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Introduction to Homeland Security

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Introduction to Homeland Security

Fourth Edition

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Introduction to Homeland Security

Principles of All-Hazards Risk Management

Fourth Edition

Jane A. Bullock

George D. Haddow

Damon P. Coppola

AMSTERDAM • BOSTON • HEIDELBERG • LONDON NEW YORK • OXFORD • PARIS • SAN DIEGO

SAN FRANCISCO • SINGAPORE • SYDNEY • TOKYO Butterworth-Heinemann is an imprint of Elsevier

Acquiring Editor: Pam Chester Development Editor: Greg Chalson Project Manager: Paul Gottehrer Designer: Eric DeCicco

Butterworth-Heinemann is an imprint of Elsevier 225 Wyman Street, Waltham, MA 02451, USA

© 2013 Elsevier, Inc. All rights reserved.

No part of this publication may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying, recording, or any information storage and retrieval system, without permission in writing from the publisher. Details on how to seek permission, further information about the Publisher’s permissions policies and our arrangements with organizations such as the Copyright Clearance Center and the Copyright Licensing Agency, can be found at our website: www.elsevier.com/permissions .

This book and the individual contributions contained in it are protected under copyright by the Publisher (other than as may be noted herein).

Notices Knowledge and best practice in this field are constantly changing. As new research and experience broaden our understanding, changes in research methods or professional practices, may become necessary. Practitioners and researchers must always rely on their own experience and knowledge in evaluating and using any information or methods described herein. In using such information or methods they should be mindful of their own safety and the safety of others, including parties for whom they have a professional responsibility.

To the fullest extent of the law, neither the Publisher nor the authors, contributors, or editors, assume any liability for any injury and/or damage to persons or property as a matter of product liability, negligence or otherwise, or from any use or operation of any methods, products, instructions, or ideas contained in the material herein.

Library of Congress Cataloging-in-Publication Data Application submitted

British Library Cataloguing-in-Publication Data A catalogue record for this book is available from the British Library.

ISBN: 978-0-12-415802-3

For information on all BH publications visit our website at www.elsevierdirect.com/security

Printed in China

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v

Dedication

This book is dedicated to Dr. Wayne Blanchard. Dr. Wayne provided the vision, leadership, and support to higher education institutions across the United States to establish programs in emergency management and homeland security. Because of his efforts, emergency management moved from being an ad hoc dis- cipline to an education-driven profession. In doing so, he fostered a diverse, highly trained cadre of emer- gency managers to better serve the people in USA. On a personal note, Wayne had a great sense of humor, was an innovator in dealing with the bureaucracy, and was a constant source of friendship and support to all of us who worked with him over the years.

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Acknowledgments

The authors of this book would like to express their appreciation for the continued support and encouragement we have received from Dr. Jack Harrald, Dr. Joseph Barbera, and Dr. Greg Shaw. In addi- tion to contributing a large dose of practical advice and humor, these three individuals provide outstanding leadership to institutions and governments in designing and implementing homeland security projects.

We would like to acknowledge the many individuals whose research, analysis, and opinions helped to shape the content of this volume.

We would also like to thank Pam Chester, Greg Chalson, and Paul Gottehrer at Elsevier for their assistance in making the fourth edition of this text possible, and for their patience and faith in us. Our gratitude also extends to Barbara Johnson, Ryan Miller, Ehren Ngo, Bridger McGaw, Don Goff, Jack Suwanlert, Sarp Yeletaysi, Erdem Ergin, Lissa Westerman, Terry Downes, Steve Carter, and David Gilmore.

Finally, we recognize the thousands of professionals and volunteers who, through their daily pursuits, are giving form and substance to creating a more secure and safe homeland.

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Introduction

It has been 10 years since the events of September 11 precipitated a dramatic series of actions in response to those events. The National Commission on Terrorist Attacks upon the United States (informally known as the 9/11 Commission) was formed and issued a report calling for sweeping changes in the U.S. approach for dealing with terrorism. The Department of Homeland Security (DHS) was established, the most comprehensive reorganization of the federal government ever undertaken. Congress continued to pass new laws to address all aspects of national security, including the Patriot Act, which provides the Attorney General of the United States with significant new authority relative to civil liberties to fight the war on terrorism.

The United States and its allies became embroiled in two significant wars in Iraq and Afghanistan to try to find and dismantle Osama bin Laden’s operations and other terrorist organizations.

