructure or a
protected system, including security testing, risk evaluation
thereto, risk management planning, or risk audit.
• Any planned or past operational problem or solution
regarding critical infrastructure or protected systems,
including repair, recovery, insurance, or continuity, to the
extent that it is related to such interference, compromise, or
incapacitation.
Cybersecurity. The prevention of damage to, unauthorized
use of, or exploitation of, and, if needed, the restoration of
electronic information and communications systems and
the information contained therein to ensure confidentiality,
integrity, and availability. Includes protection and restoration, when needed, of information networks and wireline,
wireless, satellite, public safety answering points, and 911
communications systems and control systems.
109
Cyber System. Any combination of facilities, equipment,
personnel, procedures, and communications integrated to
provides cyber services. Examples include business systems,
control systems, and access control systems.
Dependency. The one-directional reliance of an asset, system,
network, or collection thereof, within or across sectors, on
input, interaction, or other requirement from other sources
in order to function properly.
Function. Service, process, capability, or operation performed
by an asset, system, network, or organization.
Government Coordinating Council. The government coun-
terpart to the SCC for each sector established to enable
interagency coordination. The GCC comprises representatives
across various levels of government (Federal, State, local,
tribal, and territorial) as appropriate to the security and
operational landscape of each individual sector.
Hazard. Natural or manmade source or cause of harm or
difficulty.
HSPD-19. This directive establishes a national policy and calls
for the development of a national strategy and implementation plan on the prevention and detection of, protection
against, and response to terrorist use of explosives in the
United States.
Incident. An occurrence, caused by either human action or
natural phenomena, that may cause harm and may require
action. Incidents can include major disasters, emergencies,
terrorist attacks, terrorist threats, wild and urban fires, floods,
hazardous materials spills, nuclear accidents, aircraft accidents, earthquakes, hurricanes, tornadoes, tropical storms,
war-related disasters, public health and medical emergencies,
and other occurrences requiring an emergency response.
Infrastructure. The framework of interdependent networks
and systems comprising identifiable industries, institutions
(including people and procedures), and distribution capabilities that provide a reliable flow of products and services
essential to the defense and economic security of the United
States, the smooth functioning of government at all levels,
and society as a whole. Consistent with the definition in the
Homeland Security Act, infrastructure includes physical,
cyber, and/or human elements.
Interdependency. Mutually reliant relationship between enti-
ties (objects, individuals, or groups). The degree of interdependency does not need to be equal in both directions.
Key Resources. As defined in the Homeland Security Act,
key resources are publicly or privately controlled resources
110
essential to the minimal operations of the economy and
government.
Mitigation. Ongoing and sustained action to reduce the prob-
ability of or lessen the impact of an adverse incident.
Network. A group of components that share information or
interact with each other in order to perform a function.
Normalize. In the context of the NIPP, the process of transforming risk-related data into comparable units.
Owners/Operators. Those entities responsible for day-to-day
operation and investment in a particular asset or system.
Preparedness. Activities necessary to build, sustain, and
improve readiness capabilities to prevent, protect against,
respond to, and recover from natural or manmade incidents.
Preparedness is a continuous process involving efforts at
all levels of government and between government and the
private sector and nongovernmental organizations to identify threats, determine vulnerabilities, and identify required
resources to prevent, respond to, and recover from major
incidents.
Prevention. Actions taken and measures put in place for the
continual assessment and readiness of necessary actions to
reduce the risk of threats and vulnerabilities, to intervene and
stop an occurrence, or to mitigate effects.
Prioritization. In the context of the NIPP, prioritization is
the process of using risk assessment results to identify where
risk-reduction or -mitigation efforts are most needed and
subsequently determine which protective actions should be
instituted in order to have the greatest effect.
Protected Critical Infrastructure Information (PCII). PCII
refers to all critical infrastructure information, including
categorical inclusion PCII, that has undergone the validation
process and that the PCII Program Office has determined
qualifies for protection under the CII Act. All information
submitted to the PCII Program Office or Designee with
an express statement is presumed to be PCII until the PCII
Program Office determines otherwise.
Protection. Actions or measures taken to cover or shield
from exposure, injury, or destruction. In the context of the
NIPP, protection includes actions to deter the threat, mitigate
the vulnerabilities, or minimize the consequences associated with a terrorist attack or other incident. Protection can
include a wide range of activities, such as hardening facilities,
building resiliency and redundancy, incorporating hazard
resistance into initial facility design, initiating active or passive countermeasures, installing security systems, promoting
National Infrastructure Protection Plan
workforce surety, training and exercises, and implementing
cybersecurity measures, among various others.
ment, or society. The NIPP addresses 18 CIKR sectors, identified by the criteria set forth in HSPD-7.
Recovery. The development, coordination, and execution of
Sector Coordinating Council. The private sector counterpart to the GCC, these councils are self-organized, self-run,
and self-governed organizations that are representative of a
spectrum of key stakeholders within a sector. SCCs serve as
the government’s principal point of entry into each sector for
developing and coordinating a wide range of CIKR protection
activities and issues.
service- and site-restoration plans for affected communities
and the reconstitution of government operations and services
through individual, private sector, nongovernmental, and
public assistance programs that identify needs and define
resources; provide housing and promote restoration; address
long-term care and treatment of affected persons; implement
additional measures for community restoration; incorporate
mitigation measures and techniques, as feasible; evaluate the
incident to identify lessons learned; and develop initiatives to
mitigate the effects of future incidents.
Resilience. The ability to resist, absorb, recover from, or suc-
cessfully adapt to adversity or a change in conditions.
Response. Activities that address the short-term, direct
effects of an incident, including 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. As indicated by the situation, response
activities include applying intelligence and other information
to lessen the effects or consequences of an incident; increasing security operations; continuing investigations into the
nature and source of the threat; ongoing surveillance and
testing processes; immunizations, isolation, or quarantine;
and specific law enforcement operations aimed at preempting, interdicting, or disrupting illegal activity, and apprehending actual perpetrators and bringing them to justice.
Risk. The potential for an unwanted outcome resulting from
an incident, event, or occurrence, as determined by its likelihood and the associated consequences.
Risk-Informed Decisionmaking. The determination of a
course of action predicated on the assessment of risk, the
expected impact of that course of action on that risk, and
other relevant factors.
Risk Management Framework. A planning methodology that
outlines the process for setting goals and objectives; identifying assets, systems, and networks; assessing risks; prioritizing
and implementing protection programs and resiliency strategies; measuring performance; and taking corrective action.
Public and private sector entities often include risk management frameworks in their business continuity plans.
Sector. A logical collection of assets, systems, or networks
that provide a common function to the economy, governGlossary of Key Terms
Sector Partnership Model. The framework used to promote
and facilitate sector and cross-sector planning, coordination,
collaboration, and information sharing for CIKR protection
involving all levels of government and private sector entities.
Sector Specialists. DHS Sector Specialists provide coordina-
tion and integration capability across the CIKR sectors to
provide senior DHS decisionmakers with strategic (nationallevel) situational awareness and assessments of CIKR impacts
both on a steady-state basis and during incidents.
Sector-Specific Agency. Federal departments and agencies
identified in HSPD-7 as responsible for CIKR protection
activities in specified CIKR sectors.
Sector-Specific Plan. Augmenting plans that complement
and extend the NIPP Base Plan and detail the application of
the NIPP framework specific to each CIKR sector. SSPs are
developed by the SSAs in close collaboration with other sector partners.
Steady-State. In the context of the NIPP, steady-state is
the posture for routine, normal, day-to-day operations as
contrasted with temporary periods of heightened alert or
real-time response to threats or incidents.
System. Any combination of facilities, equipment, personnel,
procedures, and communications integrated for a specific
purpose.
Terrorism. Premeditated threat or act of violence against noncombatant persons, property, and environmental or economic
targets to induce fear, intimidate, coerce, or affect a government, the civilian population, or any segment thereof, in furtherance of political, social, ideological, or religious objectives.
Threat. A natural or manmade occurrence, individual, entity,
or action that has or indicates the potential to harm life,
information, operations, the environment, and/or property.
Tier 1. Tier 1 facilities and systems are those that if success-
fully destroyed or disrupted through terrorist attack would
cause major national or regional impacts similar to those
111
experienced with Hurricane Katrina or the September 11,
2001, attacks.
Tier 2. Tier 2 facilities and systems are those that meet
predefined, sector-specific criteria and that are not Tier 1
facilities or systems.
Value Proposition. A statement that outlines the national
and homeland security interest in protecting the Nation’s
CIKR and articulates the benefits gained by all CIKR partners
through the risk management framework and public-private
partnership described in the NIPP.
Vulnerability. A physical feature or operational attribute that
renders an entity open to exploitation or susceptible to a
given hazard.
Weapons of Mass Destruction. Weapon capable of a high
order of destruction and/or of being used in such a manner as to destroy large numbers of people or an amount of
property.
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National Infrastructure Protection Plan
Appendix 1: Special Considerations
Appendix 1A: Cross-Sector Cybersecurity
1A.1 Introduction
The United States relies on cyber infrastructure for government operations, a vibrant economy, and the health and safety of
its citizens. However, malicious actors can and do conduct attacks against critical cyber infrastructure on an ongoing basis.
While both public and private sector owners and operators actively manage the risk to their operations through monitoring
and mitigation activities designed to prevent daily incidents from becoming significant disruptions, increasingly sophisticated
threats require a more thorough examination of cyber risk and the associated risks to cybersecurity. Furthermore, nation-states
are realizing that hacking tools, methods, and tactics offer asymmetric opportunities for espionage, countering military force,
and economic and geopolitical advantages. These threat vectors, combined with insider threat and a range of other pervasive
cyber threats to critical infrastructure, highlight the need for public, private, academic, and international entities to collaborate
and enhance cybersecurity awareness and preparedness efforts, and to ensure that the cyber elements of CIKR are:
• Robust enough to withstand attacks without incurring catastrophic damage;
• Resilient enough to sustain nationally critical operations; and
• Responsive enough to recover from attacks in a timely manner.
While Chapter 3 of the NIPP discusses specific cybersecurity concerns during each phase of the NIPP risk management framework, the following sections of this appendix discuss the processes, procedures, tools, programs, and methodologies that public and private sector entities, CIKR sectors, academic institutions, and international entities can use to enhance cybersecurity.
1A.1.1 Value Proposition for Cybersecurity
The value proposition for cybersecurity aligns with that for CIKR protection in general, as discussed in chapter 1 of the NIPP,
but with a concentrated focus on cyber infrastructure. Many CIKR functions and services are enabled through cyber systems
Appendix 1A: Cross-Sector Cybersecurity
113
and services; if cybersecurity is not appropriately addressed, the risk to CIKR is increased. The responsibility for cybersecurity spans all CIKR partners, including public and private sector entities. The NIPP provides a coordinated and collaborative
approach to help public and private sector partners understand and manage cyber risk.
The NIPP promotes cybersecurity by facilitating participation and partnership in CIKR protection initiatives, leveraging cyberspecific expertise and experiences, and improving information exchange and awareness of cybersecurity concerns. It also provides a framework for public and private sector partner efforts to recognize and address the similarities and differences among
the approaches to cyber risk management for business continuity and national security. This framework enables CIKR partners
to work collaboratively to make informed cyber risk management decisions, define national cyber priorities, and address cybersecurity as part of an overall national CIKR protection strategy.
1A.1.2 Definitions
The following definitions explain key terms and concepts related to the cyber dimension of CIKR protection:
• Cyber Infrastructure: Includes electronic information and communications systems and services and the information
contained therein. Information and communications systems and services are composed of all hardware and software that
process, store, and communicate information, or any combination of all of these elements. Processing includes the creation,
access, modification, and destruction of information. Storage includes paper, magnetic, electronic, and all other media types.
Communications include sharing and distribution of information. For example: computer systems; control systems (e.g.,
SCADA); networks, such as the Internet; and cyber services (e.g., managed security services) are part of cyber infrastructure:
– Producers and providers of cyber infrastructure and services represent the information technology industrial base and
make up the Information Technology Sector. The producers and providers of cyber infrastructure and services play a key
role in developing secure and reliable products and services.
– Consumers of cyber infrastructure must maintain its security as new vulnerabilities are identified and the threat environment evolves. Individuals, whether private citizens or employees with cyber systems administration responsibility, play
a significant role in managing the security of computer systems to ensure that they are not used to enable attacks against
CIKR.
• Information Technology (IT): These critical functions are sets of processes that produce, provide, and maintain products
and services. IT critical functions encompass the full set of processes (e.g., R&D, manufacturing, distribution, upgrades, and
maintenance) involved in transforming supply inputs to IT products and services.
• Cybersecurity: The prevention of damage to, unauthorized use of, exploitation of, and, if needed, the restoration of electronic
information and communications systems and services (and the information contained therein) to ensure confidentiality,
integrity, and availability.
• Cross-Sector Cybersecurity: Collaborative efforts among DHS, the SSAs, and other CIKR partners to improve the cybersecurity of the CIKR sectors by facilitating cyber risk-mitigation activities.
1A.1.3 Cyber-Specific Authorities
Various Federal strategies, directives, policies, and regulations provide the basis for Federal actions and activities associated
with implementing the cyber-specific aspects of the NIPP. The four primary authorities associated with cybersecurity are the
National Strategy to Secure Cyberspace, HSPD-7, NSPD-54/HSPD-23, and the Homeland Security Act. These documents are
described in further detail in appendix 2A.
1A.2 Cybersecurity Responsibilities
The National Strategy to Secure Cyberspace, HSPD-7, NSPD-54/HSPD-23, and the Homeland Security Act identify the responsibilities of the various CIKR partners with a role in securing cyberspace. These roles and responsibilities are described in more
detail below.
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National Infrastructure Protection Plan
1A.2.1 Department of Homeland Security
In accordance with HSPD-7, DHS is a principal focal point for the security of cyberspace. DHS has specific responsibilities
regarding the coordination of the efforts of CIKR partners to prevent damage, unauthorized use, and exploitation and to enable
the restoration of cyber infrastructure to ensure confidentiality, integrity, and availability. These responsibilities include:
• Developing a comprehensive national plan for securing U.S. CIKR;
• Providing crisis management in response to incidents involving cyber infrastructure;
• Providing technical assistance to other governmental entities and the private sector with respect to emergency recovery plans
for incidents involving cyber infrastructure;
• Coordinating with other Federal agencies to provide specific warning information and advice on appropriate protective measures and countermeasures to: State, local, and tribal governments; the private sector; academia; and the public;
• Conducting and funding cybersecurity R&D, in partnership with other agencies, which will lead to new scientific understanding and technologies in support of homeland security; and
• Assisting the SSAs in understanding and mitigating cyber risk, and in developing effective and appropriate protective measures.
Within the risk management framework described in the NIPP, DHS is also responsible for the following activities:
• Providing cyber-specific expertise and assistance in addressing the cyber elements of CIKR;
• Promoting a comprehensive national awareness program to empower businesses, the workforce, and individuals to secure
their own segments of cyberspace;
• Working with CIKR partners to reduce cyber vulnerabilities and minimize the severity of cyber attacks;
• Coordinating the development and conduct of national cyber threat assessments;
• Providing input on cyber-related issues for the National Intelligence Estimate of cyber threats to the United States;
• Facilitating cross-sector cyber analysis to understand and mitigate cyber risk;
• Providing guidance, review, and functional advice on the development of effective cyber-protective measures; and
• Coordinating cybersecurity programs and contingency plans, including the recovery of Internet functions.
1A.2.2 Sector-Specific Agencies
Recognizing that each CIKR sector possesses its own unique characteristics and operating models, the SSAs provide subject matter and industry expertise through relationships with the private sector to enable protection of the assets, systems, networks,
and functions that they provide within each of the sectors. The SSAs are working with their private sector counterparts to
understand and mitigate cyber risk by:
• Identifying subject matter expertise regarding the cyber aspects of their sector;
• Increasing awareness of how the business and operational aspects of the sector rely on cyber systems and processes;
• Determining whether approaches for CIKR inventory, risk assessment, and protective measures currently: address cyber assets, systems, and networks; require enhancement; or require the use of alternative approaches;
• Reviewing and modifying existing and future sector efforts to ensure that cyber concerns are fully integrated into sector
security strategies and protective activities;
• Establishing mutual assistance programs for cybersecurity emergencies, as appropriate;
• Establishing planning, training, and exercise programs according to HSEEP; and
Appendix 1A: Cross-Sector Cybersecurity
115
• Exchanging cyber-specific information with sector partners, including the international community, as appropriate, to improve the Nation’s overall cybersecurity posture.
1A.2.3 Other Federal Departments and Agencies
All Federal departments and agencies must manage the security of their cyber infrastructure while maintaining an awareness of
vulnerabilities and consequences to ensure that the cyber infrastructure is not used to enable attacks against the Nation’s CIKR.
A number of Federal agencies have specific additional responsibilities outlined in the National Strategy to Secure Cyberspace:
• The Department of Justice and the Federal Trade Commission: Working with the sectors to address barriers to mutual assistance programs for cybersecurity emergencies.
• The Department of Justice and Other Federal Agencies:
––Developing and implementing efforts to reduce or mitigate cyber threats by acquiring more robust data on victims of cyber
crime and intrusions;
––Leading the national effort to investigate and prosecute those who conduct or attempt to conduct cyber attacks;
––Exploring the means to provide sufficient investigative and forensic resources and training to facilitate expeditious investigation and resolution of CIKR incidents; and
––Identifying ways to improve cyber information sharing and investigative coordination among Federal, State, local, and
tribal law enforcement communities; other agencies; and the private sector.
• The Federal Bureau of Investigation and the Intelligence Community: Ensuring a strong counterintelligence posture to
deter intelligence collection against the Federal Government, as well as commercial and educational organizations.
• The Intelligence Community, the Department of Defense, and Law Enforcement Agencies: Improving the Nation’s ability
to quickly attribute the source of threats or attacks to enable a timely and effective response.
1A.2.4 State, Local, Tribal, and Territorial Governments
State, local, tribal, and territorial governments are encouraged to implement the following cyber recommendations:
• Managing the security of their cyber infrastructure while maintaining an awareness of threats, vulnerabilities, and consequences to ensure that it is not used to enable attacks against CIKR, and ensuring that government offices manage their
computer systems accordingly;
• Participating in significant national, regional, and local awareness programs to encourage local governments and citizens to
manage their cyber infrastructure appropriately;
• Establishing planning, training, and exercise programs according to HSEEP; and
• Establishing cybersecurity programs, including policies, plans, procedures, recognized business practices, awareness, and
audits.
1A.2.5 Owners and Operators
Owners and operators are encouraged to implement the following recommendations as indicated in the National Strategy to
Secure Cyberspace:
• Managing the security and resiliency of their cyber infrastructure while maintaining an awareness of vulnerabilities and consequences to ensure that it is not used to enable attacks against the Nation’s CIKR;
• Participating in sector-wide programs to share information on cybersecurity;
• Evaluating the security of networks that affect the security of the Nation’s CIKR, including:
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––Conducting audits to ensure effectiveness and the use of best practices;
––Developing continuity plans that consider the full spectrum of necessary resources, including off-site staff and equipment;
and
––Participating in industry-wide information sharing and best practices dissemination;
• Reviewing and exercising continuity plans for cyber infrastructure and examining alternatives (e.g., diversity in service providers, implementation of recognized cybersecurity practices) as a way of improving resiliency and mitigating risk;
• Identifying near-term R&D priorities that include programs for highly secure and trustworthy hardware, software, and protocols; and
• Promoting more secure out-of-the-box installation and implementation of software industry products, including: increasing user awareness of the security features of products; ease of use for security functions; and, where feasible, promotion of
industry guidelines and best practices that support such efforts.
