March
11, 2002 Homeland Security Presidential Directive-3
Purpose
The Nation requires a Homeland Security Advisory System to provide 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. Such a system would provide warnings in the form of a set
of graduated "Threat Conditions" that would increase as the risk of the
threat increases. At each Threat Condition, Federal departments and agencies
would implement a corresponding set of "Protective Measures" to further
reduce vulnerability or increase response capability during a period of
heightened alert.
This system is intended to create a common vocabulary, context, and
structure for an ongoing national discussion about the nature of the threats
that confront the homeland and the appropriate measures that should be taken
in response. It seeks to inform and facilitate decisions appropriate to
different levels of government and to private citizens at home and at work.
Homeland Security Advisory System
The Homeland Security Advisory System shall be binding on the executive
branch and suggested, although voluntary, to other levels of government and
the private sector. There are five Threat Conditions, each identified by a
description and corresponding color. From lowest to highest, the levels and
colors are:
Low = Green;
Guarded = Blue;
Elevated = Yellow;
High = Orange;
Severe = Red.
The higher the Threat Condition, the greater the risk of a terrorist
attack. Risk includes both the probability of an attack occurring and its
potential gravity. Threat Conditions shall be assigned by the Attorney
General in consultation with the Assistant to the President for Homeland
Security. Except in exigent circumstances, the Attorney General shall seek
the views of the appropriate Homeland Security Principals or their
subordinates, and other parties as appropriate, on the Threat Condition to
be assigned. Threat Conditions may be assigned for the entire Nation, or
they may be set for a particular geographic area or industrial sector.
Assigned Threat Conditions shall be reviewed at regular intervals to
determine whether adjustments are warranted.
For facilities, personnel, and operations inside the territorial United
States, all Federal departments, agencies, and offices other than military
facilities shall conform their existing threat advisory systems to this
system and henceforth administer their systems consistent with the
determination of the Attorney General with regard to the Threat Condition in
effect.
The assignment of a Threat Condition shall prompt the implementation of
an appropriate set of Protective Measures. Protective Measures are the
specific steps an organization shall take to reduce its vulnerability or
increase its ability to respond during a period of heightened alert. The
authority to craft and implement Protective Measures rests with the Federal
departments and agencies. It is recognized that departments and agencies may
have several preplanned sets of responses to a particular Threat Condition
to facilitate a rapid, appropriate, and tailored response. Department and
agency heads are respon-sible for developing their own Protective Measures
and other antiterrorism or self-protection and continuity plans, and
resourcing, rehearsing, documenting, and maintaining these plans. Likewise,
they retain the authority to respond, as necessary, to risks, threats,
incidents, or events at facilities within the specific jurisdiction of their
department or agency, and, as authorized by law, to direct agencies and
industries to implement their own Protective Measures. They shall continue
to be responsible for taking all appropriate proactive steps to reduce the
vulnerability of their personnel and facilities to terrorist attack. Federal
department and agency heads shall submit an annual written report to the
President, through the Assistant to the President for Homeland Security,
describing the steps they have taken to develop and implement appropriate
Protective Measures for each Threat Condition. Governors, mayors, and the
leaders of other organizations are encouraged to conduct a similar review of
their organizations= Protective Measures.
The decision whether to publicly announce Threat Conditions shall be made
on a case-by-case basis by the Attorney General in consultation with the
Assistant to the President for Homeland Security. Every effort shall be made
to share as much information regarding the threat as possible, consistent
with the safety of the Nation. The Attorney General shall ensure, consistent
with the safety of the Nation, that State and local government officials and
law enforcement authorities are provided the most relevant and timely
information. The Attorney General shall be responsible for identifying any
other information developed in the threat assessment process that would be
useful to State and local officials and others and conveying it to them as
permitted consistent with the constraints of classification. The Attorney
General shall establish a process and a system for conveying relevant
information to Federal, State, and local government officials, law
enforcement authorities, and the private sector expeditiously.
The Director of Central Intelligence and the Attorney General shall
ensure that a continuous and timely flow of integrated threat assessments
and reports is provided to the President, the Vice President, Assistant to
the President and Chief of Staff, the Assistant to the President for
Homeland Security, and the Assistant to the President for National Security
Affairs. Whenever possible and practicable, these integrated threat
assessments and reports shall be reviewed and commented upon by the wider
interagency community.
