Fusion Center
Guidelines
Developing and Sharing
Information and Intelligence
in a New Era
Guidelines for Establishing and
Operating Fusion Centers at the
Local, State, and Federal Levels
Law Enforcement Intelligence,
Public Safety, and the
Private Sector
A companion CD has been
developed in conjunction with
the
Fusion Center Guidelines
report. This CD contains
sample policies, checklists,
resource documents, and links
to Web sites that are referenced
throughout the report. For copies
of the resource CD, contact DOJ’s
Global at (850) 385-0600.
The fusion center resources are also
available at DOJ’s Global Web
site, www.it.ojp.gov/fusioncenter,
DHS’s Web site, and the Homeland
Security Information Network
(HSIN).
Issued
For more information about
the
Fusion Center Guidelines
,
contact DOJ’s Global at
(850) 385-0600.
For more information about
DOJ’s initiatives, go to
www.it.ojp.gov.
Fusion Center
Guidelines
Developing and Sharing
Information and Intelligence
in a New Era
Guidelines for Establishing and
Operating Fusion Centers at the
Local, State, and Federal Levels
Law Enforcement Intelligence,
Public Safety, and the
This document was prepared under the leadership, guidance, and funding of the Bureau of Justice Assistance
(BJA), Office of Justice Programs, U.S. Department of Justice, in collaboration with the U.S. Department of Justice’s
Global Justice Information Sharing Initiative and the U.S. Department of Homeland Security. The opinions,
findings, and conclusions or recommendations expressed in this document are those of the authors and
do not necessarily represent the official position or policies of the U.S. Department of Justice or the
U.S. Department of Homeland Security.
The U.S. Department of Justce (DOJ) and the U.S. Department of Homeland Securty (DHS) collaborated n the development of these fuson center gudelnes. The ntent of the partnershp is to provide a consistent, unified message and to provide a comprehensve set of gudelnes for developng and operatng a fuson center wthn a state or regon.
Members of DOJ’s Global Justce Informaton Sharng Intatve (Global) and DHS’s Homeland Securty Advsory Councl (HSAC) supported ths project, whch nvolved numerous law enforcement experts and practtoners from local, state, trbal, and federal agences, as well as representatves of publc safety and prvate sector enttes across the country. Ther collectve knowledge, nsght, and wllngness to partcpate resulted n an outstandng product. Strong leadershp for the project’s focus groups was provded by Peter Modaffer, char of the Law Enforcement Intellgence Focus Group; John Cohen, char of the Publc Safety Focus Group; and Kenneth Bouche, char of the Prvate Sector Focus Group.
Ths effort would not have been possble wthout the support and gudance of key ndvduals. A specal thank you s gven to the followng ndvduals for ther leadershp and commtment to this initiative: Regina B. Schofield, Assistant Attorney General, Office of Justice Programs (OJP); Domingo S. Herraiz, Director, Bureau of Justce Assstance (BJA), OJP; J. Patrck McCreary, Assocate Deputy Drector of Natonal Polcy, BJA; Tm Beres, Director, Preparedness Programs Division, Office for Domestic Preparedness, DHS; Dave Brannegan, Program Manager, Office of State and Local Government Coordnaton and Preparedness, DHS; Danel Ostergaard, Executve Drector, HSAC, DHS; Michael Miron, Jeff Gaynor, and Candace Stoltz, Directors, Intellgence and Informaton Sharng Workng Groups, HSAC; DHS; and Mtt Romney, charman, Intellgence and Informaton Sharng Workng Group, HSAC, DHS.
In developng our country’s response to the threat of terrorsm, law enforcement, publc safety, and prvate sector leaders have recognized the need to improve the sharing of information and intelligence across agency borders. Every official involved n nformaton and ntellgence sharng has a stake n ths ntatve. Leaders must move forward wth a new paradgm on the exchange of nformaton and ntellgence, one that ncludes the ntegraton of law enforcement, publc safety, and the prvate sector.
Law enforcement, publc safety, and prvate sector leaders are encouraged to embrace the gudelnes n ths report when establshng a fuson center or partcpatng n one. Informaton and ntellgence sharng among states and jursdctons wll become seamless and efficient when each fusion center uses a common set of guidelines. It is the intent of this document to provide guidelines that help ensure fusion centers are established and operated effectively and efficiently in a manner that protects the privacy and civil liberties of citizens. The complete support of public safety leaders at all levels is critical to the successful mplementaton and operaton of fuson centers.
The Role of Leadership
Foreword ...iii
Executive Summary ...1
Summary of Guidelines and Key Elements ...5
Introduction—Fusion Concept and Functions ...9
Fuson Center Gudelnes Development...9
The Fuson Concept ...10
Fuson Centers ...12
Fuson Center Functons ...13
Functonal Categores ...13
State Strategy ...14
Informaton Flow ...14
Background and Methodology ...15
A Phased Approach ...15
Phase I—Law Enforcement Intellgence Component ...15
Phase 2—Publc Safety Component ...16
Phase 3—Prvate Sector Component ...17
Guidelines Gudelne 1: The NCISP and the Intellgence and Fuson Processes ...19
Gudelne 2: Msson Statement and Goals ...23
Gudelne 3: Governance...25
Gudelne 4: Collaboraton ...29
Gudelne 5: Memorandum of Understandng (MOU) and Non-Dsclosure Agreement (NDA) ...31
Gudelne 6: Database Resources...33
Gudelne 7: Interconnectvty ...37
Gudelne 8: Prvacy and Cvl Lbertes ...41
Gudelne 9: Securty ...43
Gudelne 10: Faclty, Locaton, and Physcal Infrastructure ...47
Gudelne 11: Human Resources ...51
Gudelne 12: Tranng of Center Personnel ...53
Gudelne 13: Multdscplnary Awareness and Educaton ...55
Gudelne 14: Intellgence Servces and Products ...57
Gudelne 15: Polces and Procedures ...59
Gudelne 16: Center Performance Measurement and Evaluaton ...61
Gudelne 17: Fundng ...63
Gudelne 18: Communcatons Plan ...65
Next Steps ...67 Appendices
Appendx A: Focus Group Partcpants and Acknowledgements...A-1 Appendx B: Fuson Center CD Resources ...B-1 Appendx C: Functonal Categores ...C-1 Appendx D: HSAC Homeland Securty Intellgence and Informaton Fuson Report ...D-1 Appendx E: Informaton Exchange Analyss and Desgn Report ...E-1 Appendx F: Fuson Center Report Glossary...F-1 Appendx G: Acronyms ...G-1
The need to develop and share nformaton and ntellgence across all levels of government has significantly changed over the last few years. The long-standng nformaton sharng challenges among law enforcement agences, publc safety agences, and the prvate sector are slowly dsappearng. Yet, the need to dentfy, prevent, montor, and respond to terrorst and criminal activities remains a significant need for the law enforcement, ntellgence, publc safety, and prvate sector communtes.