1A.2.6 Academia
Colleges and universities are encouraged to implement several recommendations as indicated in the National Strategy to Secure
Cyberspace:
• Managing the security of their cyber infrastructure while maintaining awareness of vulnerabilities and consequences to ensure that it is not used to enable attacks against the Nation’s CIKR;
• Establishing appropriate information-sharing mechanisms to deal with cyber attacks and vulnerabilities;
• Establishing an on-call point of contact for Internet service providers and law enforcement officials in the event that the institution’s cyber assets, systems, or networks are discovered to be launching cyber attacks; and
• Establishing model guidelines empowering Chief Information Officers to manage cybersecurity, develop and exchange best
practices for cybersecurity, and promote model user awareness programs.
1A.3 Cross-Sector Cybersecurity Programs
Since each sector has a unique reliance on cyber infrastructure, DHS will assist the SSAs in developing a range of effective and
appropriate cyber-protective measures. To assist the SSAs, DHS has established several vulnerability-reduction programs under
the NIPP risk management framework, including:
• Critical Infrastructure Protection Cybersecurity (CIP CS) Program: The CIP CS Program strengthens preparedness by
partnering with the public and private sectors to improve the security of the IT Sector and cybersecurity across the Nation’s
critical infrastructure by facilitating risk management activities that reduce cyber vulnerabilities and minimize the
Cyber Security Vulnerability Assessment (CSVA)
severity of cyber attacks. The program includes responsibilDeveloped by the DHS National Cyber Security Division (NCSD)
ity for the development and implementation of the IT SSP;
CIP CS Program, the CSVA is a flexible and scalable approach
for cross-sector cyber support to SSAs as they maintain and
that analyzes an entity’s cybersecurity posture and describes
implement their SSPs and reduce cyber risk to their sectors;
gaps and targeted considerations that can reduce overall
and support to IP for development of the NIPP’s cyber comcyber risks.
ponent, SSP development guidance and technical assistance
The CSVA assesses the policies, plans, and procedures in
sessions, and the National CIKR Protection Annual Report.
place to reduce cyber vulnerabilities and leverages vari• Software Assurance Program: Public and private sector
partners work together to develop best practices and new
technologies to promote integrity, security, and reliability
in software development. DHS leads the Software Assurance Program, a comprehensive effort that addresses people,
Appendix 1A: Cross-Sector Cybersecurity
ous recognized standards, guidance, and methodologies
(e.g., International Organization for Standardization 27001,
Information Systems Audit and Control Association (ISACA)
Control Objects for Information and Related Technologies
(COBIT), and the NIST Special Publication 800 series).
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processes, technology, and acquisition throughout the software life cycle. Focused on shifting away from the current security
paradigm of patch management, these efforts will encourage the production of higher quality, more secure software. These
efforts to promote a broader ability to routinely develop and deploy trustworthy software products through public-private
partnerships are a significant element of securing cyberspace and the Nation’s CIKR. DHS also partners with NIST in the
National Information Assurance Partnership (NIAP), a Federal Government initiative originated to meet the security testing
needs of both information technology consumers and producers. NIAP is operated by NSA to address security testing, evaluation, and validation programs.
• Control System Security Program: The NCSD Control System
Security Program coordinates efforts among Federal, State, local, tribal, and territorial governments, as well as control system owners, operators, and vendors to improve control system security within and across all CIKR sectors. The Control
System Security Program coordinates activities to reduce the
likelihood of the success and severity of a cyber attack against
critical infrastructure control systems through risk-mitigation
activities. These activities include assessing and managing
control system vulnerabilities, assisting the US-CERT Control
Systems Security Center with control system incident management, and providing control system situational awareness
through outreach and training initiatives.
Control System Cyber Security Self-Assessment Tool
(CS2SAT)
Developed by the NCSD Control System Security Program, the
CS2SAT is a desktop software tool that guides users through
a step-by-step process to assess their control system network
and then makes appropriate recommendations for improving the system’s cybersecurity posture based on recognized
security standards.
The tool derives its recommendations from a database of
cybersecurity practices that have been adapted specifically for
application to industry control system networks and components.
Each recommendation is linked to a set of actions that can be
applied to remediate specific security vulnerabilities.
• The Standards and Best Practices Program: As part of its
efforts to develop practical guidance and review tools, and to promote R&D investment in cybersecurity, DHS and NIST
co-sponsor the National Vulnerability Database. This database provides centralized and comprehensive vulnerability mitigation resources for all types of users, including the general public, system administrators, and vendors to assist with incident
prevention and management (including links to patches) to mitigate consequences and vulnerabilities.
• The Cyber Exercise Program: Through this program, DHS and CIKR partners conduct exercises to improve coordination among
members of the cyber incident response community, including Federal, State, local, tribal, territorial, and international governmental entities, as well as private sector corporations, coordinating councils, and academic institutions. The main objectives of
national cyber exercises are to: practice coordinated response to cyber attack scenarios; provide an environment for evaluation
of interagency and cross-sector processes, procedures, and tools for communications and response to cyber incidents; and foster
improved information sharing among government agencies and between government and private industry.
In addition to specific DHS cybersecurity infrastructure protection programs, DHS has partnered with other public and private
sector entities to develop and implement specific programs to help improve the security of cyber infrastructure across sectors,
as well as to support national cyber risk-mitigation activities, including:
• Government Forum of Incident Response and Security Teams (GFIRST): Following the model of the global FIRST organization, the Federal interagency community established GFIRST to facilitate interagency information sharing and cooperation
across Federal agencies for readiness and response efforts. GFIRST is a group of technical and tactical security response team
practitioners who are responsible for securing government IT systems. The members work together to understand and deal
with computer security incidents and to encourage proactive and preventive security practices.
• Cross-Sector Cybersecurity Working Group (CSCSWG): The CSCSWG serves as a forum to bring government and the private
sector together to collaboratively address risk across the CIKR sectors. This cross-sector perspective facilitates the sharing of
perspectives and knowledge about various cybersecurity concerns, such as common vulnerabilities and protective measures,
and leverages functional cyber expertise in a comprehensive forum.
• The National Cyber Response Coordination Group (NCRCG): The NCRCG serves as the Federal Government’s principal
interagency mechanism for operational information sharing and coordination of Federal Government response and recovery
efforts during a cyber crisis. NCRCG member agencies use their established relationships with the private sector and State,
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local, tribal, and territorial governments to facilitate cyber incident management, develop courses of action, and devise appropriate response and recovery strategies. NCRCG facilitates coordination of the Federal Government’s efforts to prepare for,
respond to, and recover from cyber incidents and physical attacks that have significant cyber consequences.
The Federal Government is continually increasing their capability to address cyber risk associated with critical networks and
information systems beyond the previously mentioned DHS and DHS-partnered programs and entities. NSPD-54/HSPD-23
outlined the Comprehensive National Cybersecurity Initiative (CNCI) and a series of continuous efforts designed to establish a
frontline defense by: reducing current vulnerabilities and preventing intrusions; defending against the full spectrum of threats
by using intelligence and strengthening supply chain security; and shaping the future environment by enhancing our research,
development, and education, as well as investing in leap-ahead technologies.
NSPD-54/HSPD-23 directs the Secretary of Homeland Security, in consultation with the heads of other SSAs, to submit a report
detailing the policy and resource requirements for improving the protection of privately owned U.S. CIKR networks. The report
details how the Federal Government can partner with the private sector to leverage investment in technology, increase awareness about the extent and severity of the cyber threats facing CIKR, and enhance real-time cyber situational awareness. Under
the auspices of the CIPAC, DHS formed a private sector CIKR working group to respond to this task. Private sector input proved
to be critical in enabling DHS to fully appreciate the scale and scope of the task and to develop a set of actionable recommendations that accurately reflect the reality of the shared responsibility between the public and private sectors with respect
to securing the Nation’s cyber assets, systems, and networks. DHS is now working through the CIPAC and NIPP Partnership
Framework to implement the short- and long-term recommendations in the report, as well as engage the private sector in other
CNCI activities.
1A.4 Ensuring Long-Term Cybersecurity
The effort to ensure a coherent cyber CIKR protection program over the long term has four components that are described in
greater detail below:
• Information Sharing and Awareness: Ensures implementation of effective, coordinated, and integrated protection of cyber
assets, systems, and networks, and the functions that they provide, and enables cybersecurity partners to make informed
decisions with regard to short- and long-term cybersecurity postures, risk mitigation, and operational continuity.
• International Cooperation: Promotes a global culture of cybersecurity and improves the overall cyber incident preparedness
and response posture.
• Training and Education: Ensures that skilled and knowledgeable cybersecurity professionals are available to undertake NIPP
programs in the future.
• Research and Development: Improves cybersecurity protective capabilities or dramatically lowers the costs of existing capabilities so that State, local, tribal, territorial, and private sector partners can afford to do more with their limited budgets.
1A.4.1 Information Sharing and Awareness
Information sharing and awareness involves sharing programs with agency partners and other CIKR partners, and special sharing arrangements for emergency situations. Each of these is discussed below:
Interagency Coordination: Interagency cooperation and information sharing are essential to improving national cyber counterintelligence and law enforcement capabilities. The intelligence and law enforcement communities have both official and
informal mechanisms in place for information sharing that DHS supports:
• FBI’s Cyber Task Forces involve more than 50 law enforcement agency cyber task forces and more than 80 additional cyber
working groups throughout the country, collaborating with Federal, State, and local partners to maximize investigative resources to ensure a timely and effective response to cybersecurity threats of both a criminal and a national security nature.
• FBI’s InfraGard program is a public-private partnership coordinated out of the 56 FBI field offices nationwide. This program
brings together law enforcement, academia, and private sector entities on a monthly basis to provide a forum for information
sharing and networking.
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119
• FBI’s Inter-Agency Coordination Cell is a multi-agency group focused on sharing law enforcement information on cyberrelated investigations.
• U.S. Secret Service’s Electronic Crimes Task Forces provide interagency coordination on cyber-based attacks and intrusions.
Information Sharing and Analysis Centers: Underscoring the effectiveness of cybersecurity efforts is the importance of information sharing between and among industry and government. To this end, the Information Technology and Communications
ISACs work closely together and with DHS and the SSAs to maximize resources, coordinate preparedness and response efforts,
and maintain situational awareness to enable risk mitigation regarding cyber infrastructure.
Cybersecurity Awareness for CIKR Partners: DHS plays an important leadership role in coordinating a public-private partnership
to promote and raise cybersecurity awareness among the general public by:
• Partnering with other Federal and private sector organizations to sponsor the National Cyber Security Alliance (NCSA), including creating a public-private organization, Stay Safe Online, to educate home users, small businesses, and K-12 and higher
education audiences on cybersecurity best practices.
• Engaging with the MS-ISAC to help enhance the Nation’s cybersecurity readiness and response at the State and local levels,
and launching a national cybersecurity awareness effort in partnership with the MS-ISAC. The MS-ISAC is an informationsharing organization, with representatives of State and local governments, that analyzes, sanitizes, and disseminates information pertaining to cyber events and vulnerabilities to its constituents and private industry.
• Collaborating with the NCSA, the MS-ISAC, and the public and private sector to establish October as National Cyber Security
Awareness Month and participating in activities to continuously raise cybersecurity awareness nationwide.
Cyberspace Emergency Readiness: DHS established the US-CERT, which is a 24/7 single point of contact for cyberspace analysis and warning, information sharing, and incident response and recovery for a broad range of users, including government,
enterprises, small businesses, and home users. US-CERT is a partnership between DHS and the public and private sectors that
is designed to help secure the Nation’s Internet infrastructure and coordinate defenses against and responses to cyber attacks
across the Nation. US-CERT is responsible for:
• Analyzing and reducing cyber threats and vulnerabilities;
• Disseminating cyber threat warning information; and
• Coordinating cyber incident response activities.
To support the information-sharing requirements of the network approach, US-CERT provides the following information on
their Web site, which is accessible through the HSIN and by mail:
• Cybersecurity Alerts: Written in a language for home, corporate, and new users, these alerts are published in conjunction
with technical alerts in the context of security issues that affect the general public.
• Cybersecurity Bulletins: Bulletins summarize information that has been published regarding emergent security issues and
vulnerabilities. They are published weekly and are written primarily for systems administrators and other technical users.
• Cybersecurity Tips: Tips provide information and advice on a variety of common cybersecurity topics. They are published
biweekly and are written primarily for home, corporate, and new users.
• National Web Cast Initiative: In an effort to increase cybersecurity awareness and education among the States, DHS, through
US-CERT and the MS-ISAC, has launched a joint partnership to develop a series of national Web casts that will examine critical and timely cybersecurity issues. The purpose of this initiative is to strengthen the Nation’s cyber readiness and resilience.
• Technical Cybersecurity Alerts: Written for systems administrators and experienced users, technical alerts provide timely
information on current cybersecurity issues and vulnerabilities.
US-CERT also provides a method for citizens, businesses, and other institutions to communicate and coordinate directly with
the Federal Government on matters of cybersecurity. The private sector can use the protections afforded by the Protected
Critical Infrastructure Information Act to electronically submit proprietary data to US-CERT.
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1A.4.2 International Coordination on Cybersecurity
The Federal Government proactively uses its intelligence capabilities to protect the country from cyber attack, its diplomatic
outreach and operational capabilities to build partnerships in the global community, and its law enforcement capabilities to combat
cyber crime wherever it originates. The private sector, international industry associations, and companies with global interests
and operations are also engaged in addressing cybersecurity internationally. For example, the U.S.-based Information Technology
Association of America participates in international cybersecurity conferences and forums, such as the India-based National
Association for Software and Service Companies Joint Conference. These efforts involve interaction with both the policy and
operational communities to coordinate national and international activities that are mutually supportive around the globe:
• International Cybersecurity Outreach: DHS, in conjunction with the DOS and other Federal agencies, engages in multilateral and bilateral discussions to further international security awareness and policy development, as well as incident response
team information-sharing and capacity-building objectives. The United States engages in bilateral discussions on important cybersecurity issues with close allies and others with whom the United States shares networked interdependencies, to
include, but not limited to, Australia, Canada, Egypt, Germany, Hungary, India, Italy, Japan, the Netherlands, Romania, the
United Kingdom, etc. The United States also provides leadership in multilateral and regional forums addressing cybersecurity and CIKR protection to encourage all nations to take systematic steps to secure their networked systems. For example,
U.S. initiatives include the APEC Telecommunications Working Group capacity-building program to help member countries
develop CSIRTs and the OAS framework proposal to create a regional computer incident response point-of-contact network
for information sharing and to help member countries develop CSIRTs. Other U.S. efforts to build a culture of cybersecurity
include participation in OECD, G8, and United Nations activities. The U.S. private sector is actively involved in this international outreach in partnership with the Federal Government.
• Collaboration on Cyber Crime: The U.S. outreach strategy for comprehensive cyber laws and procedures draws on the Council of Europe Convention on Cyber Crime, as well as on the following: (1) the G8 High-Tech Crime Working Group’s principles for fighting cyber crime and protecting critical information infrastructure; (2) the OECD guidelines on information and
network security; and (3) the United Nations General Assembly resolutions based on the G8 and OECD efforts. The goal of
this outreach strategy is to encourage individual nations and regional groupings of nations to join DHS in its efforts to protect
internationally interconnected national systems.
• Collaborative Efforts for Cyber Watch, Warning, and Incident Response: The Federal Government is working strategically
with key allies on cybersecurity policy and operational cooperation. For example, DHS is leveraging pre-existing relationships
among CSIRTs. DHS also has established a preliminary framework for cooperation on cybersecurity policy, watch, warning,
and incident response with key allies. The framework also incorporates efforts related to key strategic issues as agreed on by
these allies. An IWWN is being established among cybersecurity policy, computer emergency response, and law enforcement
participants representing 15 countries. The IWWN will provide a mechanism through which the participating countries can
share information in order to build global cyber situational awareness and coordinate incident response.
• Partnerships to Address the Cyber Aspects of Critical Infrastructure Protection: DHS and the SSAs are leveraging existing
agreements, such as the SPP and the JCG with the United Kingdom, to address the IT Sector and cross-cutting cyber components
of CIKR protection. The trilateral SPP builds on existing bilateral agreements between the United States and Canada and the United States and Mexico by allowing issues to be addressed on a dual binational basis. In the context of the JCG, DHS established a
10-point action plan to address cybersecurity policy, watch, warning, incident response, and other strategic initiatives.
1A.4.3 Training and Education
The National Strategy to Secure Cyberspace highlights the importance of cyberspace security training and education. Education
and training are strategic initiatives in which DHS and other Federal agencies are actively engaged to affect a greater awareness
and participation in efforts to promote cybersecurity in the future.
The Federal Government has undertaken several initiatives in partnership with the research and academic communities to better educate and train future cybersecurity practitioners:
Appendix 1A: Cross-Sector Cybersecurity
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• DHS developed the IT Security Essential Body of Knowledge (EBK): A Competency and Functional Framework for IT Security
Workforce Development. The EBK characterizes the IT security workforce and provides a national baseline representing the
essential knowledge and skills that IT security practitioners should have to perform specific roles and responsibilities. Specifically, the EBK does the following:
––Articulates the functions that professionals within the IT security workforce perform in a context-neutral format and language;
––Promotes uniform competency guidelines to increase the overall efficiency of IT security education, training, and professional development; and
––Provides content guidelines that can be leveraged to facilitate cost-effective professional development of the IT workforce,
including future skills training and certification, academic curricula, or other affiliated human resources activities.
• DHS co-sponsors the National CAEIAE program with NSA. There are now 94 centers of academic excellence across 38 States.
Together, DHS and NSA are working to expand the program to more universities.
• DHS collaborates with the National Science Foundation to co-sponsor and expand the Federal Cyber Services: Scholarship for
Service Program. The Scholarship for Service Program provides grant money to selected CAEIAE universities to fund the final
2 years of bachelor’s, master’s, or doctoral study in information assurance in exchange for an equal amount of time spent
working for the Federal Government.
• In fiscal year 2004, the joint DHS/Treasury Computer Investigative Specialist program trained 48 Federal criminal investigators in basic computer forensics. Agents from ICE, the Internal Revenue Service, and the U.S. Secret Service attended the basic
6½-week course. This training was funded through the Treasury Executive Office of Asset Forfeiture.
• Through DHS, DOJ, DoD, and DOS, the Federal Government provides cyber-related training to foreign cyber incident
responders (incident response management, creation of CSIRTs) and law enforcement personnel and jurists (law, computer
forensics, case handling).
1A.4.4 Research and Development
The Cyber Security Research and Development Act of 2002 authorized a multi-year effort to create more secure cyber technologies, expand cybersecurity R&D, and improve the cybersecurity workforce.
To further address cyber R&D needs, the White House’s OSTP established a Cyber Security and Information Assurance Interagency
Working Group (CSIA IWG) under the NSTC. The CSIA IWG was jointly chartered by NSTC’s Subcommittee on Networking and
Information Technology R&D and the Subcommittee on Infrastructure. This interagency working group includes participants from
20 organizations representing 11 departments and agencies, as well as several offices in the White House.
The purpose of the working group is to coordinate Federal programs for cybersecurity and information assurance R&D. It also
is responsible for developing the Federal Plan for Cyber Security and Information Assurance R&D, which includes near-term,
mid-term, and long-term cybersecurity research efforts in response to the National Strategy to Secure Cyberspace and HSPD-7.
The document includes descriptions of approximately 50 cybersecurity R&D topics, such as: Automated Attack Detection,
Warning, and Response; Forensics, Traceback, and Attribution; Security Technology and Policy Management Methods; Policy
Specification Languages; and Integrated, Enterprise-Wide Security Monitoring and Management. The document also identifies
the top cybersecurity and information assurance research topics across the Federal Government. Finally, the document includes
key findings and recommendations. DHS actively co-chairs the CSIA IWG with OSTP and continues to identify critical cyber
R&D requirements for incorporation into Federal R&D planning efforts.
