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Chapter 8

Introduction to
Homeland Security

Fourth Edition

http://dx.doi.org/

Introduction to
Homeland Security

Principles of All-Hazards
Risk Management

Fourth Edition

Jane A. Bullock

George D. Haddow

Damon P. Coppola

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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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xiii

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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xv

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).

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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