Through the support, expertse, and knowledge of leaders from all enttes nvolved, the fuson center concept can become a reality. Each official has a stake in the development and exchange of nformaton and ntellgence and should act as an ambassador to support and further ths ntatve. It s the responsblty of leadershp to mplement and adhere to the
Fusion Center Guidelines.
The development and exchange of ntellgence s not easy. Sharng ths data requres not only strong leadershp, t also requres the commtment, dedcaton, and trust of a dverse group of men and women who beleve n the power of collaboraton.
How can law enforcement, public safety, and private entities embrace a collaborative process to improve intelligence sharing and, ultimately, increase the ability to detect, prevent, and solve crimes while safeguarding our homeland? Recently, an ntatve has emerged that ncorporates the varous elements of an deal nformaton and ntellgence sharng project: fuson centers (or “center”). Ths ntatve offers gudelnes and tools to assst n the establshment
and operaton of centers. The gudelnes are a mlestone n achieving a unified force among all levels of law enforcement agencies; public safety agencies, such as fire, health, and transportaton; and the prvate sector. Fuson centers brng all the relevant partners together to maximize the ability to prevent and respond to terrorsm and crmnal acts. By embracng ths concept, these entities will be able to effectively and efficiently safeguard our homeland and maximize anticrime efforts.
What Is the Fusion Center
Guidelines Initiative?
In 2004 and 2005, many states began creatng fuson centers wth varous local, state, and federal funds. At the tme, no standards or gudelnes were n exstence to assst wth nteroperablty and communcaton ssues wth other centers at the state, regonal, and federal levels. As a result, centers desgned to share nformaton were actually slos of nformaton, ncapable of nformaton exchange. In response, the U.S. Department of Justce (DOJ), at the request of ts Global Justce
In their January 2005 survey, the National
Governors Association Center for Best
Practices revealed that states ranked the
development of state intelligence fusion
centers as one of their highest priorities.
Informaton Sharng Intatve’s (Global) Crmnal Intellgence Coordnatng Councl (CICC), formed the Law Enforcement Intellgence Fuson Center Focus Group (FCFG).1
Concurrently, the U.S. Department of Homeland Securty’s (DHS) Homeland Securty Advsory Councl (HSAC or Councl) Intellgence and Informaton Sharng Workng Group was focusng on preventon and nformaton sharng by developng gudelnes for local and state agences n relaton to the collecton, analyss, and dssemnaton of terrorsm-related ntellgence (.e., the fuson process). The recommendatons resultng from DOJ’s ntatve and HSAC’s efforts lad the foundaton for the expanson of the
Fusion Center Guidelines to ntegrate the publc safety and prvate sector enttes.
Subsequent to publshng Verson 1 of the Fusion Center Guidelines and the HSAC’s Intelligence and Information Sharing Initiative: Homeland Security Intelligence and Information Fusion
report, DOJ and HSAC establshed two addtonal focus groups— the Publc Safety FCFG and the Prvate Sector FCFG—n an effort to develop a comprehensve set of gudelnes for fuson centers. Partcpants n the three focus groups2 ncluded experts and practtoners from local, state, and federal law enforcement agences; publc safety agences; and the prvate sector as well as representatves from currently operatng fuson centers.3 In addton, representatves from natonal law enforcement, publc safety, and private sector organizations participated in the focus groups.
These gudelnes should be used to ensure that fuson centers are establshed and operated consstently, resultng n enhanced coordnaton efforts, strengthened partnershps, and mproved crime-fighting and antiterrorism capabilities. The guidelines and related materals wll provde assstance to centers as they prioritize and address threats posed in their specific jurisdictions for all crme types, ncludng terrorsm. In addton, the gudelnes wll help admnstrators develop polces, manage resources, and evaluate servces assocated wth the jursdcton’s fuson center.
The gudelnes should be used for homeland securty, as well as all crimes and hazards. The full report contains an in-depth explanaton of the gudelnes and ther key elements. Also ncluded n the report are addtonal resources, model polces, and tools for gudelne mplementaton.
What Is the Fusion Process?
The concept of fuson has emerged as the fundamental process to facltate the sharng of homeland securty-related and crme-related nformaton and ntellgence. For purposes of ths ntatve, fuson refers to the overarchng process of managing the flow of information and intelligence across all levels and sectors of government and prvate ndustry. It goes beyond establshng an nformaton/ntellgence center or creatng a computer network. The fuson process supports the mplementaton of rsk-based, nformaton-drven preventon,
1 Prevously named the Fuson Center Intellgence Standards Focus Group.
2 A complete lstng of partcpants from each of the focus groups can be found n Appendx A.
3 Informaton on currently operatng fuson and ntellgence centers can be accessed va the Natonal Crmnal Intellgence Resource Center at www.ncrc.gov.
response, and consequence management programs. At the same tme, t supports efforts to address mmedate or emergng threat-related crcumstances and events.
Data fuson nvolves the exchange of nformaton from dfferent sources—ncludng law enforcement, publc safety, and the prvate sector—and, wth analyss, can result n meanngful and actonable ntellgence and nformaton. The fuson process turns ths nformaton and ntellgence nto actonable knowledge. Fuson also allows for relentless reevaluaton of exstng data n context wth new data n order to provde constant updates. The publc safety and prvate sector components are ntegral n the fuson process because they provde fuson centers wth crme-related nformaton, ncludng rsk and threat assessments, and subject-matter experts who can aid in threat identification.