1A.4.5 Exploring Private Sector Incentives
Awareness and understanding of the need for cybersecurity present a challenge for both government and industry. Although
cybersecurity requires significant investments in time and resources, an effective cybersecurity program may reduce the likelihood of a successful cyber attack or reduce the impact if a cyber attack occurs. Network disruptions resulting from cyber attacks
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can lead to loss of money, time, products, reputation, sensitive information, or even potential loss of life through cascading
effects on critical systems and infrastructure. From an economic perspective, cyber attacks have resulted in billions of dollars of
business losses and damages in the aggregate.
The private sector makes risk management decisions, including those for cybersecurity, based on the return on investment
and the desire to ensure business continuity. Market-based incentives for cybersecurity investments include protection of
intellectual capital, security-influenced procurement, market differentiation, and public confidence. Sometimes, however,
cyber assets, systems, or networks may be deemed to be nationally critical and necessitate additional risk management
beyond that which the private sector implements as part of their corporate responsibility. To address this difference, the
CSCSWG is examining an array of possible incentives for increased investment in cybersecurity.
Appendix 1A: Cross-Sector Cybersecurity
123
Appendix 1B: International CIKR Protection
1B.1 Introduction and Purpose of This Appendix
This appendix provides guidance for addressing the international aspects of CIKR protection in support of the NIPP.
1B.1.1 Scope
The NIPP provides the mechanisms, processes, key initiatives, and milestones necessary to enable DHS, DOS, SSAs, and other
partners—both foreign and domestic—to strengthen international cooperation to protect U.S. CIKR, both at home and abroad.
The NIPP and associated SSPs recognize that protective measures do not stop at a facility’s fence or at a national border. Because
disruptions in global infrastructure can have ripple effects around the world, the NIPP and the SSPs also consider cross-border
CIKR, international vulnerabilities, and global dependencies and interdependencies.
1B.1.2 Vision
The National Strategy for the Physical Protection of Critical Infrastructure and Key Assets identifies “fostering international
cooperation” as one of the eight guiding principles of its vision for the future. The strategy underscores the need for coordinated, comprehensive, and aggressive global action as a key aspect of the NIPP approach to CIKR protection.
This approach involves identifying those CIKR that, if damaged or destroyed, are capable of causing national or regional
catastrophic effects on security, public safety, or the economy. HSPD-7 and the 9/11 Commission Act of 2007 support the NIPP
mandate to identify the Nation’s critical foreign dependencies so that appropriate risk management strategies may be developed.
Furthermore, the National Strategy to Secure Cyberspace sets forth strategic objectives for maintaining national security and
ensuring international cooperation on cybersecurity, including preventing cyber attacks against America’s critical infrastructure, reducing vulnerabilities, and building resiliency into systems and networks in order to minimize the damage and recovery time from any cyber attacks and incidents that occur.
Appendix 1B: International CIKR Protection
125
1B.1.3 Implementing the Vision With a Strategy for Effective Cooperation
The NIPP strategy for international coordination in CIKR protection outlined in this appendix is focused on effective cooperation with international partners rather than on specific protective measures. Specific measures are tailored to each sector’s
particular circumstances and are described in the SSPs and addressed as part of the CFDI (see section 4.1.4.1). This appendix
also discusses existing international agreements that affect CIKR protection and addresses cross-sector and global issues such as
the Nation’s critical foreign dependencies and cybersecurity.
DHS, DOS, and other concerned Federal departments and agencies work together on an ongoing basis to ensure that the NIPP
strategy for international coordination on CIKR protection remains current and is incorporated into the strategies of all Federal
partners, as appropriate, to provide a consistent framework for cooperating with other countries and international/multinational organizations. This effort focuses on: promoting a global culture of physical security and cybersecurity; managing
CIKR-related risk beyond the physical borders of the United States; accelerating international cooperation in order to develop
intellectual infrastructure based on shared assumptions and compatible conceptual tools; and connecting constituencies not traditionally engaged in CIKR protection. The broad structure of this approach is based on the following high-level considerations.
1B.2 Responsibilities for International Cooperation on CIKR Protection
In accordance with HSPD-7, DOS, in conjunction with DHS, DOJ, DoD, the Departments of Commerce and Treasury, the NRC,
and other appropriate departments and agencies, is responsible for working with foreign countries and international/multinational organizations to strengthen the protection of U.S. CIKR. This section describes the responsibilities of various partners for
ensuring and promoting international cooperation in CIKR protection.
1B.2.1 Department of Homeland Security
Under the NIPP risk management framework described in chapter 3, DHS, in collaboration with DOS and other CIKR partners,
is responsible for the following actions, all of which have an international dimension:
• Identifying and prioritizing the Nation’s critical foreign dependencies through the CFDI;
• Building and strengthening international partnerships;
• Implementing a comprehensive, integrated international CIKR risk management program;
• Implementing protective programs and resiliency strategies; and
• Sharing appropriate information with international entities and performing outreach functions to enhance information exchange and management of international agreements on CIKR protection.
Some of the more complex challenges presented by the international aspects of CIKR protection involve analyzing the complex
dependencies, interdependencies, and vulnerabilities that require the application of sophisticated and innovative modeling
techniques. DHS is responsible for pursuing research and analysis in this area and will call on a range of outside sources for this
work, including those with expertise in the international community and the NISAC.
1B.2.2 Department of State
The Secretary of State has direct responsibility for policies and activities related to the protection of U.S. citizens and U.S. facilities abroad and has the overarching lead for U.S. foreign relations, policies, and activities, as well as for the advancement of U.S.
interests abroad. The Secretary of State, in conjunction with the Secretary of Homeland Security and specific SSAs, as appropriate, is responsible for coordinating with foreign countries and international organizations to strengthen the protection of critical
foreign dependencies. DOS supports the efforts of DHS and other Federal partners by providing knowledge of and access to foreign
governments and leveraging bilateral and multilateral relationships around the world to promote the importance of CIKR protection and the priority CIKR, as defined through CFDI. In this way, DOS also supports the sharing of best practices related to CIKR
protection to ensure that the Federal Government can act effectively to identify and protect U.S. CIKR.
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1B.2.3 Other Federal Departments and Agencies
SSAs exchange information, as appropriate, including cyber-specific information, with CIKR partners in other countries. These
information-sharing activities are conducted in accordance with guidelines established by DHS and DOS and other Federal
departments/agencies to improve the Nation’s overall CIKR protection posture.
Under HSPD-7, Federal departments and agencies share the responsibility for working through DOS to reach out to foreign
countries and international organizations to strengthen CIKR protection. Federal departments and agencies also have the
responsibility for identifying, prioritizing, and managing the risks associated with the Nation’s critical foreign dependencies, as
well as identifying and prioritizing CIKR located overseas through the CFDI.
1B.2.4 State, Local, Tribal, and Territorial Governments
DHS works with State, local, tribal, and territorial governments to help ensure ongoing cooperation with relevant CIKR protection
efforts within their jurisdictions and geographic areas. State and local governments, in coordination with DOS and DHS, may also
have a cross-border role in regions where there are existing cross-border associations and emergency response agreements.
1B.2.5 Private Sector
DHS works with the private sector and nongovernmental organizations to protect cross-border infrastructure and understand
critical foreign dependencies, as well as international and global vulnerabilities. DHS relies on the private sector for data, expertise, and knowledge of their international operations to identify critical international assets, systems, and networks, and assess
global risks, including shared threats and interdependencies. DHS uses such information to inform the National Critical Foreign
Dependencies List and associated risk management activities.
1B.2.6 Academia
The academic community provides data, insight, and research into the significance of international interdependencies through
modeling, simulation, and analysis.
1B.3 Managing the International Dimension of CIKR Risk
The NIPP addresses international CIKR protection, including interdependencies and the vulnerability to threats that originate
outside the country. The NIPP brings a new focus to international cooperation and provides a risk-informed strategic framework for measuring the effectiveness of international CIKR protection activities. The NIPP also provides tools to assess international vulnerabilities and interdependencies that complement long-standing cooperative agreements with Canada, Mexico, the
United Kingdom, NATO, and others, and supports collaborative engagement with additional international partners.
The SSPs include international considerations as an integral part of each sector’s planning process. Some international aspects of
CIKR protection require additional overarching or cross-sector emphasis. These include:
• U.S. interactions with foreign governments and international organizations to enhance the confidentiality, integrity, and
availability of cyber-based infrastructure, which often has an international or even global dimension;
• Protection of physical assets located on, near, or extending across the borders with Canada and Mexico, or those with important economic supply chain implications that require cooperation with and/or planning and resource allocation among
neighboring countries, States bordering these countries, and affected local and tribal governments and the private sector;
• Sectors with CIKR that are extensively integrated into an international or global market (e.g., Banking and Finance or other
information-based sectors, Energy, or Transportation Systems), or sectors whose proper functioning relies on input originating from outside the United States; and
• U.S. Government and corporate facilities located overseas (e.g., protection for the Government Facilities Sector involves careful interagency collaboration, as well as cooperation with foreign CIKR partners).
Appendix 1B: International CIKR Protection
127
The following subsections discuss issues associated with the international aspects of CIKR protection in the context of the steps
of the NIPP risk management framework (see chapter 3).
1B.3.1 Setting Goals and Objectives
The overarching goal of the NIPP—to enhance the protection of U.S. CIKR—applies to the international “system of systems”
that underpins U.S. CIKR. The NIPP and the SSPs provide guidance and risk management approaches to address the international aspects of CIKR protection efforts on both a national and a sector-specific level. In addition, a separate set of goals and
priorities guides cross-sector and global efforts to improve protection for CIKR with international linkages. These goals fall into
three categories:
• Identifying, prioritizing, and addressing cross-sector and global issues;
• Implementing existing and developing new agreements that affect CIKR; and
• Improving the effectiveness of international cooperation.
DHS, in conjunction with DOS and other CIKR partners, defines the requirement for a comprehensive international CIKR
protection strategy. The integration of international CIKR protection considerations and measures into each SSP supports the
pursuit and achievement of these goals in ways that complement each other and are achievable with the resources available.
Important considerations in achieving these goals are discussed in this section.
1B.3.2 Identifying CIKR Affected by International Linkages or Located Internationally
Once international CIKR protection goals and objectives are set, the next step in the risk management process is to develop
and maintain a comprehensive inventory of the Nation’s CIKR located outside U.S. borders and of foreign CIKR, the damage
or destruction of which may lead to loss of life in the United States or critically affect the Nation’s public health, economy, or
national and homeland security capabilities. The process for identifying these CIKR involves working with U.S. industry, SSAs,
academia, and international partners to gather and protect information on the foreign infrastructure and resources on which
the United States relies or which significantly affect U.S. interests as noted above. This process has been formalized through
the CFDI, and results in a prioritized list of assets and systems critical to effectively managing international risks in the CIKR
protection mission area.
The NIPP risk management framework details a structured approach for determining dependencies and interdependencies,
including physical, cyber, and international considerations. This approach is designed to address CIKR protection needs and
vulnerabilities in three areas:
• Direct international linkages to U.S. physical, human, and cyber CIKR:
– Foreign cross-border assets linked to U.S. CIKR (e.g., roads, bridges, rail lines, pipelines, gas lines, telecommunications lines
and undersea cables and facilities, and power lines physically connecting U.S. CIKR to Canada and Mexico);
– Foreign infrastructure, the disruption or destruction of which could directly harm the U.S. homeland (e.g., a Canadian dam
that could flood U.S. territory, a Mexican chemical plant that could affect U.S. territory, or foreign ports and facilities where
security failures could directly affect U.S. security); and
– U.S. CIKR that is located overseas (e.g., non-military government facilities or overseas components of U.S. CIKR).
• Indirect international linkages to physical, human, and cyber U.S. CIKR:
– The potential cascading and escalating effects of disruptions to foreign assets, systems, and networks such as critical foreign
technology, goods and services, resources, transit routes, and chokepoints; and
– Foreign ownership, control, or involvement in U.S. CIKR and related issues.
• Global aspects of physical and cyber U.S. CIKR:
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––Assets, systems, and networks located around the world or with global mobility that require the efforts of multiple foreign
countries to effectively manage the associated risks to CIKR.
Analysis of the dependencies and interdependencies is based primarily on information from each sector and the input of CIKR
owners and operators regarding their supply chains and sources of services from other infrastructure sectors (e.g., Energy and
Water). As the capability for sophisticated network analysis grows, these inputs are complemented by assessments that examine less apparent dependencies and interdependencies. The NISAC supports this effort by analyzing national and international
dependencies and interdependencies for complex systems and networks.
1B.3.3 Assessing Risks
Risk assessment for CIKR affected by international linkages is an integral part of the risk management framework described
in the NIPP. The risk management framework combines consequences, threats, and vulnerabilities to produce systematic and
comprehensive risk assessments that are summarized in the following three-step process that applies equally to CIKR with
international linkages:
• Determine the consequences of destruction, incapacitation, or exploitation of CIKR. This is done to assess the potential national significance, as well as physical, cyber, and human dependencies and interdependencies that may result from international linkages.
• Analyze vulnerabilities, including determining which elements of CIKR are most susceptible to attack or disruption (this includes
analyzing whether particular international linkages increase the attractiveness of these elements as a target of an attack).
• Conduct a threat analysis to identify the likelihood that a target will be attacked. CIKR with international linkages may present greater opportunities for attack.
Issues important to other countries may differ from those of primary importance to the United States. Risk analysis needs to be
conducted in coordination with other countries to draw on their perspectives and expertise, as well as our own.
1B.3.4 Prioritizing CIKR
Assessing CIKR on a level playing field that adjudicates risk based on a common framework ensures that resources are applied
where they offer the most benefit for: reducing risk; deterring threats; and minimizing the consequences of attacks, natural
disasters, and other emergencies. The HITRAC, through the CFDI and the NISAC, and in coordination with DOS and other
public and private sector partners, is responsible for developing the Nation’s prioritized list of critical foreign dependencies.
Such prioritization helps to inform national goals, foreign engagement, and allows the NIPP community to pursue a coordinated strategy for CIKR risk management. The CFDI is described in greater detail below.
In accordance with the NIPP, the Federal Government created an initial inventory of infrastructure located outside the United
States that if disrupted or destroyed would lead to loss of life in the United States or critically affect the Nation’s economy or
national security. Using this inventory as a starting point, DHS worked with DOS to develop the CFDI, a process designed to
ensure that the resulting classified list of critical foreign dependencies is representative and leveraged in a coordinated and
inclusive manner.
• Phase I—Identification (annual): DHS, working with other Federal partners, developed the first-ever National Critical Foreign Dependencies List in FY2008, reflecting the critical foreign dependencies of the CIKR sectors, as well as critical foreign
dependencies of interest to the Nation as a whole. The identification process includes input from public and private sector
CIKR community partners.
• Phase II—Prioritization (annual): DHS, in collaboration with other CIKR community partners and, in particular, DOS,
prioritized the National Critical Foreign Dependencies List based on factors such as the overall criticality of the CIKR to the
United States and the willingness and capability of foreign partners to engage in collaborative risk management activities.
• Phase III—Engagement (ongoing): Phase III involves leveraging the prioritized list to guide current and future U.S. bilateral
and multilateral incident and risk management activities with foreign partners. DHS and DOS established mechanisms to
ensure coordinated engagement and collaboration by public entities, in partnership with the private sector.
Appendix 1B: International CIKR Protection
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1B.3.5 Implementing Programs
The SSAs, in collaboration with other CIKR partners, are responsible for developing protective measures to address risks arising
from international factors that affect CIKR within their sectors. In addition to sector protective measures, DHS has specific
programs to help enhance the cooperation and coordination needed to address the unique challenges posed by international
CIKR protection:
• International Outreach Program: DHS works with DOS and other Federal departments and agencies with foreign affairs
responsibilities to conduct international outreach with foreign countries and international organizations to encourage the
promotion and adoption of organizational and policymaking structures, information-sharing mechanisms, industry partnerships, best practices, training, and other programs as needed to improve the protection of overseas assets and the reliability
of foreign infrastructure on which the United States depends. These efforts reflect the prioritization of international CIKR and
serve as an extension of the CFDI’s engagement phase.
• National Cyber Response Coordination Group (NCRCG): The NCRCG facilitates coordination of the Federal Government’s
efforts to prepare for, respond to, and recover from cyber incidents and physical attacks that have significant cyber consequences (collectively known as cyber incidents). It serves as the Federal Government’s principal interagency mechanism for
operational information sharing and coordination of Federal response and recovery efforts during a cyber incident. The
NCRCG consults with international partners for routine situational awareness and during incidents. NCRCG member agencies
integrate their capabilities to facilitate assessment of the domestic and international scope and severity of a cyber incident.
• National Exercise Program (NEP): DHS provides overarching coordination for the NEP to ensure the Nation’s readiness to
respond in an all-hazards environment and to test the steady-state protection plans and programs put in place by the NIPP.
The NEP provides opportunities through exercises for international partners to engage with Federal, State, and local departments and agencies to address cooperation and cross-border issues, including those related to CIKR protection. DHS and other
CIKR partners also participate in exercises sponsored by international partners, including cross-border, multi-sector tabletop
exercises.
• National Cyber Exercises: DHS conducts exercises to identify, test, and improve the coordination of the cyber incident
response community, including Federal, State, local, tribal, territorial, and international governmental entities, as well as
private sector corporations and coordinating councils.
Because of the complex nature of the international dimension of CIKR, a substantial emphasis is placed on best practices that
can be used to improve cooperation and coordination. To this end, DHS leads efforts to:
• Collaborate to establish best practices and successful protective measures related to telecommunications, air transportation
systems, container shipping, cybersecurity, and other global systems, as appropriate;
• Encourage the development of, adoption of, and adherence to the standards of the International Organization for Standards
and similar organizations to help reduce insurance premiums and level CIKR protection costs for businesses; and
• Work with international partners to determine the appropriate threshold for engagement with countries on cyber issues.
1B.3.6 Measuring Effectiveness and Making Improvements
Metrics are used to manage the comprehensive international CIKR protection strategy outlined in the NIPP and to track progress toward the strategy’s three goals:
• Improving the effectiveness of international cooperation;
• Implementing existing and developing new agreements that affect CIKR; and
• Addressing cross-sector and global CIKR protection issues.
DHS, in cooperation with other Federal departments and agencies, develops data and metrics to track progress on international
CIKR protection activities. These data and metrics include:
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• The international issues faced by each sector that affect multiple sectors and the relative importance of these issues;
• The countries that should be involved in protection partnerships for each sector;
• The number and type of bilateral and multinational agreements that affect CIKR protection;
• The nature, extent, and effectiveness of bilateral and multinational agreements;
• The sectors affected by each international partnership;
• The number and type of outcomes enabled by an international initiative; and
• Where possible, the specific CIKR protection enhancements that directly result from a particular international initiative.
1B.4 Organizing International CIKR Protection Cooperation
DHS, in conjunction with DOS and other Federal departments and agencies, works with individual foreign governments, as
well as regional and international organizations, to enhance CIKR protection on an international basis and to deny opportunities for exploitation of CIKR assets. Potential partnerships depend on:
• Physical proximity to the United States or U.S. CIKR;
• Useful experience and information to be gained from other countries;
• Existing relationships, alliances, agreements, and high-level commitments; and
• Critical supply chains and vulnerable nodes.