Significant progress has been made as demonstrated by the disruption of a potential threat in New York’s Times Square, the failed attempt to detonate explosives on Flight 253 on December 25, 2009, and the publication of the first-ever Quadrennial Homeland Security Review (QHSR) by the DHS in February 2010. Perhaps the most significant action has been the capture and killing of Osama bin Laden in 2011 as well as other key leaders in his organization.

With the U.S. government being increasingly focused on terrorism, natural hazards have contin- ued to impact thousands of our communities, reminding us that the likelihood of a natural disaster far exceeds a terrorist event. The aftermath of Hurricane Katrina brought sweeping legislative changes to the Federal Emergency Management Agency (FEMA), within DHS, and served to remind officials of the exacting toll natural disasters can take on public safety and our social and economic security. The dev- astating wildfires, floods, weather, and drought problems that impacted the Nation in 2011 continued this trend, although the response from FEMA/DHS and other partners was much improved. Striking the right balance, between the various hazards, looking for commonalities among the hazards in mitigation, preparedness, response, and recovery, and adopting a more all-hazards approach to homeland security remain priorities for the officials responsible for public safety.

At the same time, concerns continue to be raised on the impacts of illegal and legal immigration on the economic and social stability of our communities, especially along the border areas that consume the activities of the Immigration and Customs Enforcement (ICE). The Coast Guard (CG) is vigilant in maintaining territorial waters and safety and security at our ports that are of the highest priority to ensure homeland commerce can continue.

New emerging and evolving threats require greater attention to cybersecurity, preventing cyber- crime, and protecting our critical infrastructure. The complexities and speed with which the cyber envi- ronment changes require a diligence and a level of cooperation and coordination between the government and the private sector not evidenced before. As more of our daily lives are dependent on the continual operation of computers and computer systems, for example, transportation, energy, and banking systems, preventing an attack on these systems becomes a critical priority for homeland security officials.

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xvi INTRODUCTION

This Fourth Edition reflects the evolving environment of homeland security and includes structural changes to allow focus on more urgent threats such as cybersecurity and new public policy initiatives while still providing the hazards context and the historic and organizational framework of homeland security operations.

Vicksburg, MS, May 12, 2001 – The lower floor of the historic Yazoo Mississippi Valley Railroad Station, which is located in Vicksburg, Mississippi, is submerged by the rising Mississippi River. FEMA is working with local, state, and other federal agencies to assist residents affected by the floods. (Photo by Howard Greenblatt/FEMA)

Galveston Island, TX, September 20, 2008 – The U.S. Coast Guard patrol boat USCGC Manowar continues missions in the intercoastal waterway after Hurricane Ike. (Photo by Jocelyn Augustino/FEMA)

Introduction xvii

The first chapter is intended to introduce the concept of homeland security and how that concept has changed in the 10 years since the events of September 11, where there is finally a recognition that there needs to be a balance between the terrorism threat and natural and other hazards fueled by the trauma of the failed response to Hurricane Katrina.

The second chapter provides a historical perspective on the terrorist events that preceded September 11 and how the government’s mechanisms to respond to emergencies have evolved, including descriptions of the statutory actions that were taken in reaction to September 11 and in support of pre- venting future attacks.

The book continues with complete descriptions and fact sheets on the types of hazards and risks that make up the potential homeland security vulnerabilities from future terrorist events, natural hazards, or human-made hazards. This section is followed by an overview presentation of the organization of DHS so that subsequent chapters and discussions will have a structural context.

In the revised format, we have developed chapters that describe the programs and actions being undertaken by government agencies, organizations, and the private sector to reduce or minimize the threat. We have focused chapters on the areas of intelligence and counterterrorism, border security and immigration, transportation safety and security, and cybersecurity and critical infrastructure protection.

A significant section is devoted to all-hazards response and recovery as these responsibilities are now recognized as a primary focus for DHS. In this chapter, we describe the current state of the art in first responder applications and discuss the changes that are under way within the national response and recovery system network. This is followed with a chapter focused on mitigation, prevention, and preparedness.

Recognizing the critical role that communications now play in our everyday lives and the use of social media in emergencies are now highlighted in a separate chapter, as are advancements in science and technology that support the homeland security enterprise mission.

We have included more case studies to demonstrate practical application to the materials being pre- sented. In addition, we have included full texts of critical guidance documents, directives, and legislation for use and reference. Wherever possible, budget and resource charts show past allocations and future projections through 2011.

The volume concludes with a chapter that examines potential future and still unresolved issues that are relative to the disciplines of homeland security, with more of focus on public safety and emergency management that must be addressed as we meet the challenges of establishing a secure homeland.