Because of the prvacy concerns that attach to personally identifiable information, it is not the intent of fusion centers to combine federal databases containing personally identifiable nformaton wth state, local, and trbal databases nto one system or warehouse. Rather, when a threat, crmnal predcate, or public safety need is identified, fusion centers will allow information from all sources to be readily gathered, analyzed, and exchanged, based upon the predcate, by provdng access to a varety of dsparate databases that are mantaned and controlled by approprate local, state, trbal, and federal representatves at the fuson center. The product of ths exchange wll be stored by the entty takng acton n accordance wth any applcable fuson center and/or department polcy, ncludng state and federal prvacy laws and requrements.
What Is a Fusion Center?
A fusion center is an effective and efficient mechanism to exchange information and intelligence, maximize resources, streamline operations, and improve the ability to fight crime and terrorism by analyzing data from a variety of sources. In addton, fuson centers are a condut for mplementng portons of the National Criminal Intelligence Sharing Plan
(hereafter, NCISP or Plan).4 The NCISP s the blueprnt for law enforcement admnstrators to follow when enhancng or buldng an ntellgence functon. The Plan contans over 25 recommendations that were vetted by law enforcement officials and experts from local, state, trbal, and federal agences. It embraces ntellgence-led polcng, communty polcng, and collaboraton and serves as the foundaton for the Fusion Center Guidelines.
A fusion center is defined as a “collaborative effort of two or more
agences that provde resources, expertse, and nformaton to the center with the goal of maximizing their ability to detect, prevent, nvestgate, and respond to crmnal and terrorst actvty.” Among the prmary focuses of fuson centers are the
4 The National Criminal Intelligence Sharing Plan s avalable at www.t.ojp.gov.
Fusion: Turning Information and Intelligence
Into Actionable Knowledge
ntellgence and fuson processes, through whch nformaton s collected, integrated, evaluated, analyzed, and disseminated. Nontradtonal collectors of ntellgence, such as publc safety entities and private sector organizations, possess important nformaton (e.g., rsk assessments and suspcous actvty reports) that can be “fused” wth law enforcement data to provde meanngful nformaton and ntellgence about threats and crmnal actvty. It s recommended that the fuson of publc safety and prvate sector nformaton wth law enforcement data be virtual through networking and utilizing a search function. Examples of the types of nformaton ncorporated nto these processes are threat assessments and nformaton related to publc safety, law enforcement, publc health, socal servces, and publc works. Federal data that contans personally identifiable information should not be combined with this data
untl a threat, crmnal predcate, or publc safety need has been identified. These processes support efforts to anticipate, identify, prevent, montor, and respond to crmnal actvty. Federal law enforcement agences that are partcpatng n fuson centers should ensure that they comply wth all applcable prvacy laws when contemplatng the wholesale sharng of nformaton wth nontradtonal law enforcement enttes.
Ideally, the fuson center nvolves every level and dscplne of government, prvate sector enttes, and the publc—though the level of nvolvement of some of these partcpants wll vary based on specific circumstances. The fusion process should be organized and coordinated, at a minimum, on a statewide level, and each state should establsh and mantan a center to facltate the fuson process. Though the foundaton of fuson centers s the law enforcement ntellgence component, center leadershp should evaluate ther respectve jursdctons to determne what publc safety and prvate sector enttes should partcpate n the fuson center. To ad n ths assessment, functonal categores have been developed, n whch smlar enttes are grouped. These categores are not comprehensve but represent a startng pont for fuson center leadershp to begn assessng what agencies and organizations should be involved in the center’s operatons.
The functonal categores nclude:
Agrculture, Food, Water, and the Envronment Bankng and Fnance
Chemical Industry and Hazardous Materials
Crmnal Justce Educaton
Emergency Servces (non-law enforcement) Energy
Government
Health and Publc Health Servces Hosptalty and Lodgng
Informaton and Telecommuncatons
Mltary Facltes and Defense Industral Base Postal and Shppng Prvate Securty Publc Works Real Estate Retal Socal Servces Transportaton
The Fusion Center Guidelines report contans an appendx descrbng the functonal categores and provdes examples of the types of nformaton that the enttes can provde to fuson centers.
Although each fusion center will have unique
characteristics, it is important for centers
to operate under a consistent framework—
similar to the construction of a group of
buildings where each structure is unique,
yet a consistent set of building codes and
regualtions are adhered to regardless of the
size or shape of the building.
Why Should Fusion Centers Be
Established?
The ultmate goal s to provde a mechansm through whch government, law enforcement, publc safety, and the prvate sector can come together wth a common purpose and mprove the ablty to safeguard our homeland and prevent crmnal actvty. It s crtcal for government to accomplsh more wth less. Fuson centers embody the core of collaboraton, and as demands ncrease and resources decrease, fuson centers wll become an effective tool to maximize available resources and buld trusted relatonshps. It s recommended that fuson centers adhere to these gudelnes and ntegrate the key elements of each gudelne to the fullest extent, n order to enhance nformaton and ntellgence sharng.
Summary of Gudelnes and Key Elements5
Adhere to the tenets contained in the National
Criminal Intelligence Sharing Plan (NCISP) and
other sector-specific information sharing plans,
and perform all steps of the intelligence and fusion
processes.
Consult the tenets of the NCISP, and use model standards and polces as a blueprnt for establshng or enhancng the ntellgence functon wthn the center.
Consult the Homeland Securty Advsory Councl’s (HSAC) Intelligence and Information Sharing Initiative: Homeland Security Intelligence and Information Fusion
report when ncorporatng the fuson process n the center.
Collaboratively develop and embrace a mission
statement, and identify goals for the fusion center.
Develop the center’s msson statement and goals collaboratvely wth partcpatng enttes.
Identify customer needs, define tasks, and prioritize functons.
Ensure the msson statement s clear and concse and conveys the purpose, prorty, and role of the center. Include the name and type of the center, what the center does, and whom the center serves n the msson statement.
