HLS475:

Overview

In this lesson, you will study the National Strategy for the Physical Protection of Critical Infrastructures and Key Assets.  This document identifies a clear set of national goals and objectives and outlines the guiding principles that will underpin our efforts to secure the CIKR vital to our national security, governance, public health and safety, economy, and public confidence.  

Lesson Objectives

At the conclusion of this lesson, students will be capable of:

1. Identifying the national goals and objectives for protecting critical infrastructure and key assets, as established in 2003.
2. Recommending measures to improve the National Strategy for the Physical Protection of Critical Infrastructures and Key Assets.
3. Using this strategy as a milestone to measure against when considering the National Infrastructure Protection Plan (Lessons 4 &5).
    

Lesson Readings & Activities

By the end of this lesson, make sure you have completed the readings and activities found in the Course Schedule.

Study Guide

Review any previous course readings relevant to homeland security, CIKR protection and individual research notes to establish a frame of reference/context for this lesson.

Determine - in your opinion – the key points of this strategy that will guide the executive branch departments and states, territories and tribal entities in identifying and protecting our nation’s CIKR.

Scan the topics and student learning tasks/graded assignment before reading the strategy to gain an overview of the focus and the areas relevant to the graded assignment. 

Capture your questions/comments for the discussion forum and graded assignment as you proceed through the required reading and any independent research.

Seek answers to your questions through either Instructor or collegial contact in the student forum.

Maintain an open/receptive mind as you discuss contentious issues; not everyone shares the same views.

Be prepared to collaborate with/assist other students.

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 was published in February 2003. This date is significant because the Department of Homeland Security was not yet in existence when the strategy was published. DHS did not become operational until March 1, 2003.

The new strategy was created under unusual circumstances. White House officials began drafting the document in 2002. At that time, DHS was still in the conceptual phases. Congress had notified the Bush Administration that it wanted to create a new department but because of the complexity of moving multiple agencies, the Homeland Security Act was not passed into law until November 2002.

The Homeland Security Act mandated that DHS come into existence on March 1, 2003. Between November 2002 and March 1, 2003, officials from within the executive branch worked long hours to implement Congress' plan. At the same time, they also drafted the new strategy which was intended to provide executive branch guidance to the new department.

As you review the strategy, I'd like you to consider the circumstances in which is was developed. How can you draft a strategy for a department that is not yet in existence? How do you determine what the relationship will be with this new department and the existing departments? I'm asking you these questions, because I'd like you to gain a better understanding about how this document came into existence and how the chaotic environment influenced the drafters.

National Strategies 

National strategies, like the one we are studying in this lesson, are crafted/orchestrated by a single cabinet secretary via collaboration with other departments, special advisors and even outside sources (e.g., private-sector think tanks, advisory councils/committees, commissions, etc.). In addition, these strategies are usually linked to and thus fulfill Congressional mandates and the President's vision, policies and directives. 

A good strategy also includes several factors such as: 

• Subordinate to presidential policy (i.e., it links vision/policy with actions)
• Subordinate to the strategic environment (i.e., considers both external & internal factors)
• Holistic perspective (i.e., considers national beliefs, values & interests)
• Pro-active (i.e., recognizes that maintaining the status quo is not a valid course of action)
• Cognizant that friction will be inherent throughout the process
• Focused on an overall, specific goal
• Driven by many objectives required to reach the stated goal
• Comprised on concepts designed to achieve the stated objectives
• Assessed based on the resources required and/or available to implement the concepts
• Cognizant that risk is inherent throughout the process

Please keep these factors in mind when reviewing the National Strategy for the Physical Protection of Critical Infrastructure and Key Assets.  In addition, please remember that this strategy has no legal authority to direct activities at the state or lower levels of government.