Homeland security is a still-evolving discipline, changing to adapt to new threats and challenges. This book was written at a particular point in time, and changes to programs, activities, and even orga- nizations occur regularly. For that reason we have included online references wherever possible so the reader will have access to websites that can provide up-to-date information on program or organization changes, new initiatives, or simply more detail on specific issues.

The authors’ goal in writing this book was to provide a source of history, practical informa- tion, programs, references, and best practices so that any academic, homeland security official, emer- gency manager, public safety official, community leader, or individual could understand the foundations of homeland security and be motivated to engage in actions to help make their communities safer and more secure. The homeland security function clearly is an evolving discipline that will continue to change in reaction to the steps we take to reduce the impacts of known hazards and as new threats are identified.

In the end, achieving homeland security will not be accomplished by the federal government but by each individual, each organization, each business, and each community working together to make a difference.

1 Introduction to Homeland Security. © 2013 Elsevier Inc. All rights reserved.

Homeland Security: The Concept, the Organization

What You Will Learn l What was the history behind the establishment of homeland security l How events have altered the concept of homeland security l What is the homeland security enterprise (HSE) l How the concept of a homeland security enterprise has changed priorities l How other agencies and entities besides DHS contribute to the homeland security enterprise

Introduction In the immediate aftermath of the September 11, 2001 attacks, as search-and-rescue teams were still sifting through the debris and wreckage for survivors in New York, Pennsylvania, and Virginia, the fed- eral government was analyzing what had just happened and what it could quickly do to begin the pro- cess of ensuring such attacks could not be repeated. It was recognized that nothing too substantial could take place without longer-term study and congressional review, but the circumstances mandated that real changes begin without delay.

The idea of homeland security was primarily the result of the White House, the federal govern- ment, and the U.S. Congress’s reactions to September 11 events. However, the movement to establish such broad-sweeping measures was initiated long before those attacks took place. Domestic and international terrorists have been striking Americans, American facilities, and American interests, both within and out- side the nation’s borders, for decades — though only fleeting interest was garnered in the aftermath of these events. Support for counterterrorism programs and legislation was, therefore, rather weak, and mea- sures that did pass rarely warranted front-page status. Furthermore, the institutional cultures that charac- terized many of the agencies affected by this emerging threat served as a resilient barrier to the fulfillment of goals. Only the spectacular nature of the September 11 terrorist attacks was sufficient to boost the issue of terrorism to primary standing on all three social agendas: the public, the political, and the media.

Out of the tragic events of September 11, an enormous opportunity for improving the social and economic sustainability of our communities from all threats, but primarily terrorism, was envisioned and identified as homeland security. Public safety officials and emergency managers championed the concept of an all-hazards approach, and despite some unique characteristics, they felt terrorism could be incorpo- rated into that approach as well (Figure 1–1).

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2 INTRODUCTION TO HOMELAND SECURITY

However, in the immediate aftermath of 9/11, the single issue of preventing a future terrorist attack was foremost in the minds of federal officials and legislators. On September 20, 2001, just 9 days after the attacks, President George W. Bush announced that an Office of Homeland Security would be established within the White House by executive order. Directing this office would be Pennsylvania Governor Tom Ridge. Ridge was given no real staff to manage, and the funding he would have at his disposal was minimal. The actual order, cataloged as Executive Order 13228, was given on October 8, 2001. In addition to creating the Office of Homeland Security, this order created the Homeland Security Council, “to develop and coordinate the imple- mentation of a comprehensive national strategy to secure the United States from terrorist threats or attacks.”

Four days later, on September 24, 2001, President Bush announced that he would be seeking pas- sage of an act entitled “Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism,” which would become better known as the PATRIOT Act of 2001. This act, which introduced a large number of controversial legislative changes in order to significantly increase the surveillance and investigative powers of law enforcement agencies in the United States (as it states) to “… deter and punish terrorist acts in the United States and around the world,” was signed into law by the president on October 26 after very little deliberation in Congress.

FIGURE 1–1 New York City, New York, October 13, 2001 — New York firefighters at the site of the World Trade Center. (Photo by Andrea Booher/FEMA News Photo)

Chapter 1 • Homeland Security: The Concept, the Organization 3

On October 29, 2001, President Bush issued the first of many homeland security presidential direc- tives (HSPDs), which were specifically designed to “record and communicate presidential decisions about the homeland security policies of the United States” (HSPD-1, 2001). The sidebar titled “Homeland Security Presidential Directives” lists the HSPDs and their stated purposes.