As international CIKR protection partnerships mature, cooperative efforts strengthen in two dimensions:
• Development of new partnerships with countries possessing useful experience and information regarding CIKR protection
efforts, as well as terrorism prevention, preparedness, response, and recovery; and
• Development of new international relationships and frameworks to protect global infrastructure and address international
interdependencies, networked technologies, and the need for a global culture of physical security and cybersecurity.
The coordination mechanisms supporting the NIPP create linkages between CIKR protection efforts at the national, sector,
State, local, tribal, territorial, regional, and international levels. A diverse group of entities is involved with this coordination,
based on the specific issues that they address, as well as other considerations, as discussed in this section.
1B.4.1 U.S. and Foreign Government Activities and Interactions
DHS works with domestic and international CIKR partners to exchange experiences and information, and to develop a cooperative relationship that will result in material improvement in U.S. CIKR protection, information sharing, cybersecurity, and
global telecommunications standards. Through efforts such as the CFDI, DHS, DOS, and other Federal partners work with
specific countries to identify international interdependencies and vulnerabilities. The SSAs address international factors such as
cross-border infrastructure, international vulnerabilities, and global interdependencies in their SSPs.
The International Affairs offices in Federal departments and agencies maintain relationships with their counterpart foreign
ministries and agencies, and play a principal role with DOS in coordinating with foreign governments on international CIKR
matters.
International cooperation on issues such as cybersecurity and energy supply is necessary because of the global nature of these
types of infrastructure. Such efforts require interaction on both the policy and operational levels and involve a broad range of
entities from both government and the private sector. To address cybersecurity, DHS established a framework for cooperation
on cybersecurity policy, watch and warning, and incident response for CIKR with key allies such as Australia, Canada, New
Zealand, and the United Kingdom. DHS is coordinating and participating in the establishment of an IWWN among policy,
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computer emergency response, and law enforcement participants in 15 countries. The IWWN provides an information-sharing
mechanism through which participating countries can build cyber situational awareness and coordinate incident response.
DHS, SSAs, and other U.S. partners work with other countries to promote CIKR protection best practices and pursue infrastructure security through international/multilateral organizations such as the Group of Eight (G8), NATO, European Union, OAS,
OSCE, OECD, and Asia-Pacific Economic Cooperation (APEC). International cooperation on CIKR protection takes place bilaterally, regionally, and multilaterally. The approach to working with some specific countries and organizations is founded on
formal agreements that address cooperation on CIKR protection, as described below.
• Canada and Mexico: The CIKR of the United States and its immediate neighbors are closely interconnected and cover a wide
range of sectors. Electricity, natural gas, oil, telecommunications, roads, rail, food, water, minerals, and finished products
cross the borders on a regular basis as part of normal commerce. The importance of this trade, and the infrastructure that
supports it, was highlighted after the terrorist attacks of September 11, 2001, nearly closed both borders. The United States entered into the 2001 Smart Border Accord with Canada and the 2002 Border Partnership Plan with Mexico, in part, to address
bilateral CIKR issues. In addition, the 2005 SPP established a trilateral approach to common security issues. The SPP complements existing agreements.
• United Kingdom: The United Kingdom is a close ally of the United States who has much experience in fighting terrorism and
protecting its CIKR. The United Kingdom has developed substantial expertise in law enforcement and intelligence systems,
and in the protection of commercial facilities based on its counterterrorism experience. Like the United States, most of the
critical infrastructure in the United Kingdom is privately owned. The government of the United Kingdom developed an effective, sophisticated system to manage public-private partnerships. DHS formed a JCG with the United Kingdom that brings
officials into regular, formal contact to discuss and resolve a range of bilateral homeland security issues.
• The Group of Eight (G8): Since September 11, 2001, the infrastructure in several G8 countries has been exploited and used
to inflict casualties and fear. As a result, G8 partners underscored their determination to combat all forms of terrorism and
to strengthen international cooperation. To that end, within the G8 context, the United States spearheaded various critical
infrastructure protection initiatives in 2007 and 2008. The first project focused on G8 delegation nation security planning
best practices, vulnerability assessment methodologies, and threat assessments for critical energy infrastructure. The second
project focused on chemical sector infrastructure protection activities, which was a timely subject given the release of the
CFATS in the United States during the previous year. These projects have increased the baseline understanding of the measures underway, as well as the CIKR protection capabilities of each G8 member nation. The G8 offers an effective forum
through which members can work to reduce global risks to CIKR by sharing best practices and methodologies, and understanding common threats. Future projects related to critical infrastructure protection within the G8 will address issues related
to interdependencies within and across infrastructure systems.
• European Union: The United States is engaged in a number of CIKR protection and resiliency activities with the European
Union, including those related to advising the European Union on CIKR risk analysis and management, writ large, as well
as counter-explosive device activities. The European Commission is in the process of implementing the EPCIP. This program
will affect all 27 nations in the European Union, as well as potentially others in the Euro-Zone that elect to participate. EPCIP
will initially focus on the energy and transport sectors, with expanded focus on the telecommunications, financial, and
chemical sectors in coming years. The United States has engaged the EPCIP leadership for the purpose of offering the assistance necessary to support the implementation of the program, with the ultimate goal of enhancing CIKR protection activities
wherever they may be found. Furthermore, IP and S&T work with the DOS Bureau of Diplomatic Security’s Office of Antiterrorism Assistance and the Office of the Coordinator for Counterterrorism, DOJ, and FBI to coordinate with the European
Union to conduct workshops, seminars, and exercises on countering terrorist use of explosive devices.
• North Atlantic Treaty Organization (NATO): NATO addresses CIKR issues through the Senior Civil Emergency Planning
Committee, the senior policy and advisory body to the North Atlantic Council on civil emergency planning and disaster relief
matters. The committee is responsible for policy direction and coordination of Planning Boards and Committees in the NATO
environment. It has developed considerable expertise that applies to CIKR protection and has implemented planning boards
and committees covering ocean shipping, inland surface transport, civil aviation, food and agriculture, industrial prepared-
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ness, civil communications planning, civil protection, and civil-military medical issues. DHS: provides a delegation to the
Senior Civil Emergency Planning Committee at NATO; participates in NATO’s telecommunications working group and the
critical infrastructure protection coordination group; has expert NATO representation on the Civil Protection Committee and
Industrial Planning Committee; and engages with NATO in preparedness exercises.
1B.4.2 Foreign Investment in U.S. CIKR
CIKR protection may be affected by foreign investment and ownership of sector assets. At the Federal level, this issue is monitored by the CFIUS. The committee is chaired by the Secretary of the Treasury, with membership that includes: the Secretaries
of State, Defense, Commerce, and Homeland Security; the Attorney General; the Directors of the OMB and the OSTP; the U.S.
Trade Representative; the Chairman of the Council of Economic Advisors; the Assistant to the President for Economic Policy;
and the Assistant to the President for National Security Affairs. The CFIUS is the Federal inter-agency body charged with
addressing potential conflicts between maintaining open U.S. markets and ensuring national and homeland security.
As a member of CFIUS, DHS examines the potential impact of proposed foreign investments on current and planned CIKR protection activities. The committee develops and negotiates security agreements with foreign entities to manage any CIKR risks
that foreign investment may pose. DHS leads government monitoring activities to ensure compliance with these agreements.
DHS also partners with DOJ and other Federal departments and agencies to review applications to the FCC from foreign entities
pursuant to section 214 of the Communications Act of 1934. DHS supports these reviews to assess whether the proposed activities pose any threat to CIKR protection.
1B.4.3 Information Sharing
Effective international cooperation on CIKR protection requires information-sharing systems that include processes and protocols for real-time information sharing and communication of threats and relevant intelligence reports. Successful international
cooperation also requires mechanisms for the systematic sharing of best practices and frequent opportunities for partners to
meet in order to discuss international CIKR issues.
The NOC serves as the Nation’s hub for information sharing and situational awareness for domestic incident management and
is responsible for increasing coordination (through the NICC) among those members of the international community who are
involved because of the role that they play in enabling the protection of U.S. CIKR.
The HSIN supports ongoing information-sharing efforts by offering COIs for selected international partners requiring close
coordination with the NICC and NOC.
DHS also provides mechanisms (e.g., the US-CERT portal) to improve information sharing and coordination among government communities and selected international partners for cybersecurity. The Cybercop portal is a secure, Internet-based
information-sharing mechanism for law enforcement personnel involved in electronic crimes investigation. This collaborative
tool links the law enforcement community worldwide, supporting participants from more than 40 countries.
1B.5 Ensuring International Cooperation Over the Long Term
Ensuring a sustainable approach to the international aspects of CIKR protection over the long term requires special consideration in the following areas:
• Awareness: Awareness of international aspects of CIKR protection issues helps ensure implementation of effective, coordinated, and integrated CIKR protection measures and enables CIKR partners to make informed decisions. Often, these issues are
not apparent to those who can take the most effective action because of the complexity of the international systems affecting
CIKR protection. Awareness programs designed to identify and address such issues are required to ensure continued international support for protection programs over the long term. DHS is collaborating with DOS and other NIPP partners to build
awareness of the international aspects of CIKR protection and their importance in developing effective protective programs
and resiliency strategies in this global age.
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• Training and Education: NIPP training courses for the managers and staff responsible for CIKR should cover international
considerations for CIKR protection because of the complex issues that often accompany international linkages and initiatives.
DHS ensures that the organizational and sector expertise needed to implement the international aspects of the NIPP program over the long term are developed and maintained through exercises and other mechanisms that promote international
cooperation on CIKR protection. For example, IP, S&T, DOS, and DOJ work with the European Union to conduct workshops,
seminars, and exercises on methods and technologies for countering explosive devices.
• Research and Development: Cooperative and coordinated R&D efforts are one of the most effective ways to improve protective capabilities or dramatically lower the costs of existing capabilities so that international CIKR partners can afford to do
more with limited resources. Techniques and designs developed through research can cost very little to share with international CIKR partners and, although the lead times needed for maturation of technology from the laboratory to the field can
be decades, such improvements can have wider applicability or much greater effectiveness than available through current
methods. Several Federal departments and agencies monitor international R&D efforts to avoid duplication and identify projects that may affect U.S. Government interests and activities. For example, S&T’s International Programs Division evaluates
international R&D projects that S&T may leverage to benefit U.S. homeland security and CIKR protection efforts. DHS, DoD,
DOE, and DOJ all collaborate with international partners, as does the interagency TSWG, to develop technological solutions to
defeat terrorism threats, including threats to CIKR.
• Vulnerability Assessments: Over the past several years, DHS has worked with U.S. interagency partners in DOS, DOE, and
the U.S. Army Corps of Engineers, among others, to conduct vulnerability assessments on international CIKR of interest to
the United States. These assessments have included essential bridges and tunnels at the northern border with Canada, critical
dams at the southern border with Mexico, locks and levees in Panama, and Energy Sector installations in a Caribbean nation.
The purpose of these assessments is to protect U.S. interests abroad and to provide assistance, training, and other support to
U.S. allies and partners. As the critical infrastructure protection capabilities within the United States continue to mature, more
nations will seek assistance and expertise from the United States and the United States will continue to identify CIKR assets of
interest on foreign or shared soil. Opportunities to increase the global CIKR protection posture should be undertaken where
appropriate.
• Plan Updates: Annual reviews and updates of the NIPP and SSPs must consider the current international situation and be
coordinated, as appropriate, with international agreements affecting CIKR protection. As the SSPs are reviewed for reissue in
2010, they will reflect, as appropriate, updated information on the CFDI, the status of relevant international agreements, and
other international CIKR protection efforts.
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Appendix 2: Summary of Relevant
Statutes, Strategies, and Directives
This summary provides additional information on a variety of statutes, strategies, and directives referenced in chapters 2 and 5, as applicable to CIKR protection. This list is not inclusive of all authorities
related to CIKR protection; rather, it includes the authorities most relevant to national-level, cross-sector
CIKR protection. Please note that there are many other authorities that are related to specific sectors that
are not discussed in this appendix; these are left for further elaboration in the SSPs.
2.1 Statutes
Homeland Security Act of 20029
This act establishes a Cabinet-level department headed by a Secretary of Homeland Security with the mandate and legal authority to protect the American people from the continuing threat of terrorism. In the act, Congress assigns DHS the primary
missions to:
• Prevent terrorist attacks within the United States;
• Reduce the vulnerability of the United States to terrorism at home;
• Minimize the damage and assist in the recovery from terrorist attacks that occur; and
• Ensure that the overall economic security of the United States is not diminished by efforts, activities, and programs aimed at
securing the homeland.
This statutory authority defines the protection of CIKR as one of the primary missions of the department. Among other actions,
the act specifically requires DHS:
• To carry out comprehensive assessments of the vulnerabilities of U.S. CIKR, including the performance of risk assessments to
determine the risks posed by particular types of terrorist attacks;
• To develop a comprehensive national plan for securing the CIKR of the United States, including power production, generation, and distribution systems; IT and telecommunications systems (including satellites); electronic financial and property
record storage and transmission systems; emergency preparedness communications systems; and the physical and technological assets that support such systems; and
9
Public Law 107-296, November 25, 2002, 116 Stat. 2135. It is coded at 6 U.S.C.
Appendix 2: Summary of Relevant Statutes, Strategies, and Directives
135
• To recommend measures necessary to protect U.S. CIKR in coordination with other agencies of the Federal Government and
in cooperation with State and local government agencies and authorities, the private sector, and other entities.
Those requirements, combined with the President’s direction in HSPD-7, mandate the unified approach to CIKR protection
taken in the NIPP.
Critical Infrastructure Information Act of 200210
Enacted as part of the Homeland Security Act, this act creates a framework that enables members of the private sector and others to voluntarily submit sensitive information regarding the Nation’s CIKR to DHS with the assurance that the information, if it
satisfies certain requirements, will be protected from public disclosure.
The PCII Program, created under the authority of the act, is central to the information-sharing and protection strategy of the
NIPP. By protecting sensitive information submitted through the program, the private sector is assured that the information
will remain secure and only be used to further CIKR protection efforts.11
Implementing Recommendations of the 9/11 Commission Act of 2007
This act requires the implementation of some of the recommendations made by the 9/11 Commission, to include requiring
the Secretary of Homeland Security to: (1) establish department-wide procedures to receive and analyze intelligence from State,
local, and tribal governments and the private sector; and (2) establish a system that screens 100 percent of maritime and passenger cargo.
Section 1002 of the act includes a requirement for DHS to report annually to Congress on the comprehensive risk assessments
carried out for each CIKR sector, to include an evaluation of threats, vulnerabilities, and consequences. These reports should
describe any actions or countermeasures recommended or taken by DHS or another SSA to address the issues identified in the
assessments. This reporting requirement is covered by the National CIKR Protection Annual Report submitted to Congress in
November of each year, as well as the Congressional Mid-Year Brief delivered to Congress each Spring.
This act establishes the International Border Community Interoperable Communications Demonstration Project, which helps
identify and implement solutions to cross-border communications and cooperation, and the Interagency Threat Assessment and
Coordination Group (ITACG), which improves interagency communications. The establishment of ITACG Advisory Councils
allows Federal agencies to set policies to improve communication within the information-sharing environment and supports
establishment of an ITACG Detail that gives State, local, and tribal homeland security officials, law enforcement officers, and
intelligence analysts the opportunity to work in the National Counterterrorism Center.
The act also established grants to support high-risk urban areas and State, local, and tribal governments in preventing, preparing for, protecting against, and responding to acts of terrorism, and to assist States in carrying out initiatives to improve
international emergency communications.
Title IX of the act requires DHS to establish a common set of criteria for private sector preparedness in disaster management,
emergency management, and business continuity. These Voluntary Private Sector Preparedness Standards will be accredited and
certified by ANSI and the ASQ ANAB. An internal DHS Private Sector Preparedness Council will be responsible for: selecting
program standards; defining and promoting the business case for private sector entities to work toward voluntary certification;
overseeing the program’s progress; and providing regular updates to Congress.
Robert T. Stafford Disaster Relief and Emergency Assistance Act (Stafford Act)12
The Stafford Act provides comprehensive authority for response to emergencies and major disasters—natural disasters, accidents, and intentionally perpetrated events. It provides specific authority for the Federal Government to provide assistance to
State and local entities for disaster preparedness and mitigation, and major disaster and emergency assistance. Major disaster
and emergency assistance includes such resources and services as:
10
The CII Act is presented as subtitle B of title II of the Homeland Security Act (sections 211-215) and is codified at 6 U.S.C. 131 et seq.
Procedures for Handling Critical Infrastructure Information, 68 Fed. Reg. 8079 (Feb. 20, 2004), are codified at 6 CFR Part 29.
12 Public Law 93-288, as amended, codified at 42 U.S.C. 68.
11
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• The provision of Federal resources, in general;
• Medicine, food, and other consumables;
• Work and services to save lives and restore property, including:
– Debris removal;
– Search and rescue; emergency medical care; emergency mass care; emergency shelter; and provision of food, water, medicine, and other essential needs, including movement of supplies or persons;
– Clearance of roads and construction of temporary bridges;
– Provision of temporary facilities for schools and other essential community services;
– Demolition of unsafe structures that endanger the public;
– Warning of further risks and hazards;
– Dissemination of public information and assistance regarding health and safety measures;
– Provision of technical advice to State and local governments on disaster management and control; and
– Reduction of immediate threats to life, property, and public health and safety;
• Hazard mitigation;
• Repair, replacement, and restoration of certain damaged facilities; and
• Emergency communications, emergency transportation, and fire management assistance.
Disaster Mitigation Act of 2000
This act amends the Stafford Act by repealing the previous mitigation planning provisions (section 409) and replacing them
with a new set of requirements (section 322). This new section emphasizes the need for State, local, and tribal entities to closely
coordinate mitigation planning and implementation efforts.
Section 322 continues the requirement for a State mitigation plan as a condition of disaster assistance, adding incentives for
increased coordination and integration of mitigation activities at the State level through the establishment of requirements
for two different levels of State plans—standard and enhanced. States that demonstrate an increased commitment to comprehensive mitigation planning and implementation through the development of an approved Enhanced State Plan can increase
the amount of funding available through the Hazard Mitigation Grant Program (HMGP). Section 322 also establishes a new
requirement for local mitigation plans and authorizes up to 7 percent of HMGP funds available to a State to be used for development of State, local, and tribal mitigation plans.
Corporate and Criminal Fraud Accountability Act of 2002 (also known as the Sarbanes-Oxley Act)13
The act applies to entities required to file periodic reports with the Securities and Exchange Commission under the provisions
of the Securities and Exchange Act of 1934, as amended. It contains significant changes to the responsibilities of directors and
officers, as well as the reporting and corporate governance obligations of affected companies. Among other items, the act
requires certification by the company’s chief executive officer (CEO) and chief financial officer that accompanies each periodic
report filed that the report fully complies with the requirements of the securities laws and that the information in the report
fairly presents, in all material respects, the financial condition and results of the operations of the company. It also requires
certifications regarding internal controls and material misstatements or omissions, and the disclosure on a “rapid and current
basis” of information regarding material changes in the financial condition or operations of a public company. The act contains
a number of additional provisions dealing with insider accountability and disclosure obligations, and auditor independence. It
also provides severe criminal and civil penalties for violations of the act’s provisions.
13 Public
Law 107-204, July 30, 2002.
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The Defense Production Act of 1950 and the Defense Production Reauthorization Act of 2003
This act provides the primary authority to ensure the timely availability of resources for national defense and civil emergency
preparedness and response. Among other powers, this act authorizes the President to require that companies accept and give
priority to contracts that the President “deems necessary or appropriate to promote the national defense,” and allocate materials, services, and facilities, as necessary, to promote the national defense. This act also authorizes loan guarantees, direct loans,
direct purchases, and purchase guarantees for those goods necessary for national defense. It also provides for the review of
foreign acquisitions of U.S. businesses in order to identify and resolve any national security risks. This act defines “national
defense” to include critical infrastructure protection and restoration, as well as activities authorized by the emergency preparedness sections of the Stafford Act. Consequently, the authority stemming from the Defense Production Act is available for
activities and measures undertaken in preparation for, during, or following a natural disaster or accidental or malicious event.