Create a representative governance structure that
includes law enforcement, public safety, and the
private sector.
Ensure all partcpatng agences have a voce n the establshment and operaton of the fuson center. Ensure partcpatng enttes are adequately represented wthn the governance structure.
Compose the governing body with officials who have authorty to commt resources and make decsons.
5 Electronc versons of the documents, products, and reports referenced n the followng gudelnes can be found at www.t.ojp.gov.
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Create a collaborative environment for the sharing
of intelligence and information among local, state,
tribal, and federal law enforcement agencies,
public safety agencies, and the private sector.
Mantan a dverse membershp to nclude representatves from local, state, trbal, and federal law enforcement, publc safety, and the prvate sector.
Conduct regular meetngs wth center personnel, and participate in networking groups and organizations. Educate and liase with elected officials and community leadershp to promote awareness of center operatons.
Utilize Memoranda of Understanding (MOUs),
Non-Disclosure Agreements (NDAs), or other types of
agency agreements, as appropriate.
Educate and consult legal advsors early n the fuson center development process.
Utilize an NDA for fusion center personnel and partcpants to ad n the securty of propretary nformaton.
Ensure awareness of local, state, and federal publc records laws as they relate to NDAs, ncludng the Freedom of Informaton Act (FOIA).
Use an MOU as the foundaton for a collaboratve ntatve, founded on trust, wth the ntent to share and exchange nformaton.
At a mnmum, consder ncludng the followng elements n fuson center MOUs:
Involved partes Msson Governance Authorty Securty
Assgnment of personnel (removal/rotaton) Fundng/costs
Civil liability/indemnification issues Polces and procedures
Prvacy Terms
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5.
Summary of Guidelines and Key
Elements
5
Integrty control
Dspute resoluton process Ponts of contact
Effective date/duration/modification/termination Servces
Deconfliction procedure Code of conduct for contractors Specal condtons
Protocols for communcaton and nformaton exchange
Leverage the databases, systems, and networks
available via participating entities to maximize
information sharing.
Obtan access to an array of databases and systems. At a mnmum, consder obtanng access to drver’s lcense nformaton, motor vehcle regstraton data, locaton nformaton, law enforcement and crmnal justce systems or networks, and correctonal data.
Become a member of a regonal or state secure law enforcement network, such as the Regonal Informaton Sharng Systems® (RISS)/Federal Bureau of Investgaton’s (FBI) Law Enforcement Onlne (LEO) system, the U.S. Department of Homeland Securty’s (DHS) Homeland Securty Informaton Network (HSIN), or the FBI’s Law Enforcement Regonal Data Exchange (R-DEx) and Natonal Data Exchange (N-DEx).
Create an environment in which participants
seamlessly communicate by leveraging existing
systems and those currently under development,
and allow for future connectivity to other local,
state, tribal, and federal systems. Use the
U.S. Department of Justice’s (DOJ) Global Justice
Extensible Markup Language (XML) Data Model
and the National Information Exchange Model
(NIEM) standards for future database and network
development, and consider utilizing the Justice
Information Exchange Model (JIEM) for enterprise
development.
Establsh formal communcatons protocols, and ensure effective and efficient information exchange.
Develop and mplement a communcatons plan, and ensure secure and redundant communcatons. Ensure communcatons and systems access polces, ncludng consequences for noncomplance.
Consider utilizing the Organization for the Advancement of Structured Information Standards (OASIS)-ratified Common Alertng Protocol (CAP) to enable the exchange of emergency alert and publc warnng nformaton over data networks and computer-controlled warnng systems.
Develop, publish, and adhere to a privacy and civil
liberties policy.
Develop, dsplay, adhere to, and tran personnel on the center’s prvacy polcy.
Consult the Far Informaton Practces when developng a prvacy polcy.
Ensure all other polces and nternal controls are
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consstent wth the center’s prvacy polcy.
Establsh a process for trackng and handlng prvacy complants or concerns.
Develop rules on the use of prvately held data systems nformaton.
Adhere to applcable state and federal consttutonal and statutory prvacy and cvl lbertes provsons.
Specfy that publc safety and prvate sector databases should not be combned wth any federal databases that contain personally identifiable information.
Fuson center partcpants should comply wth all local, state, trbal, and federal prvacy laws, when applcable.
Ensure appropriate security measures are in place
for the facility, data, and personnel.
Develop, publsh, and adhere to a securty plan, and ensure proper safeguards are n place.
Ensure securty plans are marked, handled, and controlled as sensitive but unclassified (SBU) information.
Obtan approprate securty clearances for personnel wthn the center and key decson makers who need access.
Conduct background checks on personnel. Tran personnel on the center’s securty protocols. Consult Global’s Applying Security Practices to Justice Information Sharing document and resource materals when developng a securty plan.
Consult the Homeland Securty Informaton Act of 2002: Crtcal Infrastructure Informaton Act when collectng and storng crtcal nfrastructure-related nformaton.
Consult prvate ndustry securty personnel when obtaining and storing industry-specific information (e.g., buldng securty plans).
Ensure state laws allow for the security and confidentiality of publc and prvate sector data.
Integrate technology, systems, and people.
Colocate personnel and/or utilize virtual integration to brng technology, systems, and people together.
Base the selecton of a ste on the functonal needs of the center.
Plan, dentfy, desgn, tran, mplement, and adhere to a physcal securty plan and a contngency plan.
Achieve a diversified representation of personnel
based on the needs and functions of the center.
Mantan a 24-hour-a-day/7-day-a-week operaton when feasble.
Requre a mnmum term commtment for full-tme center personnel.
Identfy subject-matter experts from the prvate sector for utilization when industry-specific threats or crimes are identified (e.g., cyber threats).
Adhere to the Law Enforcement Analytic Standards
booklet and other relevant analytc publcatons avalable through the Internatonal Assocaton of Law Enforcement
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Intellgence Analysts (IALEIA) when hrng personnel to perform the analytc functon.
Ensure personnel are properly trained.
Adhere to the tranng objectves outlned n the National Criminal Intelligence Sharing Plan.