The legislation to establish a Department of Homeland Security (DHS) was first introduced in the U.S. House of Representatives by Texas Representative Richard K. Armey on June 24, 2002. Similar leg- islation was introduced into the Senate soon after. After differences between the two bills were quickly ironed out, the Homeland Security Act of 2002 (Public Law 107–296) was passed by both houses and signed into law by President Bush on November 25, 2002.

Select Homeland Security Presidential Directives

Homeland Security Presidential Directives are issued by the President on matters pertaining to Homeland Security.

? HSPD-1 : Organization and Operation of the Homeland Security Council. Ensures coordination of all homeland security-related activities among executive departments and agencies and promote the effective development and implementation of all homeland security policies.

? HSPD-2 : Combating Terrorism Through Immigration Policies. Provides for the creation of a task force which will work aggressively to prevent aliens who engage in or support terrorist activity from entering the United States and to detain, prosecute, or deport any such aliens who are within the United States.

? HSPD-3 : Homeland Security Advisory System. Establishes a comprehensive and effective means to disseminate information regarding the risk of terrorist acts to Federal, State, and local authorities and to the American people.

? HSPD-4 : National Strategy to Combat Weapons of Mass Destruction. Applies new technologies, increases emphasis on intelligence collection and analysis, strengthens alliance relationships, and establishes new partnerships with former adversaries to counter this threat in all of its dimensions.

? HSPD-5 : Management of Domestic Incidents. Enhances the ability of the United States to manage domestic incidents by establishing a single, comprehensive national incident management system.

? HSPD-6 : Integration and Use of Screening Information. Provides for the establishment of the Terrorist Threat Integration Center.

? HSPD-7 : Critical Infrastructure Identification, Prioritization, and Protection. Establishes a national policy for federal departments and agencies to identify and prioritize United States critical infrastructure and key resources and to protect them from terrorist attacks.

? Presidential Policy Directive/PPD-8 : National Preparedness. Aimed at strengthening the security and resilience of the United States through systematic preparation for the threats that pose the greatest risk to the security of the nation, including acts of terrorism, cyberattacks, pandemics, and catastrophic natural disasters.

4 INTRODUCTION TO HOMELAND SECURITY

l HSPD-8 Annex 1: National Planning. Rescinded by PPD-8: National Preparedness, except for paragraph 44. Individual plans developed under HSPD-8 and Annex 1 remain in effect until rescinded or otherwise replaced.

l HSPD-9: Defense of United States Agriculture and Food. Establishes a national policy to defend the agriculture and food system against terrorist attacks, major disasters, and other emergencies.

l HSPD-10: Biodefense for the 21st Century. Provides a comprehensive framework for our nation’s biodefense.

l HSPD-11: Comprehensive Terrorist-Related Screening Procedures. Implements a coordinated and comprehensive approach to terrorist-related screening that supports homeland security, at home and abroad. This directive builds upon HSPD-6.

l HSPD-12: Policy for a Common Identification Standard for Federal Employees and Contractors. Establishes a mandatory, government-wide standard for secure and reliable forms of identification issued by the federal government to its employees and contractors (including contractor employees).

l HSPD-13: Maritime Security Policy. Establishes policy guidelines to enhance national and homeland security by protecting U.S. maritime interests.

l HSPD-14: Domestic Nuclear Detection. l HSPD-15: U.S. Strategy and Policy in the War on Terror. l HSPD-16: Aviation Strategy. 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.

l HSPD-17: Nuclear Materials Information Program. l HSPD-18: Medical Countermeasures Against Weapons of Mass Destruction. Establishes

policy guidelines to draw upon the considerable potential of the scientific community in the public and private sectors to address medical countermeasure requirements relating to CBRN threats.

l HSPD-19: Combating Terrorist Use of Explosives in the United States. 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.

l HSPD-20: National Continuity Policy. Establishes a comprehensive national policy on the continuity of federal government structures and operations and a single national continuity coordinator responsible for coordinating the development and implementation of federal continuity policies.

l HSPD-20 Annex A: Continuity Planning. Assigns executive departments and agencies to a category commensurate with their COOP/COG/ECG responsibilities during an emergency.

l HSPD-21: Public Health and Medical Preparedness. Establishes a national strategy that will enable a level of public health and medical preparedness sufficient to address a range of possible disasters.

l HSPD-22: Cyber Security and Monitoring. l HSPD-23: National Cyber Security Initiative. l HSPD-24: Biometrics for Identification and Screening to Enhance National Security.