Goals, Ends, Ways and Means: The Key Ingredients

A good strategy always includes goals, ends, ways, and means. I'd like you to identify each of these elements in the strategy. I'd also like to you to consider whether all of these elements are achievable. What happens if one element isn't there? For example, DHS does not authorize or appropriate money - that is Congress' job. What happens if Congress doesn't authorize or appropriate funds? How can this lack of funding impact the goals and objectives?

Goal(s)

Simply stated, all strategies have one thing in common: all are designed to achieve a goal or set of goals. Sometimes termed end state, goals, target, etc., they all describe the reason the strategy is under development – to achieve something.

Ends (Objectives)

The ends (objectives) answer the question, "What has to be accomplished in order to achieve the goal?" and describe many individual tasks that need to be accomplished to insure complete achievement of the goal. These are usually stated as objectives. There are no limits on the number of ends/objectives required in strategies. They are all, however, necessary to insure goal attainment.

Ways (Concepts)

The ways (concepts) answer the question, "How [in what way] will the ends/objectives be accomplished (who, what, when, where and why)?" In other words, which federal department will do what, when, and where in order to accomplish this concept?

Means (Resources)

The means describe the resources by which the ways (concepts) will be enabled (i.e., the manpower, time, training, funding, equipment, etc. required to enable the concepts) and thus answer the question, "With what will the ways/concepts be executed?" Note: This is usually the most important/critical aspect of strategy development, for without the required means/resources on hand to enable your concepts, there will be no execution and thus the strategy becomes moot.

Strategy Development Hierarchy

Another way to depict the relationships among the goal, ends, ways and means is by a simple hierarchical graphic. For each objective depicted below, there is an associated/supporting concept and designated resources:

• Goal
  • End - Objective 1
    • Way - Concept
    • Means - Resources
  • End - Objective 2
    • Way - Concept
    • Means - Resources
  • End - Objective 3
    • Way - Concept
    • Means - Resources

Please use the framework above when examining the National Strategy for the Physican Protection of Critical Infrastructures and Key Assets. You should examine whether or not each policy is butressed by the necessary ways and means. You should also examine if each policy has the same ways and means or if they are different based on the infrastructure. If they are different, you consider why these differences exist.

Testing the Strategy

Another important aspect of the strategic appraisal and strategy development process is that of testing the draft strategy (i.e., assessing each of the ends, ways and means according to their overall capability to achieve a specific task). The three criterion below capture the key points. These are generally expressed as:

• Suitability (ends/objectives): Does this strategy present the most suitable policy elements/instruments for doing this?
• Acceptability (ways/concepts): Is there sufficient political and public support to legitimize (accept) the proposed actions?
• Feasibility (means/resources): Are the proposed ways (concepts) achievable considering the current and potential capabilities and means (resources)?

It's been ten years since the strategy was developed. I'd like you to consider whether the strategy met the criteria above in 2003 and whether it meets the criteria in 2014.  Dig. Look closely at the document and consider whether or not additional language is needed to strengthen it.

In addition, please remember that your analysis of the document will differ based on your vantage point. The federal response will be different than that given by state, local, and tribal officials, and the private sector. Please consider these differences and ways to address them.

Summary

In this lesson you’ve learned about the National Strategy for the Protection of Physical Critical Infrastructures and Key Assets.  You’ve formed some ideas concerning development, tenets, purpose, authors, intended audiences, etc.  Remember these concepts.  At some point in your career you will be asked to draft a strategy and the information you've learned in this class will help you complete the document. 

Always ask:

Who? Who is the intended audience? (i.e., for whom is the strategy generally written and specifically directed for implementation?)

What? What is the strategy supposed to accomplish?

When? Does the strategy establish any time-line or milestones for accomplishment?

Where? Does the strategy indicate specific locations for actions to be accomplished?

How? Does the strategy indicate how accomplishment will occur (i.e., which federal agencies will do what and by what means)?

Why? Does the strategy indicate why it is being produced?

As we move on to other lessons, please remain mindful of this strategy and the stated ends, ways and means.  You will be using it as a milestone to measure against other homeland security related documents.