Ensure center personnel meet the mnmum tranng standards outlned n the report Minimum Criminal Intelligence Training Standards for United States Law Enforcement and Other Criminal Justice Agencies. Ensure center personnel receve tranng on faclty and nformaton securty, operatons, polces, and procedures. Include cross-educatonal tranng regardng the fuson centers and the applcable functonal categores, ncludng the types of nformaton that enttes can provde to the fuson center and what the center does wth the nformaton, once receved.
Provide a multitiered awareness and educational
program to implement intelligence-led policing and
the development and sharing of information.
Ensure approprate noncenter personnel nvolved n the ntellgence process are aware of the center’s functons, ncludng polcymakers, agency heads, and prvate sector executves.
Develop and dssemnate outreach and educatonal materials to officers, analysts, policymakers, and others.
Offer a variety of intelligence services and
products to customers.
Produce strategc and tactcal products to support the msson and prortes of the center.
Consult the Law Enforcement Analytic Standards booklet to ensure development of professonal qualty analytc products.
Ensure that feedback from partcpatng agences and organizations occurs when products are created and dstrbuted.
Develop, publish, and adhere to a policies and
procedures manual.
Use a standardized format to allow for easy reading, filing, retrevng, and correctng.
Implement an annual revew of center drectves, and purge or revse outdated polces and procedures. Ensure that personnel have access to the latest polces and procedures manual.
Define expectations, measure performance, and
determine effectiveness.
Desgn performance measures based on the center’s core msson, goals, and objectves.
Ensure performance measures are vald, relable, measurable, and quantifiable.
Develop an evaluaton process to gauge the adequacy, approprateness, and success of center servces.
Use performance measures and an evaluaton process to
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make decsons and allocate resources.
Utilize performance measures to track progress and ensure accountablty.
Inform center personnel of performance and progress on a regular bass.
Establish and maintain the center based on
funding availability and sustainability.
Identfy center needs and avalable fundng sources, to nclude local, state, trbal, federal, and nongovernmental sources.
Establsh an operatonal budget and adhere to reportng requrements.
Develop and implement a communications
plan among fusion center personnel; all law
enforcement, public safety, and private sector
agencies and entities involved; and the general
public.
Determne prmary and secondary modes of communcaton between the fuson center and partcpatng enttes.
Incorporate regular testng of the plan to ensure ts functonalty.
Include a mechansm to alert fuson center partcpants of new nformaton and ntellgence.
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A companion CD has
been developed in
conjunction with
the Fusion Center
Guidelines report. This
CD contains sample
policies, checklists, resource documents, and links
to Web sites that are referenced throughout the
report. For copies of the resource CD, contact
DOJ’s Global at (850) 385-0600. The fusion
center resources are also available at DOJ’s
Global Web site, www.it.ojp.gov/fusioncenter,
DHS’s Web site, and the Homeland Security
Information Network (HSIN).
As crmnal and terrorst actvty threatens the safety of our nation’s citizens and visitors, the ability to quickly exchange relevant nformaton and ntellgence becomes ncreasngly critical. Over the last few years, significant progress has been made n breakng down barrers and mprovng nformaton exchange. Policymakers and leaders have recognized the mportance of creatng an envronment where ntellgence can be securely shared among law enforcement, publc safety agences, and the prvate sector. Although strdes have been made, there s stll much work ahead. There s stll an urgent need to rigorously refine and accommodate our rapidly changing world. Many obstacles have been encountered that have mpacted the ablty to share ntellgence, such as the lack of trusted partnershps; dsparate, ncompatble, and antquated
communcatons, computer systems, and software; the need to query multple databases or systems; the lack of communcaton; the lack of standards and polces; and legal and cultural ssues.
These barriers have proven to be difficult hurdles. Yet, there are steps that can be taken to overcome these ssues and create a proactve envronment for the successful exchange of ntellgence.
Fusion Center Guidelines
Development
Through the U.S. Department of Justce (DOJ), members of ts Global Justce Informaton Sharng Intatve (Global) have developed recommended gudelnes to enhance justce nformaton sharng.6 Examples nclude the National Criminal
Intelligence Sharing Plan (NCISP or Plan), the Privacy and Information Quality Policy Development for the Justice Decision Maker, the Applying Security Practices to Justice Information Sharing, and the Global Justce Extensble Markup Language (XML) Data Model (Global JXDM). DOJ’s Global represents over 30 law enforcement organizations throughout the country, at all levels of government. Global promotes standards-based electronc nformaton exchange to provde the justce communty wth tmely, accurate, complete, and accessble nformaton n a secure and trusted envronment.
6 For more nformaton regardng Global, vst www.t.ojp.gov.
Through the Global Intellgence Workng Group (GIWG)—one of Global’s four ssue-focused workng groups—ntellgence ssues, concerns, and obstacles have been addressed. Global’s Crmnal Intellgence Coordnatng Councl (CICC)7 supported the development of the Law Enforcement Intellgence Fuson Center Focus Group (FCFG) to ntate Phase 1 of the fuson center gudelnes development. Ths group was tasked wth recommending guidelines specifically for the law enforcement 7 The CICC was establshed n response to recommendatons contaned n the NCISP. The CICC s composed of local, state, and federal enttes and advses the U.S. Attorney General on matters relatng to crmnal ntellgence.
Information systems contribute to every aspect
of homeland security. Although American
information technology is the most advanced
in the world, our country’s information systems
have not adequately supported the homeland
security mission. Databases used for federal
law enforcement, immigration, intelligence,
public health, surveillance, and emergency
management have not been connected in
a way that allows us to comprehend where
information gaps and redundancies exist.
We must link the vast amounts of knowledge
residing within each government agency while
ensuring adequate privacy.
The National Strategy for Homeland Security
July 2002
Introduction—
ntellgence component of fuson centers. The focus group was also tasked wth recommendng related model polces and procedures to support this initiative. Group members recognized the need and mportance of ntegratng all publc safety and prvate partners.
