Comprehensive Preparedness Guide (CPG) 201, 3Rd Edition
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Threat and Hazard Identification and Risk Assessment (THIRA) and Stakeholder Preparedness Review (SPR) Guide Comprehensive Preparedness Guide (CPG) 201 3rd Edition May 2018 CPG 201: THIRA/SPR Guide—3rd Edition 2 Preface CPG 201: THIRA/SPR Guide—3rd Edition Preface Comprehensive Preparedness Guide (CPG) 201, 3rd Edition, provides guidance for conducting a Threat and Hazard Identification and Risk Assessment (THIRA) and Stakeholder Preparedness Review (SPR), formerly State Preparedness Report. The 1st Edition of CPG 201 (April 2012) presented the basic steps of the THIRA process. Specifically, the 1st Edition described a standard process for identifying community-specific threats and hazards and setting targets for each core capability identified in the National Preparedness Goal. The 2nd Edition (August 2013) expanded the THIRA process to include resource estimation, streamlined the number of steps in the process, and provided additional examples of how to develop a THIRA. CPG 201, 3rd Edition, includes both the THIRA and SPR because they are interconnected processes that, together, communities use to evaluate their preparedness. The 3rd Edition also introduces updates to both methodologies. The THIRA includes standardized language to describe threat and hazard impacts and capability targets. This allows communities to collect more specific, quantitative information while also providing important context. Through the updated SPR process, communities collect more detailed and actionable data on their current capabilities and identified capability gaps. Communities then indicate their intended approaches for addressing those gaps, and assess the impact of relevant funding sources on building and sustaining capabilities. Where appropriate, the 3rd Edition highlights key changes from previous editions of CPG 201. This 3rd Edition supersedes the 2nd Edition of CPG 201. 3 CPG 201: THIRA/SPR Guide—3rd Edition Table of Contents Table of Contents Contents Preface ............................................................................................................................................ 3 Table of Contents .......................................................................................................................... 4 Introduction ................................................................................................................................... 5 The National Preparedness Goal ................................................................................................. 5 The National Preparedness System ............................................................................................. 6 Using the THIRA/SPR Strategically ........................................................................................... 7 Community-Wide Involvement .................................................................................................. 9 The THIRA Process .................................................................................................................... 10 Introduction to the Three Steps of the THIRA ......................................................................... 10 Step 1: Identify the Threats and Hazards of Concern ............................................................... 11 Step 2: Give the Threats and Hazards Context ......................................................................... 15 Step 3: Establish Capability Targets ......................................................................................... 19 The SPR Process .......................................................................................................................... 23 Step 1: Assess Capabilities ....................................................................................................... 24 Step 2: Identify and Address Capability Gaps .......................................................................... 34 Step 3: Describe Impacts of Funding Sources .......................................................................... 39 Conclusion .................................................................................................................................... 41 Glossary of Terms ....................................................................................................................... 42 4 Introduction CPG 201: THIRA/SPR Guide—3rd Edition Introduction The National Preparedness Goal The National Preparedness Goal, Second Edition (2015)1 defines what it means for all communities to be prepared for the threats and hazards that pose the greatest risk to the security of the United States. The National Preparedness Goal (“the Goal”) is: A secure and resilient Nation with the capabilities required across the whole community to prevent, protect against, mitigate, respond to, and recover from the threats and hazards that pose the greatest risk. The Goal identifies 32 distinct activities, called core capabilities, needed to address the greatest risks facing the Nation (see Figure 1). 2 The Goal organizes these core capabilities into five categories, called mission areas.3 Some core capabilities apply to more than one mission area. For example, the first three core capabilities—Planning, Public Information and Warning, and Operational Coordination—are cross-cutting capabilities, meaning they apply to each of the five mission areas. The National Preparedness Goal describes the five mission areas as follows: • Prevention: Prevent, avoid, or stop an imminent, threatened, or actual act of terrorism. • Protection: Protect our citizens, residents, visitors, and assets against the greatest threats and hazards in a manner that allows our interests, aspirations, and way of life to thrive. • Mitigation: Reduce the loss of life and property by lessening the impact of future disasters. • Response: Respond quickly to save lives; protect property and the environment; and meet basic human needs in the aftermath of an incident. • Recovery: Recover through a focus on the timely restoration, strengthening, and revitalization of infrastructure, housing, and a sustainable economy, as well as the health, social, cultural, historic, and environmental fabric of communities affected by an incident. The mission areas and core capabilities organize the community-wide activities and tasks performed before, during, and after disasters into a framework for achieving the goal of a secure and resilient Nation. 1 For additional information on the National Preparedness Goal, please visit: https://www.fema.gov/national- preparedness-goal. 2 For additional information on core capabilities, please visit: https://www.fema.gov/core-capabilities. 3 For additional information on mission areas, please visit: https://www.fema.gov/mission-areas. 5 CPG 201: THIRA/SPR Guide—3rd Edition Introduction Figure 1: Five mission areas organize the 32 core capabilities needed to address threat and hazards of concern. The National Preparedness System Communities assess, build, sustain, and deliver the core capabilities through an organized process called the National Preparedness System.4 The National Preparedness System has six components (see Figure 2), each of which ties into the others to guide community-wide preparedness activities and achieve the Goal of a secure and resilient Nation. 4 For additional information on the National Preparedness System, please visit: https://www.fema.gov/national- preparedness-system. 6 Introduction CPG 201: THIRA/SPR Guide—3rd Edition Figure 2: There are six components of the National Preparedness System. Using the THIRA/SPR Strategically The THIRA/SPR sets a strategic foundation for putting the National Preparedness System into action. Communities complete the THIRA every three years and use the data from the process to assess their capabilities in the SPR, which is an annual review. It is important that communities complete the THIRA on a multi-year cycle, as it enables them to assess year-over-year trends in changes to their capabilities, while still periodically reviewing the capability targets to keep them relevant. The three-year THIRA/SPR cycle starts with the first step in the National Preparedness System: Identifying and Assessing Risk. Risk is the potential for an unwanted outcome resulting from an incident or occurrence, as determined by its likelihood and the associated consequences.5 In the THIRA, communities identify risks with the potential to most challenge their capabilities and expose areas in which the community is not as capable as it aims to be. These areas, or capability gaps, create barriers in a community’s ability to prevent, protect against, mitigate, respond to, and recover from a threat or hazard. Understanding the risks they face will make it easier for communities to determine what level of capability they should plan to build and sustain. Communities can use the information that comes from the THIRA/SPR process to answer five key strategic questions about their preparedness risks and capabilities (see Figure 3). 5 DHS Risk Lexicon, June 2010: https://www.dhs.gov/sites/default/files/publications/dhs-risk-lexicon-2010_0.pdf. 7 CPG 201: THIRA/SPR Guide—3rd Edition Introduction Figure 3: Communities use the THIRA/SPR to answer five key questions. Since 2012, communities have used the THIRA/SPR to answer these questions, helping them better understand the risks their communities face. This helps communities make important decisions on how to prevent, protect against, mitigate, respond to, and recover from the threats