Establishing Governance to Achieve Statewide Communications Interoperability. Office of Emergency Communications January 2009

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1 Establishing Governance to Achieve Statewide Communications Interoperability Office of Emergency Communications January

2 Agenda OEC Analysis Principles for Statewide Governance Seven Components of a Statewide Interoperable Communications Governance Structure Statewide Governance in Action 2

3 Governance and SCIP Implementation Methodology OEC Analysis 3

4 UNOFFICIAL - DO NOT QUOTE OR CITE 4

5 NECP Governance Milestone: By January 2010, DHS will publish uniform criteria and best practices for establishing governance groups and emergency communications leadership roles across the Nation. The National Emergency Communications Plan (NECP) and Statewide Governance 5

6 OEC Analysis Developed criteria to evaluate governance and implementation sections of SCIPs Reviewed the governance sections of all 56 SCIPs Compared internal results to the SCIP Peer Review scores Used findings from research and interviews to develop the governance methodology Invited 10 States and territories to provide input 6

7 Analysis: What did we find? Individuality 7

8 Analysis: What did we find? Each State is unique There is no best practice structure due to individuality Some States structures reinforce turf battles Some structures only support State interoperability not statewide interoperability Some States struggle with incorporating regions Some States developed committees, while others leveraged existing State agencies Some structures are not inclusive of all stakeholder groups 8

9 Governance and SCIP Implementation Methodology Principles for Statewide Governance 9

10 Defining Statewide State Planning Statewide Planning 10

11 The Interoperability Continuum 11

12 Key Elements of Effective Statewide Governance Establish a statewide oversight body to support Statewide Communication Interoperability Plan (SCIP) development and implementation. Seek legislative or gubernatorial authority. Work from the bottom up. Promote the practitioner-driven approach by actively engaging stakeholders. Leverage associations or people authorized to speak on behalf of a larger group of stakeholders. 12

13 Key Elements of Effective Statewide Governance (cont.) Promote consensus and shared decision-making. Promote transparency. Promote sustainability. Establish and articulate a shared understanding of goals. Stay flexible. 13

14 Stay Flexible VA Case Study 14

15 Stay Flexible VA Case Study 15

16 Stay Flexible VA Case Study 16

17 Stay Flexible VA Case Study 17

18 Leadership 18

19 Governance and SCIP Implementation Methodology Seven Components of Governance 19

20 Seven Guiding Components of a Statewide Interoperable Communications Governance Structure To achieve the level of statewide buy-in and consensus needed for interoperability decisions, the recommended model and methodology for statewide interoperability communications governance focuses on seven components: 1. Stakeholder Resource Pool 2. Statewide Interoperability Coordinator s (SWIC) Office 3. Statewide Interoperability Governing Body (SIGB) 4. Initiative Working Groups (IWG) 5. Regional Interoperability Committee (RIC) 6. State Agency Interoperability Committee 7. Bordering States and Federal Partnerships 20

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22 Statewide Interoperability Stakeholder Resource Pool The sphere represents the Statewide Interoperability Resource Pool These are Subject Matter Expert (SME) volunteers that contribute to advancement of the effort across the State Potential volunteer members may include: State information technology (IT) experts Regional organizations and coordinators Local emergency responders Association leadership Emergency support functions (transportation and health care) Self-selected participants from across the State 22

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24 SWIC Roles & Responsibilities The SWIC is primarily responsible for the daily operation of the State s statewide communications interoperability efforts. The SWIC is guided by the vision, mission, goals, and initiatives outlined in the SCIP and the NECP. Specifically, the SWIC should have four primary areas of responsibility: 1. Outreach 2. SCIP Program Management 3. Grants Management and Policy Development 4. Measurement 24

25 SWIC Office Placement within State Government The SWIC office should be placed in a position within State government that is neutral and able to present an unbiased view of the overall interoperable communications issues within the State. From here, the office can build a direct relationship with the State Administrative Agency (SAA) and influence, with guidance from the governance bodies, the creation of sub-grantee guidance for Federal and State interoperability grants offered statewide. Sub-grantee guidance is the carrot providing the motivation, guidance, and funding necessary for localities, disciplines, and regions to comply with NECP and SCIP doctrine. 25