Establishes a framework to ensure that federal executive departments use mutually compatible

Chapter 1 • Homeland Security: The Concept, the Organization 5

Creating DHS would provide the United States with a huge law enforcement capability that would deter, prepare, and prevent any future September 11 type events. Agencies such as Federal Emergency Management Agency (FEMA) became part of DHS because it was responsible for the consequences to our communities of natural and technological disasters, and had played a major role in providing federal assistance to recover from the previous terrorist events on U.S. soil: the 1993 World Trade Center bomb- ing and the Murrah Federal Building bombing.

Prior to 9/11, the majority of FEMA’s efforts and funding were focused on the mitigation of, preparedness for, response to, and recovery from natural disasters. Much of this changed with the estab- lishment of DHS. Many, if not all, of the grant programs established within the new DHS focused on terrorism. FEMA programs and funding were diverted or reduced to support terrorism. The all-hazards concept was not embraced in the early years of DHS. State and local governments, who were more con- cerned about their flooding or hurricane threat, had to focus on terrorism. Just like in the 1980s when FEMA insisted that to be eligible for FEMA grants, State and local governments had to engage in nuclear attack planning, DHS insisted that terrorism planning was the top priority for recipients of funding.

The decision of the 1980s to focus on nuclear attack planning led to the botched response to Hurricane Andrew, under the first Bush administration. The decision by the leadership of DHS to focus on terrorism, at the expense of other threats, and to diminish the role of FEMA, led directly to the horrible events and aftermath of Hurricane Katrina (Figure 1–2).

Hurricane Katrina, which struck on August 29, 2005, and resulted in the death of over 1,800 peo- ple (and the destruction of billions of dollars in housing stock and other infrastructure), exposed signifi- cant problems with the United States’ emergency management framework. Clearly, the terrorism focus had been maintained at the expense of preparedness and response capacity for other hazards, namely the natural disasters that have proven to be much more likely to occur. FEMA, and likewise DHS, were highly criticized by the public and by Congress in the months following the 2005 hurricane season. In response, Congress passed the Post-Katrina Emergency Management Reform Act (H.R. 5441, Public Law 109–295), signed into law by the president on October 4, 2006.

This law established several new leadership positions within the Department of Homeland Security, moved additional functions into (several were simply returned) FEMA, created and reallocated functions to other components within DHS, and amended the Homeland Security Act in ways that directly and indi- rectly affected the organization and functions of various entities within DHS. The changes were required to have gone into effect by March 31, 2007. Transfers that were mandated by the Post-Katrina Emergency Management Reform Act included (with the exception of certain offices as listed in the Act):

l United States Fire Administration (USFA) l Office of Grants and Training (G&T) l Chemical Stockpile Emergency Preparedness Division (CSEP)

methods and procedures regarding biometric information of individuals, while respecting their information privacy and other legal rights.

l HSPD-25: Arctic Region Policy. Establishes the policy of the United States with respect to the Arctic region and directs related implementation actions.

6 INTRODUCTION TO HOMELAND SECURITY

l Radiological Emergency Preparedness Program (REPP) l Office of National Capital Region Coordination (NCRC)

In passing this Act, Congress reminded DHS that the natural disaster threats to the United States were every bit as real as the terrorist threats and required changes to the organization and operations of DHS to provide a more balanced approach to the concepts of homeland security in addressing the threats impacting the United States.

The Obama Administration is building on the past efforts of the Bush Administration to under- stand and implement a more balanced, universal approach to homeland security. This balanced approach is reflected in the first ever Quadrennial Homeland Security Review (QHSR) published by the Obama Administration and DHS in February 2010. In the years since the events of September 11 and the estab- lishment of DHS, knowledge and recognition of the real scope of threats and hazards to the United States has greatly increased.

When we look at how fast ideas, goods, and people move around the world and through the Internet, we recognize that this flow of materials is critical to the economic stability and the advancement of the U.S. interests. However, this globalization of information and commerce creates new security chal- lenges that are borderless and unconventional. As evidenced by the U.S. and Europe economic recession and the Arab Spring both of 2011, entire economies and groups organized through social media, and the criminal networks and terrorist organizations now have the ability to impact the world with far-reaching effects, including those that are potentially disruptive and destructive to our way of life.

As noted in the sidebar below, homeland security is certainly becoming tied to the impacts of globalization.

FIGURE 1–2 New Orleans, LA, September 8, 2005 — Neighborhoods and roadways throughout the area remain flooded as a result of Hurricane Katrina. (Photo by Jocelyn Augustino/FEMA News Photo)

Chapter 1 • Homeland …

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