Under the act and related Presidential orders, the Secretary of Homeland Security has the authority to place and, upon application, authorize State and local governments to place priority-rated contracts for industrial resources in support of Federal, State,
and local emergency preparedness activities. The Defense Production Act has a national security nexus with the NIPP.
The Freedom of Information Act14
This act generally provides that any person has a right, enforceable in court, to obtain access to Federal agency records, except
to the extent that such records are protected from public disclosure by the nine listed exemptions or the three law enforcement exclusions. Persons who make requests are not required to identify themselves or explain the purpose of the request.
The underlying principle of FOIA is that the workings of government are for and by the people and that the benefits of government information should be made broadly available. All Federal Government agencies must adhere to the provisions of
FOIA with certain exceptions for work in progress, enforcement confidential information, classified documents, and national
security information. FOIA was amended by the Electronic Freedom of Information Act Amendment of 1996 and the OPEN
Government Act of 2007.
Information Technology Management Reform Act of 199615
Under section 5131 of the Information Technology Management Reform Act of 1996, NIST develops standards, guidelines, and
associated methods and techniques for Federal computer systems. Federal Information Processing Standards are developed by
NIST only when there are no existing voluntary standards to address the Federal requirements for the interoperability of different systems, the portability of data and software, and computer security.
Gramm-Leach-Bliley Act of 199916
Among other items, this act (title V) provides limited privacy protections on the disclosure by a financial institution of nonpublic personal information. The act also codifies protections against the practice of obtaining personal information through false
pretenses.
Public Health Security and Bioterrorism Preparedness and Response Act of 200217
This act improves the ability of the United States to prevent, prepare for, and respond to bioterrorism and other public health
emergencies. Key provisions of the act, 42 U.S.C. 247d and 300hh among others, address: (1) development of a national preparedness plan by HHS that is designed to provide effective assistance to State and local governments in the event of bioterrorism or other public health emergencies; (2) operation of the National Disaster Medical System to mobilize and address public
health emergencies; (3) grant programs for the education and training of public health professionals and the improvement of
State, local, and hospital preparedness for and response to bioterrorism and other public health emergencies; (4) streamlining
and clarification of communicable disease quarantine provisions; (5) enhancement of controls on dangerous biological agents
and toxins; and (6) protection of the safety and security of food and drug supplies.
14
Codified as 5 U.S.C. 552.
Public Law 104-106.
16 Public Law 106-102 (1999), codified at 15 U.S.C. 94.
17 Public Law 107-188.
15
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Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism
Act of 2001 (USA PATRIOT Act)18
This act outlines the domestic policy related to deterring and punishing terrorists, and the U.S. policy for CIKR protection. It
also provides for the establishment of a national competence for CIKR protection. The act establishes the NISAC and outlines the
Federal Government’s commitment to understanding and protecting the interdependencies among critical infrastructure.
The Privacy Act of 197419
This act provides strict limits on the maintenance and disclosure by any Federal agency of information on individuals that
is maintained, including “education, financial transactions, medical history, and criminal or employment history and that
contains [the] name, or the identifying number, symbol, or other identifying particular assigned to the individual, such as a
finger or voice print or a photograph.” Although there are specific categories for permissible maintenance of records and limited exceptions to the prohibition on disclosure for legitimate law enforcement and other specified purposes, the act requires
strict recordkeeping on any disclosure. The act also specifically provides for access by individuals to their own records and for
requesting corrections thereto.
Federal Information Security Management Act of 200220
This act requires that Federal agencies develop a comprehensive information technology security program to ensure the effectiveness of information security controls over information resources that support Federal operations and assets. This legislation
is relevant to the part of the NIPP that governs the protection of Federal assets and the implementation of cyber-protective
measures under the Government Facilities SSP.
Cyber Security Research and Development Act of 200221
This act allocates funding to NIST and the National Science Foundation for the purpose of facilitating increased R&D for computer network security and supporting research fellowships and training. The act establishes a means of enhancing basic R&D
related to improving the cybersecurity of CIKR.
Maritime Transportation Security Act of 200222
This act directs initial and continuing assessments of maritime facilities and vessels that may be involved in a transportation
security incident. It requires DHS to prepare a National Maritime Transportation Security Plan for deterring and responding
to a transportation security incident and to prepare incident response plans for facilities and vessels that will ensure effective
coordination with Federal, State, and local authorities. It also requires, among other actions, the establishment of: transportation security and crewmember identification cards and processes; maritime safety and security teams; port security grants; and
enhancements to maritime intelligence and matters dealing with foreign ports and international cooperation.
Atomic Energy Act of 1954
The Atomic Energy Act of 1954, as amended in NUREG-0980, provides for both the development and regulation of civilian
uses of nuclear materials and facilities in the United States. The act requires that civilian uses of nuclear materials and facilities
be licensed and it empowers the NRC to establish, by rule or order, standards to govern these uses.
Intelligence Reform and Terrorism Prevention Act of 200423
This act provides sweeping changes to the U.S. Intelligence Community structure and processes, and creates new systems that
are specially designed to combat terrorism. Among other actions, the act:
18
Public Law 107-56, October 26, 2001.
Codified at 5 U.S.C. 552a.
20 Public Law 107-347, December 17, 2002.
21 Public Law 107-305, November 27, 2002.
22 Public Law 107-295, codified at 46 U.S.C. 701.
23 Public Law 108-458.
19
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• Establishes a Director of National Intelligence with specific budget, oversight, and programmatic authority over the Intelligence Community;
• Establishes the National Intelligence Council and redefines “national intelligence”;
• Requires the establishment of a secure ISE and an information-sharing council;
• Establishes a National Counterterrorism Center, a National Counterproliferation Center, National Intelligence Centers, and a
Joint Intelligence Community Council;
• Establishes, within the EOP, a Privacy and Civil Liberties Oversight Board;
• Requires the Director of the FBI to continue efforts to improve the intelligence capabilities of the FBI and to develop and
maintain, within the FBI, a national intelligence workforce;
• Directs improvements in security clearances and clearance processes;
• Requires DHS to: develop and implement a National Strategy for Transportation Security and transportation modal security
plans; enhance identification and credentialing of transportation workers and law enforcement officers; conduct R&D into
mass identification technology, including biometrics; enhance passenger screening and terrorist watch lists; improve measures for detecting weapons and explosives; improve security related to the air transportation of cargo; and implement other
aviation security measures;
• Directs enhancements to maritime security;
• Directs enhancements in border security and immigration matters;
• Enhances law enforcement authority and capabilities, and expands certain diplomatic, foreign aid, and military authority and
capabilities for combating terrorism;
• Requires expanded machine-readable visas with biometric data; implementation of a biometric entry and exit system, and a
registered traveler program; and implementation of biometric or other secure passports;
• Requires standards for birth certificates and driver’s licenses or personal identification cards issued by States for use by Federal
agencies for identification purposes and enhanced regulations for social security cards;
• Requires DHS to improve preparedness nationally, especially measures to enhance interoperable communications and to
report on vulnerability and risk assessments of the Nation’s CIKR; and
• Directs measures to improve assistance to and coordination with State, local, and private sector entities.
2.2 National Strategies and Implementation Plans
The National Strategy for Homeland Security (July 2002)
This strategy establishes the Nation’s strategic homeland security objectives and outlines the six critical mission areas necessary
to achieve those objectives. The strategy also provides a framework to align the resources of the Federal budget directly to the
task of securing the homeland. The strategy specifies eight major initiatives to protect the Nation’s CIKR, one of which specifically calls for the development of the NIPP.
National Strategy for Homeland Security (October 2007)
The updated strategy serves to guide, organize, and unify our Nation’s homeland security efforts. It is a national strategy (not a
Federal strategy) that articulates the approach to secure the homeland over the next several years. It builds on the first National
Strategy for Homeland Security, issued in July 2002, and complements both the National Security Strategy issued in March
2006 and the National Strategy for Combating Terrorism, issued in September 2006. It reflects the increased understanding of
threats confronting the United States, incorporates lessons learned from exercises and real-world catastrophes, and addresses
ways to ensure long-term success by strengthening the homeland security foundation that has been built.
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National Strategy for the Physical Protection of Critical Infrastructures and Key Assets (February 2003)
This strategy identifies the policy, goals, objectives, and principles for actions needed to “secure the infrastructures and assets
vital to national security, governance, public health and safety, economy, and public confidence.” The strategy provides a unifying organizational structure for CIKR protection and identifies specific initiatives related to the NIPP to drive near-term national
protection priorities and inform the resource allocation process.
National Strategy to Secure Cyberspace (February 2003)
This strategy sets forth objectives and specific actions to prevent cyber attacks against America’s CIKR, reduce nationally identified vulnerabilities to cyber attacks, and minimize damage and recovery time from cyber attacks. The strategy provides the
vision for cybersecurity and serves as the foundation for the cybersecurity component of CIKR.
The National Strategy for Maritime Security (September 2005)
This strategy provides the framework to integrate and synchronize the existing department-level strategies and ensure their
effective and efficient implementation, and integrates all Federal Government maritime security programs and initiatives into a
comprehensive and cohesive national effort involving appropriate Federal, State, local, and private sector entities.
The National Strategy to Combat Weapons of Mass Destruction (December 2002)
This strategy provides policy guidance on combating WMD through three pillars:
• Counterproliferation to combat WMD use;
• Strengthened nonproliferation to combat WMD proliferation; and
• Consequence management to respond to WMD use.
The National Strategy for Combating Terrorism (September 2006)
This strategy provides a comprehensive overview of the terrorist threat and sets specific goals and objectives to combat this
threat, including measures to:
• Defeat terrorists and their organizations;
• Deny sponsorship, support, and sanctuary to terrorists;
• Diminish the underlying conditions that terrorists seek to exploit; and
• Defend U.S. citizens and interests at home and abroad.
The National Intelligence Strategy of the United States of America (October 2005)
The National Intelligence Strategy of the United States of America outlines the fundamental values, priorities, and orientation
of the Intelligence Community. As directed by the Director of National Intelligence, the strategy outlines the specific mission
objectives that relate to efforts to predict, penetrate, and pre-empt threats to national security. To accomplish this, the efforts of
the different enterprises of the Intelligence Community are integrated through policy, doctrine, and technology, and by ensuring that intelligence efforts are appropriately coordinated with the Nation’s homeland security mission.
The National Continuity Policy Implementation Plan (August 2007)
The National Continuity Policy Implementation Plan (NCPIP) identifies how the National Continuity Policy described in NSPD-51/
HSPD-20 will be translated into action. The NCPIP is a comprehensive and integrated list of directives for the Federal Executive
Branch to ensure the effectiveness and survivability of our national continuity capability. It is also an educational primer for State,
local, tribal, and territorial governments and private sector partners that support the Nation’s continuity capability.
Appendix 2: Summary of Relevant Statutes, Strategies, and Directives
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2.3 Homeland Security Presidential Directives
HSPD-1: Organization and Operation of the Homeland Security Council (October 2001)
HSPD-1 establishes the Homeland Security Council and a committee structure for developing, coordinating, and vetting homeland security policy among executive departments and agencies. The directive provides a mandate for the Homeland Security
Council to ensure the coordination of all homeland security-related activities among executive departments and agencies, and
promotes the effective development and implementation of all homeland security policies. The Homeland Security Council
is responsible for arbitrating and coordinating any policy issues that may arise among the different departments and agencies
covered by the NIPP.
HSPD-2: Combating Terrorism Through Immigration Policies (October 2001)
HSPD-2 establishes policies and programs to enhance the Federal Government’s capabilities for preventing aliens who engage in
or support terrorist activities from entering the country and for detaining, prosecuting, or deporting any such aliens who are in
the United States.
HSPD-2 also directs the Attorney General to create the Foreign Terrorist Tracking Task Force to ensure that, to the maximum
extent permitted by law, Federal agencies coordinate programs to accomplish the following: (1) deny entry into the United
States of aliens associated with, suspected of being engaged in, or supporting terrorist activity; and (2) locate, detain, prosecute,
or deport any such aliens already present in the United States.
HSPD-3: Homeland Security Advisory System (March 2002)
HSPD-3 mandates the creation of an alert system for disseminating information regarding the risk of terrorist acts to Federal,
State, and local authorities, and the public. It also includes the requirement for a corresponding set of protective measures for
Federal, State, and local governments to be implemented, depending on the threat condition. Such a system provides warnings
in the form of a set of graduated threat conditions that are elevated as the risk of the threat increases. For each threat condition,
Federal departments and agencies are required to implement a corresponding set of protective measures.
HSPD-4: National Strategy to Combat Weapons of Mass Destruction (December 2002)
This directive outlines a strategy that includes three principal pillars: (1) Counterproliferation to Combat WMD Use, (2)
Strengthened Nonproliferation to Combat WMD Proliferation, and (3) Consequence Management to Respond to WMD Use. It
also outlines four cross-cutting functions to be pursued on a priority basis: (1) intelligence collection and analysis on WMD,
delivery systems, and related technologies; (2) R&D to improve our ability to address evolving threats; (3) bilateral and multilateral cooperation; and (4) targeted strategies against hostile nations and terrorists.
HSPD-5: Management of Domestic Incidents (February 2003)
HSPD-5 establishes a national approach to domestic incident management that ensures effective coordination among all levels
of government and between the government and the private sector. Central to this approach is the NIMS, an organizational
framework for all levels of government, and the NRF, an operational framework for national incident response.
In this directive, the President designates the Secretary of Homeland Security as the principal Federal official for domestic
incident management and empowers the Secretary to coordinate Federal resources used for prevention, preparedness, response,
and recovery related to terrorist attacks, major disasters, or other emergencies. The directive assigns specific responsibilities to
the Attorney General, Secretary of Defense, Secretary of State, and the Assistants to the President for Homeland Security and
National Security Affairs, and directs the heads of all Federal departments and agencies to provide their “full and prompt cooperation, resources, and support,” as appropriate and consistent with their own responsibilities for protecting national security,
to the Secretary of Homeland Security, Attorney General, Secretary of Defense, and Secretary of State in the exercise of leadership responsibilities and missions assigned in HSPD-5.
HSPD-6: Integration and Use of Screening Information (September 2003)
HSPD-6 consolidates the Federal Government’s approach to terrorist screening by establishing a Terrorist Screening Center.
Federal departments and agencies are directed to provide terrorist information to the Terrorist Threat Integration Center, which
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is then required to provide all relevant information and intelligence to the Terrorist Screening Center. In order to protect against
terrorism, this directive established the national policy to: (1) develop, integrate, and maintain thorough, accurate, and current
information about individuals known or appropriately suspected to be or have been engaged in conduct constituting, in preparation for, in aid of, or related to terrorism (Terrorist Information); and (2) use that information, as appropriate and to the full
extent permitted by law, to support: (a) Federal, State, local, tribal, territorial, foreign government, and private sector screening
processes; and (b) diplomatic, military, intelligence, law enforcement, immigration, visa, and protective processes.
HSPD-7: Critical Infrastructure Identification, Prioritization, and Protection (December 2003)
HSPD-7 establishes a framework for Federal departments and agencies to identify, prioritize, and protect CIKR from terrorist
attacks, with an emphasis on protecting against catastrophic health effects and mass casualties. HSPD-7 mandates the creation
and implementation of the NIPP and sets forth the roles and responsibilities for: DHS; SSAs; other Federal departments and
agencies; and State, local, tribal, territorial, private sector, and other CIKR partners.
HSPD-8: National Preparedness (December 2003)
HSPD-8 establishes policies to strengthen the preparedness of the United States to prevent, protect, respond to, and recover
from threatened or actual domestic terrorist attacks, major disasters, and other emergencies by: requiring a national domestic all-hazards preparedness goal; establishing mechanisms for improved delivery of Federal preparedness assistance to State
and local governments; and outlining actions to strengthen the preparedness capabilities of Federal, State, and local entities.
This directive mandates the development of the goal to guide emergency preparedness training, planning, equipment, and
exercises, and to ensure that all entities involved adhere to the same standards. The directive calls for an inventory of Federal
response capabilities and refines the process by which preparedness grants are administered, disbursed, and utilized at the State
and local levels.
HSPD-9: Defense of U.S. Agriculture and Food (January 2004)
HSPD-9 establishes an integrated national policy for improving intelligence operations, emergency response capabilities,
information-sharing mechanisms, mitigation strategies, and sector vulnerability assessments to defend the agriculture and food
system against terrorist attacks, major disasters, and other emergencies.
HSPD-10: Biodefense for the 21st Century (April 2004)
HSPD-10 outlines the essential pillars of our national biodefense program as: (1) threat awareness; (2) prevention and protection; (3) surveillance and detection; and (4) response and recovery. This directive describes these various disciplines in detail
and sets forth objectives for further progress under the national biodefense program, highlighting key roles for Federal departments and agencies. The Secretary of Homeland Security is responsible for coordinating domestic Federal operations to prepare
for, respond to, and recover from biological weapons attacks.
HSPD-11: Comprehensive Terrorist-Related Screening Procedures (August 2004)
HSPD-11 requires the creation of a strategy and implementation plan for a coordinated and comprehensive approach to terrorist
screening to improve and expand procedures to screen people, cargo, conveyances, and other entities and objects that pose a
threat.
HSPD-12: Policy for a Common Identification Standard for Federal Employees and Contractors (August 2004)
HSPD-12 establishes a mandatory, government-wide standard for secure and reliable forms of identification issued by the
Federal Government to its employees and contractors to enhance security, increase governmental efficiency, reduce identity fraud, and protect personal privacy. The resulting mandatory standard was issued by NIST as the Federal Information
Processing Standard Publication.
HSPD-13: Maritime Security Policy (December 2004)
HSPD-13 directs the coordination of U.S. Government maritime security programs and initiatives to achieve a comprehensive
and cohesive national effort involving the appropriate Federal, State, local, and private sector entities. The directive also establishes a Maritime Security Policy Coordinating Committee to coordinate interagency maritime security policy efforts.
Appendix 2: Summary of Relevant Statutes, Strategies, and Directives
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HSPD-14: Domestic Nuclear Detection (April 2005)
HSPD-14 establishes the effective integration of nuclear and radiological detection capabilities across Federal, State, local, and
tribal governments and the private sector for a managed, coordinated response. This directive supports and enhances the effective sharing and use of appropriate information generated by the intelligence community, law enforcement agencies, counterterrorism community, other government agencies, and foreign governments, as well as providing appropriate information to
these entities.
HSPD-15: War on Terror (March 2006)
HSPD-15 is classified. The objective of the directive is to improve government coordination in the global war on terror.
HSPD-16: Aviation Security Policy (June 2006)
HSPD-16 details a strategic vision for aviation security while recognizing ongoing efforts, and directs the production of a
National Strategy for Aviation Security and supporting plans. The supporting plans address the following areas: aviation transportation system security; aviation operational threat response; aviation transportation system recovery; air domain surveillance
and intelligence integration; domestic outreach; and international outreach. The strategy: sets forth U.S. Government agency
roles and responsibilities; establishes planning and operations coordination requirements; and builds on current strategies,
tools, and resources.
HSPD-17: Nuclear Materials Information Program (August 2006)
HSPD-17 is classified. The directive addresses an interagency effort managed by the Department of Energy to consolidate information from all sources pertaining to worldwide nuclear materials holdings and their security status into an integrated and
continuously updated information management system.