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27 Statewide Interoperability Governing Body (SIGB) Through the SWIC, the SIGB serves as the primary strategic steering group to the Governor for the statewide interoperability effort. Ideally, this governing body is formalized as a Governor s committee through an executive order or legislation. This will provide the group with the authority to make all interoperable communications funding recommendations regarding the State s general funds and Federal grant allocations for this issue. 27

28 Recommended SIGB Membership The SIGB should be of marginal size and (depending upon your State) should consist of no more than member organizations representing Federal, State, regional, local, tribal, and relevant association/non-governmental interests. It is essential that each organization formally appoint and empower (in writing) a representative and an alternate-representative to make decisions on behalf of their organization. It is recommended that representatives should serve at least a one year term on the SIGB. 28

29 Recommended SIGB Membership (cont.) Recommended Membership State Government Leadership Statewide Interoperability Coordinator s Office (SWIC) State s Director of Homeland Security State s Administrative Agent (SAA) Key executive and legislative leaders 29

30 Recommended SIGB Membership (cont.) Recommended Membership State Associations State s Association of Chiefs of Police State s Sheriff s Association State s Fire Chiefs Association State s Association of Counties State s Association of Governmental Emergency Medical Services Administrators State s Municipal League State s Emergency Managers Association State s Association of Public Safety Communications Officials (APCO) State s National Emergency Number Association (NENA) chapter 30

31 Recommended SIGB Membership (cont.) Recommended Membership State Agencies State s National Guard State Department of Transportation State Police Agency State Fire Agency State Department of Emergency Management State s Information Technologies Agency State Office of Emergency Medical Services 31

32 Recommended SIGB Membership (cont.) Recommended Membership Regional Representation (Pulling from each RIC) Chairperson from each regional committee Representation from each UASI within a region, if applicable Representative of each operational area within a region, if applicable 32

33 Recommended SIGB Membership (cont.) Recommended Membership Tribal Nation Representation Tribal law, fire, and/or government representatives Others Non-governmental associations specializing in disaster relief Public works associations associated with critical infrastructure Federal Government Representatives (i.e., FCC Coordinators, United States Border Patrol, FEMA RECCWG, etc.) Bordering States Statewide Interoperability Coordinators (Non-voting) Private Industry (non-voting) 33

34 Recommended SIGB Roles & Responsibilities Specifically, the SIGB should have four primary areas of responsibility Outreach SCIP Programmatic Implementation Grants Management & Policy Development Measurement 34

35 Recommended SIGB Roles & Responsibilities (cont.) Roles & Responsibilities Outreach Advocate for interoperable communications at senior levels of government and among member constituencies. Educate and regularly update representatives from the Governor s Office, appropriate legislative committees, and the public regarding the State s interoperability work. Develop recommendations to the Governor for distribution of State and/or grant funds to regions and localities within the State for communication interoperability investments. SCIP Programmatic Implementation Adopt executive committee bylaws and a charter. Provide advice, feedback, and support to the SWIC. Work alongside the SWIC to develop and update the SCIP. Participate in SIGB and regional meetings. 35

36 Recommended SIGB Roles & Responsibilities (cont.) Roles & Responsibilities Grants Management & Policy Development Review interoperable communications proposals for grant funding by organizations, regions, and/or localities throughout the State to ensure alignment with the SCIP and provide endorsement if appropriate. Develop statewide investment justifications for grant funding opportunities. Develop recommendations to the governor for distribution of State and/or grant funds to regions and localities within the State for communication interoperability investments. Measurement Recommend an approach for the Statewide interoperability efforts and measure progress towards the final vision. Provide a method to capture lesson learned for future operations. 36

37 Aligning the Statewide Interoperability Executive Committee (SIEC) with the SIGB States with a SIEC that manages the State s interoperability channels should consider the following two recommendations to resolve potential confusion or conflict between the Federal Communications Commission (FCC) SIEC and SIGB: 1. Consider amending the mission statement of the SIEC to be more inclusive of all facets associated with achieving statewide communications interoperability. 2. Consider creating a sub-committee within the overarching SIGB to address all tasks associated with the SIEC mission of managing the State s interoperability channels. 37

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39 Initiative Working Groups Initiative Working Groups are the workerbees of the statewide interoperability effort. They complete the tasks associated with the SCIP initiatives and provide a recommendation report on the initiatives to the SIGB. 39