A decision on which Threat Condition to assign shall integrate a variety
of considerations. This integration will rely on qualitative assessment, not
quantitative calculation. Higher Threat Conditions indicate greater risk of
a terrorist act, with risk including both probability and gravity. Despite
best efforts, there can be no guarantee that, at any given Threat Condition,
a terrorist attack will not occur. An initial and important factor is the
quality of the threat information itself. The evaluation of this threat
information shall include, but not be limited to, the following factors:
- To what degree is the threat information credible?
- To what degree is the threat information corroborated?
- To what degree is the threat specific and/or imminent?
- How grave are the potential consequences of the threat?
Threat Conditions and Associated Protective Measures
The world has changed since September 11, 2001. We remain a Nation at
risk to terrorist attacks and will remain at risk for the foreseeable
future. At all Threat Conditions, we must remain vigilant, prepared, and
ready to deter terrorist attacks. The following Threat Conditions each
represent an increasing risk of terrorist attacks. Beneath each Threat
Condition are some suggested Protective Measures, recognizing that the heads
of Federal departments and agencies are responsible for developing and
implementing appropriate agency-specific Protective Measures:
- Low Condition (Green). This condition is declared when there is a low
risk of terrorist attacks. Federal departments and agencies should
consider the following general measures in addition to the agency-specific
Protective Measures they develop and implement:
- Refining and exercising as appropriate preplanned Protective
Measures;
- Ensuring personnel receive proper training on the Homeland Security
Advisory System and specific preplanned department or agency Protective
Measures; and
- Institutionalizing a process to assure that all facilities and
regulated sectors are regularly assessed for vulnerabilities to
terrorist attacks, and all reasonable measures are taken to mitigate
these vulnerabilities.
- Guarded Condition (Blue). This condition is declared when there is a
general risk of terrorist attacks. In addition to the Protective Measures
taken in the previous Threat Condition, Federal departments and agencies
should consider the following general measures in addition to the
agency-specific Protective Measures that they will develop and implement:
- Checking communications with designated emergency response or
command locations;
- Reviewing and updating emergency response procedures; and
- Providing the public with any information that would strengthen its
ability to act appropriately.
- Elevated Condition (Yellow). An Elevated Condition is declared when
there is a significant risk of terrorist attacks. In addition to the
Protective Measures taken in the previous Threat Conditions, Federal
departments and agencies should consider the following general measures in
addition to the Protective Measures that they will develop and implement:
- Increasing surveillance of critical locations;
- Coordinating emergency plans as appropriate with nearby
jurisdictions;
- Assessing whether the precise characteristics of the threat require
the further refinement of preplanned Protective Measures; and
- Implementing, as appropriate, contingency and emergency response
plans.
- High Condition (Orange). A High Condition is declared when there is a
high risk of terrorist attacks. In addition to the Protective Measures
taken in the previous Threat Conditions, Federal departments and agencies
should consider the following general measures in addition to the
agency-specific Protective Measures that they will develop and implement:
- Coordinating necessary security efforts with Federal, State, and
local law enforcement agencies or any National Guard or other
appropriate armed forces organizations;
- Taking additional precautions at public events and possibly
considering alternative venues or even cancellation;
- Preparing to execute contingency procedures, such as moving to an
alternate site or dispersing their workforce; and
- Restricting threatened facility access to essential personnel only.
- Severe Condition (Red). A Severe Condition reflects a severe risk of
terrorist attacks. Under most circumstances, the Protective Measures for a
Severe Condition are not intended to be sustained for substantial periods
of time. In addition to the Protective Measures in the previous Threat
Conditions, Federal departments and agencies also should consider the
following general measures in addition to the agency-specific Protective
Measures that they will develop and implement:
- Increasing or redirecting personnel to address critical emergency
needs;
- Assigning emergency response personnel and pre-positioning and
mobilizing specially trained teams or resources;
- Monitoring, redirecting, or constraining transportation systems; and
- Closing public and government facilities.
Comment and Review Periods
The Attorney General, in consultation and coordination with the Assistant
to the President for Homeland Security, shall, for 45 days from the date of
this directive, seek the views of government officials at all levels and of
public interest groups and the private sector on the proposed Homeland
Security Advisory System.
One hundred thirty-five days from the date of this directive the Attorney
General, after consultation and coordination with the Assistant to the
President for Homeland Security, and having considered the views received
during the comment period, shall recommend to the President in writing
proposed refinements to the Homeland Security Advisory System.