HSPD-18: Medical Countermeasures Against Weapons of Mass Destruction (January 2007)
HSPD-18 builds on the vision and objectives articulated in the National Strategy to Combat Weapons of Mass Destruction and
Biodefense for the 21st Century to ensure that the Nation’s medical countermeasures research, development, and acquisitions
efforts: target threats that pose the potential for a catastrophic impact on public health; yield a rapidly deployable and flexible
capability to address existing and evolving threats; are part of an integrated WMD consequence management approach; and
include the development of effective, feasible, and pragmatic concepts of operation for responding to and recovering from
an attack. The directive designates the Secretary of Homeland Security to develop a strategic, integrated chemical, biological,
radiological, and nuclear risk assessment that integrates the findings of the intelligence and law enforcement communities with
input from the scientific, medical, and public health communities.
HSPD-19: Combating Terrorist Use of Explosives in the United States (February 2007)
HSPD-19 establishes a national policy and calls for the development of a national strategy and implementation plan on the
prevention and detection of, protection against, and response to terrorist use of explosives in the United States. This directive
mandates that the Secretary of Homeland Security coordinate with other Federal agencies to maintain secure informationsharing systems available to law enforcement agencies and other first-responders, to include best practices to enhance preparedness across governmental entities. The Secretary of Homeland Security is also responsible, in coordination with other Federal
agencies, for Federal Government research, development, testing, and evaluation activities related to explosives attacks and the
development of explosive render-safe tools and technologies.
HSPD-20: National Continuity Policy (May 2007)
HSPD-20 (also NSPD-51) establishes a comprehensive national policy on the continuity of Federal Government structures and
operations, and designates a single National Continuity Coordinator who is responsible for leading the development and implementation of Federal continuity policies. This policy: establishes National Essential Functions; prescribes continuity requirements for all executive departments and agencies; and provides guidance for State, local, tribal, and territorial governments,
and private sector organizations. This directive aims to ensure a comprehensive and integrated national continuity program that
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will enhance the credibility of our national security posture and enable a more rapid and effective response to and recovery
from a national emergency.
HSPD-21: Public Health and Medical Preparedness (October 2007)
HSPD-21 establishes a National Strategy for Public Health and Medical Preparedness. The Strategy draws key principles from
the National Strategy for Homeland Security (October 2007), the National Strategy to Combat Weapons of Mass Destruction
(December 2002), and Biodefense for the 21st Century (April 2004) that can be generally applied to public health and medical
preparedness. Implementation of this strategy will transform our national approach to protecting the health of the American
people against all disasters.
HSPD-22: Domestic Chemical Defense
HSPD-22 is classified. HSPD-22 establishes a national policy and directs actions to strengthen the ability of the United States to
prevent, protect, respond to, and recover from terrorist attacks employing toxic chemicals and other chemical incidents.
HSPD-23: Cyber Security and Monitoring (January 2008)
HSPD-23 (also National Security Presidential Directive 54) formalizes the “Comprehensive National Cybersecurity Initiative”
and a series of continuous efforts designed to establish a frontline defense (reducing current vulnerabilities and preventing
intrusions), defend against the full spectrum of threats by using intelligence and strengthening supply chain security, and shape
the future environment by enhancing our research, development, and education, as well as investing in leap-ahead technologies. The contents of HSPD-23 are classified.
HSPD-24: Biometrics for Identification and Screening to Enhance National Security (June 2008)
HSPD-24 establishes a framework to ensure that Federal executive departments and agencies use mutually compatible methods
and procedures in the collection, storage, use, analysis, and sharing of biometric and associated biographic and contextual
information on individuals in a lawful and appropriate manner, while respecting their information privacy and other legal
rights under U.S. law.
2.4 Other Authorities
Executive Order 13231, Critical Infrastructure Protection in the Information Age (October 2001) (amended by E.O.
13286, February 28, 2003)
Executive Order 13231 provides specific policy direction to ensure the protection of information systems for critical infrastructure, including emergency preparedness communications, and the physical assets that support such systems. It recognizes the
important role that networked information systems (critical information infrastructure) play in supporting all aspects of our
civil society and economy, and the increasing degree to which other critical infrastructure sectors have become dependent on
such systems. It formally establishes as U.S. policy the need to protect against disruption of the operation of these systems and
to ensure that any disruptions that do occur are infrequent, of minimal duration, manageable, and cause the least damage possible. This Executive Order specifically calls for the implementation of the policy to include “a voluntary public-private partnership, involving corporate and nongovernmental organizations.” This Executive Order also reaffirms existing authorities and
responsibilities assigned to various executive branch agencies and interagency committees to ensure the security and integrity
of Federal information systems generally and of national security information systems in particular.
National Infrastructure Advisory Council
In addition to the foregoing, Executive Order 13231 (as amended by E.O. 13286 of February 28, 2003, and E.O. 13385 of
September 29, 2005) also established the NIAC as the President’s principal advisory panel on CIKR protection issues spanning
all sectors. The NIAC is composed of not more than 30 members, appointed by the President, who are selected from the private
sector, academia, and State and local governments, representing senior executive leadership expertise from the CIKR areas as
delineated in HSPD-7.
Appendix 2: Summary of Relevant Statutes, Strategies, and Directives
145
The NIAC provides the President, through the Secretary of Homeland Security, with advice on the security of CIKR, both physical and cyber, that supports important sectors of the economy. It also has the authority to provide advice directly to the heads of
other departments who have shared responsibility for CIKR protection, including HHS, DOT, and DOE. The NIAC is charged to
improve the cooperation and partnership between the public and private sectors in securing critical infrastructure and advises
on policies and strategies that range from risk assessment and management, to information sharing, to protective strategies and
clarification of the roles and responsibilities between public and private sectors.
Executive Order 12382, President’s National Security Telecommunications Advisory Committee (amended by E.O.
13286, February 28, 2003)
Executive Order 12382 creates the NSTAC, which provides to the President, through the Secretary of Homeland Security, information and advice from the perspective of the telecommunications industry with respect to the implementation of the National
Security Telecommunications Policy.
Executive Order 12472, Assignment of National Security and Emergency Preparedness Telecommunications
Functions (amended by E.O. 13286, February 28, 2003)
Executive Order 12472 assigns NS/EP telecommunications functions, including wartime and non-wartime emergency functions, to the National Security Council, OSTP, Homeland Security Council, OMB, and other Federal agencies. This Executive
Order seeks to ensure that the Federal Government has telecommunications services that will function under all conditions,
including emergency situations. This Executive Order directs the NCS to assist the President, the National Security Council,
the Homeland Security Council, the Director of OSTP, and the Director of the OMB in: (1) exercising the telecommunications
functions and responsibilities set forth in the Executive Order; and (2) coordinating the planning for and provision of NS/EP
communications for the Federal Government under all circumstances, including a crisis or emergency, an attack, recovery, and
reconstitution.
Executive Order 12977, Interagency Security Committee (amended by E.O. 13286, February 28, 2003)
Executive Order 12977 directs the Interagency Security Committee to develop standards, policies, and best practices for enhancing the quality and effectiveness of physical security and the protection of nonmilitary Federal facilities in the United States.
The Interagency Security Committee provides a permanent body to address continuing government-wide security for Federal
facilities.
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Appendix 3: The Protection Program
Appendix 3A: NIPP Core Criteria for Risk
Assessments
The NIPP core criteria for risk assessments identify the characteristics and information needed to produce results that can
contribute to cross-sector risk comparisons. This appendix provides information for developing new and modifying existing
methodologies so they can be used to support national-level comparative risk assessment, incident response planning, resource
prioritization, and protective measures development and implementation. This appendix summarizes the information provided
in section 3.3, which can be referenced for additional details on these topics.
Many stakeholders conduct risk assessments to meet their own decisionmaking needs, using a broad range of methodologies.
Whenever possible, DHS seeks to use information from stakeholders’ assessments to contribute to an understanding of risks
across sectors and regions throughout the Nation. To do this consistently, the challenge of minimizing the disparity in the
approaches must be addressed through the core criteria identified below. These criteria include both the analytic principles that
are broadly applicable to all parts of a risk methodology and specific guidance regarding the information needed to understand
and address each of the three components of the risk equation: consequence, vulnerability, and threat.
The basic analytic principles ensure that risk assessments are:
• Documented: The methodology and the assessment must clearly document which information is used and how it is synthesized to generate a risk estimate. Any assumptions, weighting factors, and subjective judgments need to be transparent
to the user of the methodology, its audience, and others who are expected to use the results. The types of decisions that the
risk assessment is designed to support and the timeframe of the assessment (e.g., current conditions versus future operations)
should be given.
• Reproducible: The methodology must produce comparable, repeatable results, even though assessments of different CIKR
will be performed by different analysts or teams of analysts. It must minimize the number and impact of subjective judgments, leaving policy and value judgments to be applied by decisionmakers.
• Defensible: The risk methodology must be technically sound, making appropriate use of the professional disciplines relevant
to the analysis, as well as be free from significant errors or omissions. The uncertainty associated with consequence estimates
and confidence in the vulnerability and threat estimates must be communicated.
Appendix 3A: NIPP Core Criteria for Risk Assessments
147
• Complete: The methodology must assess consequence, vulnerability, and threat for every defined risk scenario and follow the
more specific guidance for each of these as given below.
Core Criteria Guidance for Consequence Assessments
• Document the scenarios assessed, tools used, and any key assumptions made.
• Estimate the number of fatalities, injuries, and illnesses, where applicable and feasible, keeping each separate estimate visible
to the user.
• Estimate the economic loss in dollars, stating which costs are included (e.g., property damage losses, lost revenue, loss to the
economy) and what duration was considered.
• If monetizing the human health consequences, document the value(s) used and the assumptions made.
• Consider and document any protective or consequence mitigation measures that have their effect after the incident has occurred, such as the rerouting of systems or HAZMAT or fire and rescue response.
• Describe the psychological impacts and mission disruption, where feasible.24
Core Criteria Guidance for Vulnerability Assessments
• Identify the vulnerabilities associated with: physical, cyber, or human factors (openness to both insider and outsider threats);
critical dependencies; and physical proximity to hazards.
• Describe all protective measures in place and how they reduce the vulnerability for each scenario.
• In evaluating security vulnerabilities, develop estimates of the likelihood of an adversary’s success for each attack scenario.
• For natural hazards, estimate the likelihood that an incident would cause harm to the asset, system, or network, given that
the natural hazard event occurs at the location of interest for the risk scenario.
Core Criteria Guidance for Threat Assessments
• For adversary-specific threat assessments:25
– Account for the adversary’s ability to recognize the target and the deterrence value of existing security measures.
– Identify attack methods that may be employed.
– Consider the level of capability that an adversary demonstrates with regard to a particular attack method.
– Consider the degree of the adversary’s intent to attack the target.
– Estimate threat as the likelihood that the adversary would attempt a given attack method against the target.
– If threat likelihoods cannot be estimated, use conditional risk values (consequence times vulnerability) and conduct sensitivity analyses to determine how likely the scenario would have to be to support the decision.
• For natural disasters and accidental hazards:
– Use best-available analytic tools and historical data to estimate the likelihood that these events would affect CIKR.
In addition to the guidance available in the NIPP, and as resources allow, DHS provides direct assistance to partners who are
developing and modifying risk methodologies. To discuss the possibility of such assistance, contact DHS at [email protected].
24
The assessment of the psychological impacts and mission disruption are currently maturing capabilities. Mission disruption is an area of strong NIPP partner interest
for collaborative development of the appropriate metrics to help quantify and compare different types of losses. While development is ongoing, qualitative descriptions
of the consequences are a sufficient goal.
25 Threat information can be received through HSIN.
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Appendix 3B: Existing CIKR Protection
Programs and Initiatives
This appendix provides examples of the Federal programs that currently support NIPP implementation. The examples provided
herein generally cut across sectors and have national significance. These Federal programs augment the extensive State, local,
tribal, territorial, and private sector protection programs that constitute important efforts already being implemented in support
of the NIPP. The SSPs address sector-specific programs that are conducted under the leadership of the SSAs, and include selected
protection programs undertaken by other CIKR partners that are applicable across the sector.
3B.1 Programs and Initiatives
Site Assistance Visits (SAVs): SAVs are facility vulnerability assessments jointly conducted by DHS in coordination and collaboration with Federal, State, and local stakeholders, and CIKR owners and operators. The SAV uses a hybrid methodology of
dynamic and static vulnerabilities, including elements of asset-based approaches (identifying and discussing critical site assets
and current CIKR protection postures) and scenario-based approaches (assault planning and likely attack scenarios) to ensure
that current threats are included. Through SAVs, DHS advises CIKR owners and operators about vulnerabilities, provides recommended protective measures that would increase the ability to deter or prevent terrorist attacks, and provides recommendations
for reducing vulnerabilities or enhancing resiliency. An SAV can range from a “quick look” visit to a full security vulnerability
assessment that takes 3 to 5 days to comprehensively review physical, cyber, and system interdependencies.
Buffer Zone Protection Program (BZPP): The BZPP is a DHS-administered grant program designed to increase security in the
“buffer zone” (the area outside of a facility that can be leveraged by an adversary to conduct target surveillance or launch an
attack). The BZP is a strategic document that is developed by the responsible local law enforcement jurisdictions that identifies
significant aspects of the site that may be targeted by terrorists, identifies specific threats and vulnerabilities associated with
the site, and develops an appropriate buffer zone extending outward from the facility in which protective measures can be
employed to make it more difficult for terrorists to conduct site surveillance or launch attacks.
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Comprehensive Reviews (CRs): The CR is a cooperative government-led assessment of CIKR facilities. The CR considers not
only potential terrorist methods of attack, the consequences of such an attack, integrated preparedness and response capabilities of the owner/operator, LLE, and emergency response organizations, but also preparedness and response in the context of a
natural disaster. The results are used to enhance the overall security and preparedness posture of the facilities, their surrounding communities, the geographic region, and ultimately the Nation. The CR provides a forum for candid and open dialogue
among all levels of government and private sector. The CR incorporates a variety of assessment and exercise tools. Information
obtained from the CR is used not only to enhance the capabilities of CIKR owner/operators and community first-responders,
but also to provide risk data to inform Federal investment and R&D decisions.
Characteristics and Common Vulnerabilities, Potential Indicators of Terrorist Activity, and Protective Measures Reports:
These reports identify common vulnerabilities by asset class within the sectors, as well as the types of terrorist activities that
are likely to be successful in exploiting these vulnerabilities. They also identify security and preparedness best practices by asset
class within the sectors. Integrated Infrastructure Papers integrate these reports and are currently available to more than 500
Federal, State, local, and private sector partners on a secure Web site.
Computer-Based Assessment Tool (CBAT): CBAT is an extension of the technical assistance provided for the DHS SAV Program
and BZPP and is in support of designated special events. CBAT comprises technology and services that help DHS, owners and
operators, local law enforcement, and emergency personnel prepare for, respond to, and manage special events. By integrating SAV and BZPP assessment data with geospherical video and geospatial and hypermedia data, CBAT provides planners with
a computer-based, cross-platform tool that allows them to present data, make informed decisions quickly, and confidently
respond to an incident. The “video walkthrough” of the facility or perimeter provided by CBAT also gives emergency response
personnel a view of what they will encounter onsite. The system combines six individual, high-resolution cameras that provide
a 360-degree spherical color video of the facilities, routes, and specific areas pertaining to a CBAT request.
Control Systems Security Initiative: DHS sponsors programs to increase the security of Internet-based control systems. A control system comprises components (designed to maintain the operation of a process or system) that are connected or related in
such a manner as to command, monitor, direct, or regulate itself or another system. Control systems are embedded throughout
the Nation’s CIKR and may be increasingly vulnerable to cyber threats that could have a devastating impact. The DHS Control
Systems Security Initiative provides coordination among Federal, State, local, and tribal governments, as well as control system
owners, operators, and vendors to improve control system security within and across all CIKR sectors.
Federal Cyber System Security Programs: DHS established the GFIRST to facilitate interagency information sharing and
cooperation across the Federal agencies responsible for cyber system readiness and response. GFIRST members work together to
understand and manage computer security incidents and encourage proactive and preventive security practices. Other examples
of Federal agency cybersecurity access control, certification, and policy enforcement tools include:
• The General Services Administration (GSA) is responsible for developing and implementing an infrastructure for authentication services, as well as an automated risk assessment tool for government-wide use in certifying and accrediting its eAuthentication gateway. GSA is creating a list of approved solution providers that supply smart cards based on Federal Public Key
Infrastructure standards and that include a new electronic authentication policy specification.
• The National Oceanic and Atmospheric Administration (NOAA) has implemented enterprise-wide vulnerability assessments
and virus-detection software, an intrusion-detection system, anti-virus scanning gateways, and a patch management policy.
Federal Hazard Mitigation Programs: FEMA administers three programs that provide funds for activities that reduce the losses
from future disasters or help prevent the occurrence of catastrophes. These hazard mitigation programs include the Flood
Mitigation Assistance Program, the Hazard Mitigation Grant Program, and the Pre-Disaster Mitigation Program. These programs enable grant recipients to undertake activities such as the elevation of structures in floodplains, the relocation of structures from floodplains, the construction of structural enhancements to facilities and buildings in earthquake-prone areas (also
known as retrofitting), and modifications to land-use plans to ensure that future construction ameliorates hazardous conditions.
International Outreach Program: DHS works with DOS and other CIKR partners to conduct international outreach with foreign countries and international organizations to encourage the promotion and adoption of best practices, training, and other
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programs, as needed, to improve the protection of overseas assets and to help ensure the reliability of the foreign infrastructure
on which the United States depends.
National Cyber Exercises: DHS conducts exercises to identify, test, and improve coordination of the cyber incident response
community, including Federal, State, local, tribal, territorial, and international governmental entities, as well as private sector
corporations and coordinating councils.
National Cyber Response Coordination Group (NCRCG): This entity facilitates coordination of the Federal Government’s
efforts to prepare for, respond to, and recover from cyber incidents and physical attacks that have significant cyber consequences (collectively known as “cyber incidents”). The NCRCG serves as the Federal Government’s principal interagency
mechanism for operational information sharing and coordination of the Federal Government’s response and recovery efforts
during a cyber crisis. It uses established relationships with the private sector and State and local governments to help manage a
cyber crisis, develop courses of action, and devise appropriate response and recovery strategies.
Protective Security Advisor (PSA) Program: DHS protection specialists are assigned as liaisons between DHS and the protective
community at the State, local, and private sector levels in geographical areas representing major concentrations of CIKR across
the United States. The PSAs are responsible for sharing risk information and providing technical assistance to local law enforcement and CIKR owners and operators of CIKR within those areas. They also serve an important role in facilitating the CIKRrelated aspects of incident management operations under the NRF.
Software Assurance: DHS is developing best practices and new technologies to promote integrity, security, and reliability in
software development. Focused on shifting away from the current security paradigm of patch management, DHS is leading the
Software Assurance Program, a comprehensive strategy that addresses processes, technology, and acquisition throughout the
software life cycle to result in secure and reliable software that supports critical mission requirements.
3B.2 Guidelines, Reports, and Planning
Cybersecurity Planning: DHS recognizes that each sector will have a unique reliance on cyber systems and will, therefore,
assist SSAs in considering a range of effective and appropriate cyber protective measures. The sector-level approaches to cybersecurity will be documented in the respective SSPs.
Educational Reports: DHS provides several types of informational reports to support efforts to protect CIKR. They cover subjects such as CIKR common vulnerabilities, potential indicators of terrorist activity, and best practices for protective measures.
As they are developed, these reports are distributed to all State and Territorial Homeland Security Offices with the guidance that
they should be shared with CIKR owners and operators, the law enforcement community, and captains of the ports in their
respective jurisdictions.