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41 Regional Interoperability Committees Developing and sustaining Regional Interoperability Committees are crucial to the statewide effort. These committees will truly allow the effort to be practitionerdriven from the bottom-up. The Regional Interoperability Committees play a pivotal role in developing appropriate SOPs, training opportunities, and tactical interoperability plans for their regions unique jurisdictions and disciplines. 41

42 Recommended Regional Interoperability Committees Membership Recommended Membership Adequate representation between law enforcement, fire, EMS and other relevant government agencies (UASIs tribal Nations, counties, cities, etc.) Operational, on-the-ground practitioners One member from each county within the region No one county, jurisdiction, UASI, or organization represented should have more than one vote 42

43 Recommended Regional Interoperability Committees Roles & Responsibilities Roles & Responsibilities Outreach Provide the SIGB with input for all local communications interoperability issues. Provide opportunities for collaboration between all UASI s and other sub-regions within the RIC. SCIP Programmatic Implementation Align the SCIP to a regional strategic communications interoperability plan. Grants Management & Policy Development Develop grant investment justification for all entities within the region and provide recommendations to the SIGB for consideration. 43

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45 State Agency Interoperability Committee The State Agency Interoperability Committee is similar to the Regional Interoperability Committees, except that it includes representatives from the State agencies that respond to incidents across the State. It is recommended that each State have a State Agency Interoperability Committee in addition to a SIGB, to focus on State agencies interoperable communications needs. 45

46 Recommended State Agency Interoperability Committee Membership Recommended Membership Membership in this committee should include the SWIC (in a non-voting, coordinating role). All State agencies and key departments. Committee members should be officially appointed by State agency directors or cabinet secretaries. 46

47 Recommended State Agency Interoperability Roles & Responsibilities Roles & Responsibilities Outreach Work collaboratively with the SIGB to assure all State agencies are aligned with the SCIP communications interoperability issues. SCIP Programmatic Implementation Ensure that all State agencies are interoperable amongst themselves. Grants Management & Policy Development Responsible for developing and providing investment recommendations to the SIGB relating to the State portion of Federal communications interoperability grant funds. 47

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49 Bordering States and Federal Partnerships Three recommended basic approaches to ensure statewide coordination with Federal partners and bordering States: 1. Invite all neighboring States SWICs and identify Federal partners to serve as non-voting members on the SIGB. 2. Create a multi-state interoperable communications consortium. 3. Coordinate with the FEMA Regional Administrator regarding the activities of FEMA s RECCWGs. 49

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51 Governance and SCIP Implementation Methodology Statewide Governance in Action 51

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54 Initiative Planning Identify Statewide Expert Stakeholders for IWGs to assist in the achievement of initiatives Form initiative specific working groups (IWG) Look for diverse expertise and experience Convene the necessary decision makers and practitioners

55 Develop A Consolidated Roadmap Initiative Planning

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57 Governance Breakout Discussions 57

58 Backup Slides 58

59 SWIC Roles & Responsibilities (cont.) Roles & Responsibilities Outreach Maintain a database of SME stakeholders across the State. Liaise among the Federal government, State agencies and officials, bordering States, regional and local emergency response community (including UASIs), and tribal nations. Be the point of contact for the Federal government and industry on statewide interoperable communications. Attend national interoperability conferences and workshops. SCIP Program Management Leverage all components of the statewide governance structure to facilitate the development and update of the SCIP. Drive and coordinate the effort to implement the SCIP by setting timelines and project plans for making progress against the initiatives. 59

60 SWIC Roles & Responsibilities (cont.) Roles & Responsibilities Grants Management & Policy Development Coordinate with the SAA to monitor the State s interoperable communications grant opportunities. Seek additional grant funding opportunities for statewide interoperable communications efforts beyond those that are administered through the SAA structure. Help align locally-awarded, non-state administered, interoperable communications (e.g., association grants to local jurisdictions or disciplines) to the NECP and SCIP. Measurement Measure progress and results, and revise the SCIP, as needed. Conduct and maintain a statewide capabilities assessment. Develop and measure long-term and annual performance to show progress towards improved interoperability. 60

61 SWIC Roles & Responsibilities (cont.) The SWIC may also have secondary responsibilities depending on the size of the office and the complexity of the communications systems statewide. The SWIC may need to: Provide technical and standards information to stakeholders. Distribute grants to localities. Develop and implement statewide standard operating procedures (SOPs). Provide or develop training and exercises for technology and SOPs. Procure equipment. Perform other duties as determined by their State. 61