Concurrently, a parallel effort was under way by the Homeland Securty Advsory Councl (HSAC) Intellgence and Informaton Sharng Workng Group to develop ntellgence and nformaton sharing guidelines, based on specific presidential directives, for local, state, and federal agences creatng fuson centers.8 These drectves provde gudance to local and state enttes regardng preventon and response to crmnal and terrorst actvtes.9 The recommendations and findings resulting from HSAC’s Intellgence and Informaton Sharng Workng Group efforts support the expanson of the Fusion Center Guidelines to publc safety and prvate sector enttes.
Subsequent to the efforts of the Law Enforcement Intellgence FCFG and HSAC, the Publc Safety FCFG was created for the purpose of ntegratng the publc safety component nto the Fusion Center Guidelines. Members of the focus group concentrated on the need for nformaton and ntellgence sharng between law enforcement and publc safety communtes. Ths group endorsed the gudelnes developed by the Law Enforcement Intellgence FCFG and offered suggestons and recommendatons to successfully ncorporate publc safety enttes nto fuson centers.
The last phase establshed the Prvate Sector FCFG, whose msson was to ntegrate the prvate sector nto the gudelnes. Wth 85 percent of crtcal nfrastructure owned by prvate enttes, ther nvolvement n fuson centers s essental to havng a comprehensive all-hazards, all-crimes fusion center. Key points addressed ncluded collaboraton between the fuson center and mission-critical private sector entities, as well as identification of prvate sector capabltes and nformaton needs. In addton, the need for a two-way educatonal process between the prvate sector and fusion centers was identified. The purpose of this educatonal process s to develop an understandng of how each entty operates and how each can enhance operatons and functonalty wth the other.
All levels of government, the prvate sector, and nongovernmental organizations must work together to prepare for, prevent, respond to, and recover from terrorst and crmnal events. Through
8 More nformaton on HSAC can be accessed at www.dhs.gov/hsac. 9 Homeland Securty Presdental Drectve 8 (HSPD-8) was ssued wth the purpose of establshng polces to strengthen the preparedness of the Unted States to prevent and respond to threatened or actual domestc terrorst attacks, major dsasters, and other emergences. Ths is done by requiring a national domestic all-hazards preparedness goal, establshng mechansms for mproved delvery of federal preparedness assstance to state and local governments, and outlnng actons to strengthen preparedness capabltes of federal, state, and local enttes. HSPD-5 addresses the management of domestic incidents and identifies steps for mproved coordnaton n response to ncdents. It requres the U.S. Department of Homeland Securty to coordnate wth other federal departments and local, state, and trbal governments to establsh a Natonal Response Plan (NRP) and a Natonal Incdent Management System (NIMS). Each of these tems plays a role n the establshment of fuson centers and lays a foundaton for enhanced nformaton and ntellgence sharng among all levels of law enforcement, publc safety, and the prvate sector. For more nformaton regardng HSPD-8, HSPD-5, NRP, and NIMS, vst www.ojp.usdoj.gov/odp/assessments/hspd8.htm.
the hard work, dedcaton, and commtment of the ndvduals partcpatng n these efforts, the approprate gudelnes, tools, and nformaton wll be avalable to all enttes nvolved. In addton, a collaboratve envronment wll result n a consstent, unified approach to prevention and response.
The ultmate goal s to provde a mechansm where law
enforcement, publc safety, and prvate sector partners can come together wth a common purpose and mprove the ablty to safeguard our homeland and prevent crmnal actvty. The fuson center is this mechanism; it is key to ensuring the flow of threat- and crme-related nformaton between local, state, regonal, and federal partners. The gudelnes contaned n the report represent the key components and ssues to consder when establshng fuson centers.
The Fusion Concept
Law enforcement has always been aware of the key role that nformaton and ntellgence play n preventon and response. Although t s mpossble to protect every potental target from every concevable method of attack, a number of strateges can be implemented to maximize this ability. In addition, further refinement in the intelligence and information sharing arena will maximize the ability to respond quickly and efficiently if an ncdent occurs.
Effectve terrorsm-related ntellgence nformaton and crme preventon, protecton, preparedness, and response depend on tmely and accurate nformaton about the terrorsts, ther operatons, ther support mechansms and structure, ther targets, and ther attack methods. Ths nformaton should serve as a gude for efforts to rapdly dentfy both mmedate and long-term threats; dentfy persons nvolved n terrorsm-related and crmnal actvtes; and gude the mplementaton of nformaton-drven and rsk-based preventon, response, and consequence-management.
Snce September 11, both response and preventon are crtcal to an overall strategy to secure our homeland and decrease crmnal activities. September 11 also confirmed how critical local, state, trbal, and federal law enforcement agences and publc safety and prvate sector enttes are n collectng mportant nformaton and ntellgence that ultmately mpacts the naton’s overall ablty to prevent terrorsm-related and crmnal actvtes. In respondng
Fusion:
Turning
Information
and Intelligence
Into Actionable
Knowledge
to September 11 and subsequent ncdents (e.g., the anthrax ssue), t became apparent how mportant t s to ncorporate nontraditional collectors of data (e.g., fire and health entities) nto preventon efforts. Data fuson represents an mportant part of a mechansm that can dramatcally mprove nformaton and ntellgence sharng between all components and collectors of nformaton.
As a result of the need to exchange dverse data from varous sources, fuson emerged as the fundamental process to facltate the sharng of homeland securty- and crme-related ntellgence. On the surface, it would appear that defining fusion is difficult. Although the concept s new to many law enforcement, publc safety, and prvate sector communtes, fuson s not new to many other ndustres and the mltary. In fact, fuson has been dscussed and used n transportaton and avaton; satellte magng; meteorology and weather forecastng; sensory magng; and mltary and defense actvtes for years.
Fusion refers to managing the flow of information and intelligence across levels and sectors of government and prvate ndustry.10 It goes beyond establshng an ntellgence center or creatng a computer network. Fuson supports the mplementaton of rsk-based, nformaton-drven preventon, response, and consequence management programs. At the same tme, t supports efforts to address mmedate or emergng threat-related crcumstances and events. Data fuson nvolves the exchange of nformaton from dfferent sources, ncludng law enforcement, publc safety, and the prvate sector.11 When combned wth approprate analyses, t can result n meanngful and actonable ntellgence and nformaton. The fuson process turns nformaton and ntellgence nto knowledge. The prmary emphass of fuson s to dentfy emergng terrorsm-related threats and rsks as well as to support ongong efforts to address crmnal actvtes. The fuson process wll:
Allow local and state enttes to better forecast and dentfy emergng crme and publc health trends.