Risk Management Manuals: In response to the September 11, 2001 attacks, FEMA’s role was expanded to include activities to
reduce the vulnerability of buildings to terrorist attacks. In support of this mission, FEMA created the Risk Management Series,
a collection of publications directed toward providing design guidance to mitigate the consequences of manmade disasters.
To date, the series includes the following manuals:
• FEMA 155, Building Design for Homeland Security
• FEMA 426, Reference Manual to Mitigate Potential Terrorist Attacks Against Buildings
• FEMA 427, Primer for the Design of Commercial Buildings to Mitigate Terrorist Attacks
• FEMA 428, Primer to Design Safe School Projects in Case of Terrorist Attacks
• FEMA 429, Insurance, Finance, and Regulation Primer for Terrorism Risk Management in Buildings
• FEMA 430, Primer for Incorporating Building Security Components in Architectural Design
• FEMA 452, Risk Assessment: A How-To Guide to Mitigate Potential Terrorist Attacks Against Buildings
• FEMA 453, Multihazard Shelter (Safe Havens) Design
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3B.3 Information-Sharing Programs That Support CIKR Protection
Federal agencies and the law enforcement community provide information-sharing services and programs that support CIKR
protection information sharing. These include:
• DHS Homeland Security Information Network (HSIN): HSIN is a national, Web-based communications platform that allows: DHS; SSAs; State, local, tribal, and territorial governmental entities; and other partners to obtain, analyze, and share
information based on a common operating picture of strategic risk and the evolving incident landscape. The network is designed to provide a robust, dynamic information-sharing capability that supports both NIPP-related steady-state CIKR protection and NRF-related incident management activities, and to provide the information-sharing processes that form the bridge
between these two homeland security missions. HSIN is one part of the ISE called for by the Intelligence Reform and Terrorism Prevention Act of 2004. As specified in the act, it will provide users with access to terrorism information that is matched
to their roles, responsibilities, and missions in a timely and responsive manner. HSIN is discussed in detail in chapter 4.
HSIN-Critical Sectors is an information-sharing portal designed to encourage communication and collaboration among all
CIKR sectors and the Federal government. The content is tailored for each of the CIKR sectors.
• FBI’s InfraGard: InfraGard is an information-sharing and analysis effort serving the interests and combining the knowledge
base of a wide range of members. At its most basic level, InfraGard is a partnership between the FBI and the private sector. InfraGard is an association of businesses, academic institutions, State and local law enforcement agencies, and other participants
dedicated to sharing information and intelligence related to the protection of U.S. CIKR from both physical and cyber threats.
InfraGard chapters are geographically linked with FBI Field Offices. Each InfraGard chapter has an FBI Special Agent Coordinator who works closely with Supervisory Special Agent Program Managers in the Cyber Division at FBI Headquarters.
• Interagency Cybersecurity Efforts: Interagency cooperation and information sharing are essential to improving national
counterintelligence and law enforcement capabilities pertaining to cybersecurity. The intelligence and law enforcement communities have various official and unofficial information-sharing mechanisms in place. Examples include:
––U.S. Secret Service’s Electronic Crimes Task Forces (ECTFs): These ECTFs provide interagency coordination on cyber-based attacks
and intrusions. At present, 15 ECTFs are in operation, with an expansion planned.
––FBI’s Inter-Agency Coordination Cell: The Inter-Agency Coordination Cell is a multi-agency group focused on sharing law enforcement information on cyber-related investigations.
––Computer Crime and Intellectual Property Section: The DOJ, Criminal Division, Computer Crime and Intellectual Property Section
is responsible for prosecuting nationally significant cases of cyber crime and intellectual property crime. In addition to its
direct litigation responsibilities, the division formulates and implements criminal enforcement policy and provides advice
and assistance.
• Law Enforcement Online (LEO): The FBI provides LEO as a national focal point for electronic communications, education, and
information sharing for the law enforcement community. LEO, which can be accessed by any approved employee of a Federal,
State, or local law enforcement agency, or approved member of an authorized law enforcement special interest group, is intended
to provide a communications mechanism to link all levels of law enforcement throughout the United States.
• Regional Information Sharing Systems (RISS): The RISS program is a federally funded program administered by the DOJ,
Office of Justice Programs, Bureau of Justice Assistance. RISS serves more than 8,100 member law enforcement agencies in 50
States, the District of Columbia, Guam, Puerto Rico, the U.S. Virgin Islands, Australia, Canada, and the United Kingdom. The
program comprises six regional centers that share intelligence and coordinate efforts against criminal networks that operate
in many locations across jurisdictional lines. Typical targets of RISS activities are terrorism, drug trafficking, violent crime,
cyber crime, gang activity, and organized criminal activities. The majority of the member agencies are at the municipal and
county levels; however, more than 485 State agencies and more than 920 Federal agencies also participate. The Drug Enforcement Administration; FBI; U.S. Attorneys’ Offices; Internal Revenue Service; Secret Service; U.S. Immigration and Customs
Enforcement; and the Bureau of Alcohol, Tobacco, Firearms, and Explosives are among the Federal agencies participating in
the RISS program.
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• Sharing National Security Information: The ability to share relevant classified information poses a number of challenges,
particularly when the majority of industry facilities are neither designed for nor accredited to receive, store, and dispose of
these materials. Ultimately, HSIN may be used to more efficiently share appropriate classified national security information
with cleared private sector owners and operators during incidents, times of heightened threat, or on an as-needed basis.
While supporting technologies and policies are identified to satisfy this requirement, DHS will continue to expand its initiative to sponsor security clearances for designated private sector owners and operators, sharing classified information using
currently available methods.
• Web-Based Services for Citizens: A variety of Web-based information services are available to enhance the general awareness
and preparedness of American citizens. These include CitizenCorps.gov, FirstGov.gov, Ready.gov, and USAonwatch.org.
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Appendix 3C: Infrastructure Data Warehouse
3C.1 Why Do We Need a National CIKR Inventory?
HSPD-7 directs the Secretary of Homeland Security to lead efforts to reduce the Nation’s vulnerability to terrorism and deny
the use of infrastructure as a weapon by developing, coordinating, integrating, and implementing plans and programs that
identify, catalog, prioritize, and protect CIKR in cooperation with all levels of government and private sector entities. A central
Federal data repository for analysis and integration is required to provide DHS with the capability to identify, collect, catalog,
and maintain a national inventory of information on assets, systems, and networks that may be critical to the Nation’s well-being, economy, and security. This inventory is also essential to help inform decisionmaking and specific response and recovery
activities pertaining to natural disasters and other emergencies.
To fulfill this need, DHS has developed the federated IDW, a continually evolving and comprehensive catalog of the assets,
systems, and networks that make up the Nation’s CIKR. The IDW enables access to descriptive information regarding CIKR.
Although the IDW is not a listing of prioritized assets, it has the capability to help inform risk-mitigation activities across the
CIKR sectors and government jurisdictions.
3C.2 How Does the Inventory Support the NIPP?
The IDW provides a coordinated and consistent framework to access and display the CIKR data submitted by: Federal, State,
and local agencies; the private sector; and integrated Federal or commercial databases. The federated framework and structure of the IDW have been constructed to readily integrate other CIKR data sources and provide the required data in a usable
and effective manner. Two primary components of this framework are the Infrastructure Protection Taxonomy and infrastructure type data fields:
• The IP taxonomy groups CIKR by sector and identifies overlaps between and across sectors. It was developed by DHS in coordination with the SSAs to ensure that every CIKR type is represented.
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• The infrastructure type data fields outline the attributes of interest that are integral to assessment and analysis per a specific
category of CIKR, making the IDW compliant with the National Information Exchange Model (NIEM). The information contained in these data fields feeds the strategic risk assessment process used to prioritize CIKR in the context of terrorist threats
or incidents, natural disasters, or other emergencies.
The information accessed through the IDW supports the analysis to determine which assets, systems, and networks make up
the Nation’s CIKR and to inform security planning and preparedness, resource investments, and post-incident response and
recovery activities within and across sectors and governmental jurisdictions.
3C.3 What Is the Current Content of the Inventory?
DHS gathers data related to the Nation’s CIKR from a variety of sources. The inventory reflects a collection of information garnered from formal data calls, voluntary additions, and the leveraging of various Federal and commercial databases. Information
accessed through the IDW has been received from Federal agencies, State and local submissions, voluntary private sector
submissions, commercial demographics products, external data sources, and subject matter experts. The information is used to
inform CIKR protection efforts, contingency planning, and planning for implementation of initiatives such as the BZPP, and to
aid decisionmakers during response and recovery following terrorist attacks, natural disasters, or other emergencies.
3C.4 How Will the Current Inventory Remain Accurate?
DHS continues to seek input from multiple infrastructure sources, including existing databases managed by SSAs, commercial
providers, State and local governments, and the private sector. Integrating existing databases using a federated framework
will provide a dynamic common operating interface of infrastructure and vulnerability information through a cross-flow of
data between separate databases or linked access to other databases. Existing databases being considered for integration are
shown in table 3C-1. Ownership and control of the data will be determined according to the circumstances of each database.
Classification of the data will be based on Original Classification Authority (OCA) guidance and will be protected as required
by OCA guidance and direction.
Table 3C-1: Database Integration
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3C.5 How Will the Infrastructure Data Warehouse Be Maintained?
The process of ensuring that the data collected is both current and accurate is continual. Data updates and currency are largely
dependent on the sources of the data and the frequency of the updates that they provide.
Efficiency and reliability are maintained through the implementation of various data quality control techniques. Verification
and validation efforts by contracted companies or Federal employees will play a key role in ensuring information currency.
3C.6 How Do CIKR Partners Contribute?
The CIKR information accessible through the IDW is highly dependent on the participation and support of the SSAs, the States,
and private sector entities:
• SSAs have the primary responsibility for providing sector information to DHS for inclusion in the IDW.26 The processes used
for sector CIKR and database identification in coordination with partners should be described in the SSPs.
• Some State governments have either already developed infrastructure databases or have begun the process to identify and assess CIKR within their jurisdictions. State Homeland Security Advisors should work closely with DHS and the SSAs to ensure
that data collection efforts are streamlined, coordinated, and reflect the most accurate data possible.
• The most current and accurate data are best known by CIKR owners and operators. Thus, as the owners and operators of
the majority of the Nation’s CIKR, private sector entities are encouraged to be actively involved in the development of CIKR
information.
3C.7 What Are the Plans for IDW Expansion?
Planned advancements include integration with multiple commercial and Federal CIKR databases, vulnerability assessment tools
and libraries, intelligence and threat reporting databases, and geospatial tools.
DHS is developing the IDW with a versatile platform to support integration of DHS and SSA applications and databases. The
goal of this effort is to create a means for appropriate parties to access national CIKR information that more efficiently and
effectively supports the implementation of NIPP risk management framework activities, including:
• Integration of vulnerability, consequence, and asset/system/network attribute data into a single portal interface as the foundation for the NIPP risk assessment process;
• Access to threat data to support the development of asset, system, and network risk scores;
• Assessment and, if appropriate, prioritization of assets, systems, and networks across sectors and jurisdictions based on risk
to promote the more effective allocation and use of available resources and to inform planning, threat response, and postincident restoration actions at all levels of government and the private sector;
• Sharing of consistent information so that all partners involved in CIKR protection operate from a common frame of reference;
• Acting as a primary information and integration hub for protective security needs throughout the country in support of DHSand SSA-led activities;
• Supporting the efforts of law enforcement agencies during National Security Special Events and other high-priority security
events; and
• Supporting the efforts of primary Federal agencies in responding to and recovering from major natural or manmade disasters.
26
The IP Taxonomy is the foundation for multiple DHS programs that focus on CIKR, such as the IDW and the National Threat Incident Database, and should provide
the foundation for the lexicon used in the SSPs. This common framework will allow more efficient integration and transfer of information, as well as a more effective
analytical tool for making comparisons.
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Appendix 4: Existing Coordination
Mechanisms
The coordination mechanisms established under the NIPP serve as the primary means for coordinating CIKR protection activities nationally. However, many other avenues exist for CIKR partners to engage with each other and government at all levels
to ensure that their efforts are fully coordinated in accordance with the principles outlined in the NIPP. The following table
summarizes many of these available mechanisms.
Appendix 4: Existing Coordination Mechanisms
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Appendix 4: Existing Coordination Mechanisms
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Appendix 5: Integrating CIKR
Protection as Part of the Homeland
Security Mission
Appendix 5A: State, Local, Tribal, and
Territorial Government Considerations
State, local, tribal, and territorial efforts support the implementation of the NIPP and associated SSPs by providing a jurisdictional focus and enabling cross-sector coordination. The NIPP recognizes that there is not a one-size-fits-all approach to CIKR
protection planning at the State and local levels. Creating and managing a CIKR protection program for a given jurisdiction
entails building an organizational structure and mechanisms for coordination between government and private sector entities
that can be used to implement the NIPP risk management framework. This includes taking action within the jurisdiction to set
goals and objectives; identify assets, systems, and networks; assess risks; prioritize CIKR across sectors; implement protective
programs and resiliency strategies; and measure the effectiveness of risk-mitigation efforts. These elements form the basis of
CIKR protection programs and guide the implementation of relevant CIKR protection-related goals and objectives outlined in
State, local, tribal, and territorial homeland security strategies.
This appendix provides general guidance that can be tailored to: unique jurisdictional characteristics; organizational structures; and operating environments at the State, local, tribal, and territorial levels. Additional guidance is available in A Guide
to Critical Infrastructure and Key Resources Protection at the State, Regional, Local, Tribal, and Territorial Levels (2008). This
guide can be accessed at www.dhs.gov/nipp.
The NIPP is structured to avoid redundancy and to ensure coordination among Federal, State, and local CIKR protection efforts.
States or localities are encouraged to focus their efforts in ways that leverage Federal resources and address the relevant CIKR
sector’s protection requirements in their particular areas or jurisdictions. This appendix outlines a basic framework to guide the
development of CIKR protection strategies, plans, and programs in coordination with the NIPP.
To be in alignment with the NIPP, State and local CIKR protection plans and programs should explicitly address six broad
categories:
• CIKR protection roles and responsibilities;
• Partnership building and information sharing;
• Implementation of the NIPP risk management framework;
• CIKR data use and protection;
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• Leveraging of ongoing emergency preparedness activities for CIKR protection; and
• Integration of Federal CIKR protection and resiliency activities.
5A.1 CIKR Roles and Responsibilities
The NIPP outlines a set of broad roles and responsibilities for State, local, tribal, territorial, and regional entities (see chapter
2). State, local, tribal, territorial, and regional CIKR protection plans (or entities addressing CIKR in State or local homeland
security plans or strategies) should describe how each jurisdiction intends to implement these roles and responsibilities. In
particular, jurisdictions should consider and describe in their plans the following:
• Which offices or organizations in the jurisdiction perform the roles or responsibilities outlined in the NIPP or the supporting
SSPs;
• Whether gaps exist between the jurisdiction’s current approach and those roles and responsibilities outlined in the NIPP or in
an SSP, and how the gaps will be addressed;
• Whether any roles and responsibilities should be revised, modified, or consolidated to accommodate the unique operating
attributes of the jurisdiction;
• How the jurisdiction will maintain operational awareness of the performance of the CIKR protection roles assigned to different offices, agencies, or localities; and
• How the jurisdiction will coordinate its CIKR protection roles and responsibilities with other jurisdictions and the Federal
Government.
5A.2 Partnership Building and Information Sharing
Effective CIKR protection requires the development of partnerships, collaboration, and information sharing between government and CIKR owners and operators. This includes maintaining awareness of CIKR owner and operator concerns, disseminating relevant information to owners and operators, and maintaining processes for rapid response and decisionmaking in the
event of a threat or incident involving CIKR within the jurisdiction. To address partnership building, networking, and information sharing, State and local entities should determine whether the appropriate mechanisms for sharing information and networking with CIKR partners are in place. If mechanisms are not established at all of the relevant levels, State and local entities
should identify the means for better coordinating and sharing information with CIKR partners. Options to be considered and
described in State, local, tribal, territorial, and regional CIKR protection plans can include, but are not limited to:
• Ensuring collaboration with other governmental entities and the private sector using a process based on the partnership
model outlined under the NIPP or an abbreviated form of the model that addresses only those sectors that are most relevant
to the jurisdiction;
• Instituting specific information-sharing networks, such as an information-sharing portal, for the jurisdiction. These types of
networks allow owners and operators, and governmental entities to share best practices, provide a better understanding of
sector and cross-sector needs, and inform collective decisionmaking on how best to utilize resources;
• Utilizing SLFCs, where applicable. SLFCs coordinate the collection, analysis, and dissemination of law enforcement, homeland
security, public safety, and terrorism information;
• Developing standing committees and work groups to discuss relevant CIKR protection issues;
• Developing a regular newsletter or similar communications tool for CIKR owners and operators on relevant CIKR protection
issues and coordination within the jurisdiction; and
• Participating in existing sector-wide and national information-sharing networks, including those offered by trade associations, ISACs, SCCs, and threat warning and alert notification systems.
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The information-sharing approach for a given jurisdiction will vary based on CIKR ownership, the number and type of CIKR
sectors represented in the jurisdiction, and the extent to which existing mechanisms can be leveraged. The options presented
above are merely a description of some available mechanisms that jurisdictions may consider as they develop the organization
of their programs and document their processes in a CIKR protection plan.
5A.3 Implementing the Risk Management Framework
The NIPP risk management framework described in chapter 3 provides a useful model for State, local, tribal, territorial, and
regional jurisdictions to use in addressing CIKR protection within the given jurisdiction. The model provides a risk-informed
approach to identify, prioritize, and protect CIKR assets and systems at the State and local level. This process also allows State
and local jurisdictions to enhance coordination with DHS and the SSAs in developing and implementing CIKR protection
programs. The following should be considered when developing CIKR protection programs:
• What are the jurisdiction’s goals and objectives for CIKR protection? How do these goals relate to those of the NIPP and the
SSPs that are relevant to the jurisdiction?
• What are the CIKR assets, systems, and networks within the jurisdiction or that affect the jurisdiction? Are there significant
interstate or international dependencies or interdependencies? Are any of the assets, systems, or networks within the jurisdiction deemed to be nationally critical by DHS?
• Are risk assessments for CIKR within the State being conducted or planned by DHS, the SSAs, or owners and operators in
accordance with the processes outlined in the NIPP? Is there a need for the jurisdiction to conduct additional or supplemental
risk assessments? Do the methodologies for conducting risk assessments address the baseline criteria outlined in chapter 3?
• What are the CIKR protection priorities within the jurisdiction? How do these priorities correlate with the national priorities
established by the Federal Government? How do these priorities correlate with the ongoing CIKR protection priorities established for each sector at the national level?
• What actions or initiatives are being taken within the jurisdiction to address CIKR protection and resiliency? How do these
relate to the national effort?
• What types of metrics will be used to measure the progress of CIKR protection efforts?
5A.4 CIKR Data Use and Protection
States and other jurisdictions may employ a variety of means to collect CIKR data or respond to CIKR data requests. State, local,
tribal, territorial, and regional plans should outline how the jurisdiction has organized itself to address CIKR data use and
protection. The following issues should be considered in developing the CIKR protection plan:
• Will the jurisdiction maintain a comprehensive database of CIKR in the State, region, or locality? How will the jurisdiction
collect such information? What tools are available from DHS or in the commercial marketplace to support infrastructure information collection and management?
• How will sensitive data that may be in the possession of State, local, tribal, or territorial governments be legally and physically protected from public disclosure and what safeguards will be used to control and limit distribution to the appropriate
individuals?
• Will data collection mechanisms be compatible and interoperable with the IDW framework to enable data sharing?
• How will the jurisdiction ensure that it is maintaining current information?
• Will data requests from the Federal Government for CIKR data be channeled to the owners and operators through the States?
• Are there local legal authorities and policy directives related to data collection? Are these authorities adequate? If not, how
will the jurisdiction address these issues?
Appendix 5A: State, Local,Tribal, and Territorial Government Considerations
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5A.5 Leveraging of Ongoing Emergency Preparedness Activities for CIKR Protection
The emergency management capabilities of each State and local jurisdiction are an important component of improving overall
CIKR protection. States and localities should look to existing programs and leverage ways in which CIKR protection can be
integrated into ongoing activities. Areas to be considered when drafting a CIKR protection plan include:
• Does the jurisdiction’s exercise program account for CIKR protection? If not, how will the State or locality incorporate CIKR
protection exercise scenarios to increase the level of preparedness?
• Does the State Preparedness Report account for CIKR protection?
• How do CIKR protection efforts relate to initiatives outlined in the jurisdiction’s hazard mitigation plan? How do various
hazard modeling or ongoing mitigation efforts relate to the CIKR protection initiatives?
• How will the jurisdiction share best practices, reports, or other output from emergency preparedness activities with CIKR
owners and operators?
• Have CIKR owners and operators been invited to participate in exercise events and are CIKR owners and operators linked to
existing warning or response systems?
• What existing educational and outreach programs can be leveraged to share information with partners regarding CIKR
protection?
• Are there other outreach or emergency management programs that should include a CIKR component?
5A.6 Integrating Federal CIKR Protection Activities
State-, local-, tribal-, and territorial- level CIKR protection programs should complement and draw on Federal efforts to the
maximum extent possible to utilize risk management methodologies and avoid the duplication of efforts.
State, local, tribal, and territorial efforts should consider the adequacy of DHS and SSA guidance and resources for their particular situation. For example:
• Are the existing criteria for risk analysis inclusive of levels of consequence that are of concern to the State or locality, or
should the jurisdiction’s criteria be expanded to include additional local assets?
• Are the self-assessment tools developed by DHS and the SSAs sufficient or do these tools need additional tailoring to reflect
local conditions?
• Are there additional best practices that should be shared among CIKR partners?
• Are there additional authorities that need to be documented?
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Appendix 5B: Recommended Homeland
Security Practices for Use by the Private Sector
This appendix provides a summary of practices that may be adopted by private sector owners and operators to improve the efficiency and effectiveness of their CIKR protection programs. The recommendations herein are based on best practices in use by
various sectors and other groupings. The NIPP encourages private sector owners and operators to adopt and implement those
practices that are appropriate and applicable at the enterprise and individual facility levels. These may include:
• Asset, System, and Network Identification:
– Incorporate the NIPP framework for the assets, systems, and networks under their control; and
– Voluntarily share CIKR-related information with the appropriate partners to facilitate CIKR protection program implementation with applicable information protections.
• Assessment, Monitoring, and Reduction of Risks/Vulnerabilities:
– Conduct appropriate risk and vulnerability assessment activities using tools or methods that are rigorous, well-documented,
and based on accepted practices in industry or government;
– Implement measures to reduce risk and mitigate deficiencies and vulnerabilities corresponding to the physical, cyber, and
human security elements of CIKR protection;
– Maintain the tools, capabilities, and protocols necessary to provide an appropriate level of monitoring of networks, systems,
or a facility and its immediate surroundings to detect possible insider and external threats;
– Develop and implement personnel screening programs to the extent feasible for personnel working in sensitive positions;
and
– Manage the security of computer and information systems while maintaining awareness of vulnerabilities and consequences to ensure that systems are not used to enable attacks against CIKR.
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• Information Sharing:
––Connect with and participate in the appropriate national, State, regional, local, and sector information-sharing mechanisms
(e.g., HSIN-CS);
––Develop and maintain close working relationships with local (and, as appropriate, Federal, State, tribal, and territorial) law
enforcement and first-responder organizations relevant to the company’s facilities to promote communication, with the
appropriate protections, and cooperation related to prevention, remediation, and response to a natural disaster or terrorist
event;
––Provide applicable information on threats, assets, and vulnerabilities to appropriate government authorities, with the appropriate protections;
––Share threat and other appropriate information with other CIKR owners and operators;
––Participate in activities or initiatives developed and sponsored by the relevant NIPP SCC or entity that provides the sector
coordinating function;
––Participate in, share information with (with appropriate protections), and support State and local CIKR protection programs, including coordinating and planning with Local Emergency Planning Committees and Citizen Corps27 Councils;
––Collaborate with other CIKR owners and operators on security issues of mutual concern; and
––Use appropriate measures to safeguard information that could pose a threat and maintain open and effective communications regarding security measures and issues, as appropriate, with employees, suppliers, customers, government officials,
and others.
• Planning and Awareness:
––Develop and exercise appropriate emergency response, mitigation, and business continuity-of-operations plans;
––Participate in Federal, State, local, or company exercises and other activities to enhance individual, organization, and sector
preparedness and resiliency;
––Demonstrate a continuous commitment to security and resilience across the entire company;
––Develop an appropriate security protocol corresponding to each level of the HSAS. These plans and protocols are additive so
that as the threat level increases for company facilities, the company can quickly implement its plans to enhance the physical or cybersecurity measures in operation at these facilities and modify them as the threat level decreases;
––Utilize National Fire Protection Association 1600 Standard on Disaster/Emergency Management and Business Continuity
Programs, endorsed by DHS and Congress, when developing Emergency Response and Business Continuity-of-Operations
Plans if the sector has not developed its own standard;
––Document the key elements of security programs, actions, and periodic reviews as part of a commitment to sustain a consistent, reliable, and comprehensive program over time;
––Enhance security awareness and capabilities through periodic training, drills, and guidance that involve all employees annually to some extent and, when appropriate, involve others such as emergency response agencies or neighboring facilities;
––Perform periodic assessments or audits to measure the effectiveness of planned physical security and cybersecurity measures. These audits and verifications should be reported directly to the CEO or his/her designee for review and action;
27 The U.S. Citizen Corps is the FEMA grassroots strategy to achieve community preparedness and resilience. Local Citizen Corps Councils bring government and civic
leaders from all sectors together to develop goals and strategies for community resilience tailored to specific community vulnerabilities and population. Elements
of local strategies include: outreach and education on personal preparedness; integration of nongovernmental assets and personnel in preparedness and response
protocols; improved plans for emergency notifications, evacuation, and sheltering; and increased citizen participation in community safety. More information is
available on the Internet at www.CitizenCorps.gov.
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––Promote preparedness education and outreach and emergency response training through the U.S. Citizen Corps, such as
the Community Emergency Response Team training offered for employees;
––Consider including programs for developing highly secure and trustworthy operating systems in near-term acquisitions or
R&D priorities;
––Participate in the Voluntary Private Sector Preparedness Accreditation and Certification Program, which establishes a common set of criteria for private sector preparedness in disaster management, emergency management, and business continuity;
––Create a culture of preparedness, reaching every level of the organization’s workforce, which ingrains in each employee the
importance of awareness and empowers those with responsibilities as first-line defenders within the organization and the
community;
––As the organization performs R&D or acquires new or upgraded systems, consider only those that are highly secure and
trustworthy;
––Encourage employee participation in community preparedness and protection efforts, such as sector-specific Watch programs and skill-based volunteer programs, including Medical Reserve Corps, Red Cross, Second Harvest, etc.;
––Work with others locally, including government, nongovernmental organizations, and private sector entities, both within
and outside of the sector, to identify and resolve gaps that could occur in the context of a terrorist incident, natural disaster,
or other emergency;
––Work with DHS to improve cooperation regarding personnel screening and information protection; and
––Identify supply chain and “neighbor” issues that could cause workforce or production disruptions for the company.
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Appendix 6: S&T Plans, Programs,
and Research & Development
This appendix provides additional details on S&T programs and initiatives supporting the NIPP and CIKR protection. It includes
details on how S&T is organized to produce and execute its investment strategy and how that strategy results in developing
technology-based solutions to meet customer/end-user requirements.
6.1 S&T Organization and Investment Process
The organization of S&T results in an improved process to identify, validate, and procure new technologies, as well as to
develop and integrate technology with the strategies, policies, and procedures required to protect the Nation’s CIKR. The division’s research, development, test, and evaluation (RDT&E) program achieves S&T strategic goals in six fundamental disciplines:
(1) Explosives; (2) Chemical and Biological; (3) Command, Control, and Interoperability; (4) Borders and Maritime Security;
(5) Human Factors; and (6) Infrastructure and Geophysical, which also represent S&T’s six technical divisions.
These technical divisions are linked to three R&D investment portfolio directors in a “matrix management” structure. These
three portfolio directors—the Director of Research, the Director of Transition, and the Director of Innovation/Homeland
Security Advanced Research Projects Agency (HSARPA)—provide cross-cutting coordination of their respective elements (or
thrusts) of the investment strategy within the technical divisions. Each technical division comprises at least one Section Director
of Research who reports to the Director of Research (in addition to the Division Director) so that a cross-cutting focus on basic
and applied research capabilities is maintained and leveraged. It also comprises a Section Director of Transition who reports to
the Director of Transition (in addition to the Division Director) to help the division stay focused on technology transition.
The Director of Transition coordinates within the department to expedite technology transition and transfer to customers. The
Director of Innovation/HSARPA sponsors basic and applied homeland security research to: promote revolutionary changes in
technologies; advance the development, testing and evaluation, and deployment of critical homeland security technologies; and
accelerate the prototyping and deployment of technologies that would address homeland security vulnerabilities and works
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with each of the Division Heads to pursue game-changing, leap-ahead technologies that will significantly lower costs and
markedly improve operational capabilities through technology application.
This cross-cutting coordination facilitates a unity of effort. The matrix structure also allows S&T to provide more comprehensive and integrated technology solutions to its customers by appropriately bringing all of the disciplines together in developing
solutions.
6.1.1 R&D Investments and Planning
Along with the organizational alignment discussed above, S&T has also aligned its investment portfolio to create an array of
programs that balance project risk, cost, mission impact, and the time it takes to deliver solutions. S&T executes projects across
the spectrum of technical maturity and transitions them in accordance with customer needs. Its investment portfolio is balanced across long-term research, product applications, and leap-ahead, game-changing capabilities while also meeting mandated requirements. This balanced portfolio ensures that S&T maintains a self-replenishing pipeline of future capabilities and
products to transition to customers.
The DHS Transition Program is a formalized, structured process that aligns investments with end-user requirements and is
managed by Capstone Integrated Product Teams (IPTs). These teams constitute the Transition portfolio of S&T, targeting deployable capabilities in the near term. S&T established these teams to coordinate the planning and execution of R&D programs
together with the eventual hand-off to the maintainers and users of the project results. They are critical nodes in the process for
determining operational requirements, assessing current capabilities to meet operational needs, analyzing gaps in capabilities,
and articulating programs and projects to fill in the gaps and expand competencies.
IPTs generally include the research and technology perspective, the customer/end-user perspective, and an acquisitions perspective. IPTs are specifically chartered to ensure that technologies are engineered and integrated into systems scheduled for
delivery and made available to DHS customers and other homeland security partners. The customers/end-users monitor and
guide the capability being developed; the research and technology representatives inform the discussions with scientific and
engineering advances and emerging technologies; and the acquisitions staff help transition the results into practice by the
maintainers and end-users of the capability.
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The IPT topic areas reflect the capability requirements of homeland security stakeholders. The current IPTs operated by S&T
are listed below. Each sponsors projects that are relevant to the CIKR protection mission. The three bolded IPTs are chaired or
co-chaired by IP.
Information Sharing/Management
Counter IED
Border Security
Cargo Security
Chem/Bio Defense
People Screening
Maritime Security
Infrastructure Protection
Cyber Security
Preparedness & Response: Incident Management
Transportation Security
Preparedness & Response: Interoperability
Each IPT identifies, validates, and prioritizes requirements for S&T and provides critical input to investments in programs
and projects that will ultimately deliver technology solutions that can be developed, matured, and delivered to customer
acquisitions programs for deployment in the field. Investments are competitively selected and focus on DHS’s highest-priority,
risk-based requirements that provide capabilities to customers/end-users. A successful transition portfolio requires sustained
customer feedback from DHS components to ensure that programs address genuine capability gaps. To gain this insight, S&T
established 46 Project IPTs and semi-annually reaches out to DHS components to gauge their overall satisfaction with delivered products and capabilities. The results are explicitly tied to the outcome-based performance metrics of cost, schedule, and
technology readiness.
6.2 Requirements
S&T’s programs are motivated by the requirements of the DHS operating components and other homeland security partners.
For CIKR protection, requirements are developed by the SSAs and their private sector and government partners. The National
Risk Profile drives sector requirements, as well as the cross-sector prioritization of requirements. Prioritized requirements are,
in turn, the basis for the NCIP R&D Plan, which advises investments across the Federal R&D community.
CIKR protection requirements have led to several initiatives and actions necessary for NIPP implementation, particularly regarding initiatives to:
• Review and revise CIKR-related plans, as needed, to reinforce the linkage between NIPP steady-state CIKR protection and NRF
incident management requirements;
• Identify cross-sector vulnerabilities; and
• Communicate requirements for CIKR-related R&D to DHS for use in the national R&D planning effort.
6.2.1 High-Priority Technology Needs
Each year, S&T publishes the high-priority technology needs in its specified functional areas. The following is a representative
sample of needs for the Nation’s CIKR:
• Analytical tools to quantify interdependencies and cascading consequences as disruptions occur across critical infrastructure
sectors;
• Effective and affordable blast analysis and protection for critical infrastructure and an improved understanding of blast-failure
mechanisms and protection measures for the most vital CIKR;
• Advanced, automated, and affordable monitoring and surveillance technologies, specifically, decision support systems to prevent disruption, mitigate results, and build resiliency;
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• Rapid mitigation and recovery technologies to quickly reduce the effects of natural and manmade disruptions and cascading
effects; and
• Critical utility components that are affordable and highly transportable, and provide robust solutions during manmade and
natural disruptions.
6.2.2 Industry Involvement
Industry is a valued partner of S&T. Its continued participation in developing solutions for homeland security applications is
vital to our effort to safeguard the Nation. Consistent with the directorate’s new structure, the Innovation/HSARPA portfolio
and six technical divisions will proactively seek industry participation to address specific challenges in their respective areas.
Additionally, private sector owners and operators, through the SCCs, have provided powerful independent validation of the
R&D priorities set by the Federal CIKR community. Several GCCs and SCCs have established joint R&D working groups to
provide course-correcting input for future R&D direction.
6.3 Executing R&D Programs
Critical infrastructure is a widely distributed enterprise across multiple industries, government agencies, and academia, so
its R&D program cannot be managed through a command and control-type process. Instead, DHS and OSTP are fostering
an evolving network of partnerships and coordination groups. These groups have different focuses, including sector-specific
needs, technology themes of interest to multiple sectors, and committees that coordinate Federal agency resources. The requirements process, translated into investment priorities, provides the goals and plans that allow this distributed R&D enterprise to
act in coordinated ways. The National Annual Report and the NCIP R&D Plan communicate this overarching R&D strategy and
help identify which R&D requirements are best met by the private versus the public sector.
6.3.1 Partnerships and Collaboration
The NIPP Partnership Framework
The CIPAC, established by DHS, has been very effective in helping Federal infrastructure protection groups work with the
private sector and with State, local, tribal, and territorial governments. The CIPAC provides a forum in which the sectors have
engaged very actively in a broad spectrum of activities to implement their sector protection plans, including planning, prioritizing, and coordinating R&D agendas.
Sector and Cross-Sector Coordination
The Sector R&D Working Groups, typically Joint SCC and GCC, have developed well-founded technical R&D agendas that are
essential for their sector in order to achieve sector security goals. These R&D agendas coordinate challenges across the spectrum
of sector stakeholders and are used to represent sector R&D interests in cross-sector settings. The executive managers of each
sector coordinate activities through the FSLC. The SCCs have formed a cross-sector group, the CIKR Cross-Sector Council,28 to
coordinate cross-sector initiatives that promote public and private infrastructure protection initiatives. One of the objectives of
the CIKR Cross-Sector Council is to provide cross-sector input regarding R&D priorities; this input is informed by the results of
risk assessments in each sector, as well as the National Risk Profile.
Universities
Universities and research centers across multiple Federal agencies contribute to agency mission accomplishment and CIKR protection from the time before a disruptive event to the time after a disruptive event. The DHS Centers of Excellence contribute to
the national-level implementation of the NIPP and to CIKR protection; their contributions take different forms, including the
following:
28
The CIKR Cross-Sector Council comprises the leadership of each of the SCCs; the Partnership for Critical Infrastructure Security currently provides this representation.
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• Provide independent analysis of CIKR protection (full-spectrum) issues;
• Conduct research and provide innovative perspectives on threats and the behavioral aspects of terrorism;
• Conduct research to identify new technologies and analytical methods that can be applied by CIKR partners to support NIPP
efforts;
• Support research, development, testing, evaluation, and deployment of CIKR protection technologies;
• Analyze, provide, and share best practices related to CIKR protection efforts; and
• Develop and provide suitable security risk analysis and risk management courses for CIKR protection professionals.
International
DHS, DoD, DOE, and other Federal agencies have undertaken many different outreach efforts to foreign government representatives and organizations that are pursuing similar R&D planning and performance. Agreements of cooperation, joint pursuit,
and knowledge sharing have been created with France, Germany, Japan, Israel, Italy, the Netherlands, Russia, the Scandinavian
countries, the United Kingdom, and others. Other organizations, such as the TSWG, also have developed successful R&D collaborations with a number of countries.
State and Local
State, local, tribal, and territorial governments play an important role in the protection of the Nation’s CIKR. These governmental entities not only have CIKR under their direct control, but also have CIKR owned and operated by other partners who are
within their jurisdictions. The SLTTGCC and RCCC bring national CIKR protection principles to the State, local, and regional
levels and are important sources of capability requirements that drive R&D priorities.
Industry Organizations
In addition to R&D input provided by government organizations, there are major industrial groups that provide input and
comment in order to influence future R&D by illuminating issues that they have encountered and issues that are likely based
on new product development that they are doing but cannot discuss openly for competitive reasons. For example, the INFOSEC
Research Council has provided valuable input on cybersecurity, including the publication of a Hard Problems List29 that is an
important planning tool used by all R&D contributors. The NSTAC identified critical gaps that require new cyber and telecommunications R&D.
6.4 Five-Year Strategy/Technology Roadmap
S&T implements its business approach through its Planning, Programming, Budgeting, and Execution (PPBE) process, which
encompasses the development of priorities, program plans, resource requirements, and associated performance metrics. The
PPBE process builds the framework to link strategy for the out-years to program execution in the present. It ensures that the
directorate remains mission-focused, customer-oriented, and threat- and risk-informed in order to prioritize resource allocation
and remain accountable in its efforts to secure the homeland.
The 5-year execution plan: details the S&T investment portfolio; outlines the directorate’s activities and plans at the division
level; and includes each division’s research thrusts, programs, and key milestones. It supports the department’s strategic plan
and priorities, as well as S&T’s priorities. The 5-year plan is the roadmap for achieving success; however, the planning process
must be flexible in order to adjust to a changing homeland security environment. The plan will be updated annually to ensure
that it continues to address the correct set of priorities, fills customers’ homeland security capability gaps, and enables the
achievement of a safer homeland.
29
See http://www.cyber.st.dhs.gov/docs/IRC_Hard_Problem_List.pdf.
Appendix 6: S&T Plans, Programs, and Research & Development
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| File Type | application/pdf |
| File Title | National Infrastructure Protection Plan: 2009 |
| Author | Department of Homeland Security |
| File Modified | 2009-02-19 |
| File Created | 2009-01-29 |