Support multdscplnary, proactve, rsk-based, and communty-focused problem solvng.
Provide a continuous flow of intelligence to officials to assist n developng a depcton of evolvng threats.
Improve the delvery of emergency and nonemergency servces.
To illustrate the fusion process within a conceptualized fusion center concept, Fgure 1 depcts a dstrbuted capablty, populated by multple and dverse nformaton sources. Users access the data via a common interface, extracting, analyzing, and dssemnatng nformaton based on need and current demands. Although t s antcpated that fuson and fuson centers wll prmarly be used for preventve and proactve
10 Terms and definitions mentioned in this document, including “fusion,” are specific to the fusion center initiative. Varying definitions of the same term may be utilized within the law enforcement intelligence, public safety, and private sector fields, and participants in the fusion center initiative should ensure that term definitions do not deconflict. Definitions of terms specified in this document can be found in Appendix F.
11 The fuson of publc safety and prvate sector nformaton wth any federal database containing personally identifiable information should be virtual through networking and utilizing a search function. Federal agences partcpatng n the fuson center should adhere to applcable federal laws and regulatons.
measures, the process wll also be crtcal f an ncdent occurs, providing information to responders as well as officials, media, and citizens. It is important to note that the fusion process is not a system or database; t s an mportant part of a mechansm by whch partcpatng law enforcement, publc safety, and prvate sector enttes can provde and receve enhanced nformaton from a fuson center.
Crmnal and terrorsm-related ntellgence s derved by collecting, blending, analyzing, and evaluating relevant
nformaton from a broad array of sources on a contnual bass. There s no sngle source for terrorsm-related nformaton. It can come through the efforts of the ntellgence communty; local, state, trbal, and federal law enforcement authortes; other government agences (e.g., transportaton and health departments); the prvate sector; and the general publc. In order to mplement an effectve fuson process, a number of ssues must be addressed, ncludng the followng:
The use of common terminology, definitions, and lexicon by all stakeholders.
Up-to-date awareness and understandng of the global threat envronment.
A clear understandng of the lnkages between terrorsm-related and nonterrorsm-terrorsm-related nformaton and ntellgence. Clearly defined intelligence and information requirements that prioritize and guide planning, collection, analysis, and dssemnaton efforts.
Clear delneaton of roles, responsbltes, and requrements of each level and sector of government nvolved n the fuson process.
Understandng and elmnatng mpedments to nformaton collecton and sharng.
Extensve and ongong nteracton wth the prvate sector and wth the publc at large.
Connectvty (techncal and procedural) wth crtcal ntellgence streams, analyss centers, communcaton centers, and nformaton repostores.
Extensve partcpaton of subject-matter experts n the analytcal process.
Capacty to ensure aggressve oversght and accountablty to protect consttutonal protectons and cvl lbertes.
Through the use of fuson centers and by ntegratng these gudelnes, model templates, polces, and tools, the outstandng ssues hnderng our naton’s ablty to seamlessly develop and share information and intelligence will be minimized.
Fusion Centers
The ablty to coordnate effectve responses n the event of a terrorist attack is a significant challenge facing our nation. It s mperatve that all approprate means to combat terrorsm, respond to terrorst attacks, and reduce crmnal actvty be employed. This section will define fusion centers; summarize the basc functons of a fuson center; and provde a summary comparson of fuson centers, ntellgence centers, and emergency operatons centers.
A fusion center is a collaborative effort of
two or more agencies that provide resources,
expertise, and/or information to the center
with the goal of maximizing the ability to
detect, prevent, investigate, apprehend, and
respond to criminal and terrorist activity.
The primary components of a fusion center are
situational awareness and warnings that are
supported by law enforcement intelligence,
derived from the application of the intelligence
process, where requirements for actionable
information are generated and information is
collected, integrated, evaluated, analyzed, and
disseminated. Other key components resident
in the fusion center include representatives of
public safety, homeland security, the private
sector, and critical infrastructure communities.
Fuson centers are not tradtonal ntellgence centers nor do they perform the same functons as emergency operatons centers. Fuson centers are multdscplnary, whereas ntellgence centers
are tradtonally law enforcement centrc. Emergency Operatons Centers (EOC) focus on dsaster recovery (both natural and man-made). It s mportant to note that although these centers are dfferent and have unque mssons, they must work together and understand each others’ goals and prortes. If an ncdent occurs, all of these resources wll be needed to successfully minimize loss and apprehend suspects. The fusion center provdes ntellgence to the EOC regardng the dsaster or related events. Because of the nvestment, expertse, and capablty ntegrated wthn a fuson center, plans and procedures should nclude how each fuson center wll support the jursdcton’s emergency management structure durng crses. Furthermore, each fuson center should make provsons for supportng crss management and recovery operatons as lad out n the Incdent Command System (ICS), the Natonal Incdent Management System (NIMS), and the Natonal Response Plan (NRP).
Fuson centers embody the core of collaboraton. Collaboraton ncreases capacty, communcaton, and contnuty of servce whle decreasng duplcaton.12 As demands ncrease and resources decrease, collaboraton becomes an evermore effective tool to maximize resources and build trusted relatonshps. In a recent survey conducted by the Natonal Governors Assocaton (NGA) Center for Best Practces,
respondng states ranked the development of a state ntellgence fuson center as one of ther hghest prortes.13 This is significant and ndcates a need to quckly provde nformaton, materals, and gudelnes to assst n establshng and operatng fuson centers.
As llustrated n Fgure 2, the fuson center concept embraces the collaboration of numerous resources, maximizing and streamlnng operatons, whle movng jontly toward a common goal. The figure depicts participating entities using MOUs to define their roles, responsibilities, and contributions toward center operatons. These resources funnel nto a central locaton, the fusion center. Here, authorized personnel use the resources and nformaton to assst nvestgatve and ntellgence servces, homeland securty, and publc safety operatons and to ntegrate crtcal nfrastructure functons and prvate sector partnershps. Partcpants are subject to all the polces and procedures that gude center operatons. Approprate nformaton and ntellgence is then disseminated to authorized recipients and used to nvestgate crmes and proactvely address threats.
12 C. R. Pete Petersen, M.Ed., Community Collaboration, March 4, 2003.
13 NGA Center for Best Practces, Homeland Security in the States: Much Progress, More Work, January 24, 2005.
Important intelligence that may forewarn of a
future attack may be derived from information
collected by local, state, tribal, and federal law
enforcement agencies; public safety agencies;
and private sector entities through crime control
and other normal activities, as well as by
Fuson centers wll act as an analytcal hub, processng, evaluatng, and dssemnatng crtcal nformaton for law enforcement, publc safety, and prvate partners, based on a crmnal predcate, threat, or publc safety need. They wll focus on collaboraton and analyss and wll become a repostory for information that flows through the center, while ensuring state and federal prvacy laws and requrements are adhered to. Ultmately, fuson centers wll become the center for nvestgatve support, nformaton and ntellgence sharng, homeland securty, and publc safety and prvate sector partners.
Fusion Center Functions
The principal role of the fusion center is to compile, analyze, and dssemnate crmnal/terrorst nformaton and ntellgence and other nformaton (ncludng, but not lmted to, threat, publc safety, law enforcement, publc health, socal servces, and publc works) to support efforts to antcpate, dentfy, prevent, and/or montor crmnal/terrorst actvty. Ths crmnal nformaton and ntellgence should be both strategc (.e., desgned to provde general gudance of patterns and trends) and tactcal (i.e., focused on a specific criminal event). To be meaningful, the fuson center must do more than a one-tme collecton of law enforcement nformaton. It must nclude developng the capability to analyze on an ongoing basis law enforcement nformaton and ntellgence wth other mportant nformaton, such as publc health and transportaton, based on a crmnal predcate, threat, or publc safety need. The goal s to rapdly dentfy emergng threats; support multdscplnary, proactve, and communty-focused problem-solvng actvtes; support predctve analyss capabltes; and mprove the delvery of emergency and nonemergency servces.
One of the prncpal outcomes of the fuson process should be the identification of terrorism-related leads—any nexus between crme-related and other nformaton collected by local, state, and private entities and a terrorist organization and/or attack. Many experts beleve that there s a hgh probablty of dentfyng terrorsts through precursor crmnal actvty, ncludng llegal drug operatons, money launderng, fraud, terrorsm, and dentty theft.14 The fusion process does not replace or replicate mission-specific ntellgence and nformaton management. It does, however, leverage nformaton and ntellgence developed through these processes and systems to support the rapid identification of patterns and trends that may reflect an emerging threat. Some of the recommended goals and functons for fuson centers nclude:
Serve as the prmary pont of contact to report crmnal/ terrorst nformaton to the local Jont Terrorsm Task Force (JTTF) and DHS’s Homeland Securty Operatons Center (HSOC).
Include the capablty of blendng law enforcement nformaton and ntellgence.
Collect, analyze, and disseminate “all-crimes” information, so as to dentfy emergng patterns and trends. Evaluate and reevaluate the process, new data, and emergng threats. Adopt and adhere to a statewde strategy to examne the nformaton exchanges of the states’ law enforcement and homeland securty partners, ncludng dssemnaton of nformaton by the state Homeland Securty Advsor to law enforcement.
Mantan an up-to-date statewde rsk assessment. Serve as a recept-and-dssemnaton hub for law
enforcement nformaton provded by federal enttes, such as that provded by the Federal Bureau of Investgaton’s Regonal Data Exchange (R-DEx) and Natonal Data Exchange (N-DEx), when operatonal, and DHS’s Homeland Securty Informaton Network (HSIN).
Each of these areas can be expanded to nclude a number of crtcal tasks and responsbltes. To successfully acheve these goals, the first responder and private community, along wth the publc, must be a part of the fuson center concept. The ntegraton of nontradtonal consumers of nformaton and ntellgence s a key component of a fuson center.
The responsbltes of fuson centers are mmense. Gudelnes, as well as sample polces and templates, must be developed to assst n establshng and operatng fuson centers.
Functional Categories
Every level and sector (dscplne) of government and the prvate sector should be ntegrated nto fuson centers. Ths may seem lke a dauntng task; however, functonal categores have been developed to assst n ntegraton efforts. These categores are not meant to be exhaustve; rather, they provde governance bodes a startng place to begn collaboraton wth dfferent components and enttes. Each fuson center should evaluate ts needs, threats, and consttuents to determne what enttes should be ntegrated. Enttes that comprse the functonal categores can provde fuson centers wth both
14 The Impact of Terrorism on State Law Enforcement, June 2005, p. 34.
Figure 2—Fusion Center Components
strategc and tactcal nformaton, ncludng crme trends for partcular ndustres and publc safety agences, suspcous actvty, and rsk assessments. Fusng ths nformaton, based on an identified threat, criminal predicate, or public safety need, wth law enforcement ntellgence wll provde centers wth a more complete pcture of crme and terrorsm. The fuson of publc safety and prvate sector nformaton wth law enforcement data should be virtual through networking and utilizing a search functon, thus ensurng the separaton of federal data that contains personally identifiable information.
The overarchng functonal categores nclude:
Agrculture, Food, Water, and the Envronment Bankng and Fnance
Chemical Industry and Hazardous Materials Crmnal Justce
Educaton
Emergency Servces (non-law enforcement) Energy
Government
Health and Publc Health Servces Hosptalty and Lodgng
Informaton and Telecommuncatons
Mltary Facltes and Defense Industral Base Postal and Shppng Prvate Securty Publc Works Real Estate Retal Socal Servces Transportaton
These categores outlne the types of law enforcement
ntellgence and publc safety and prvate sector enttes to nclude n collaboraton. Types of nformaton that may be provded to fusion centers include a suspicious fire that a fire department responds to, an unusual sckness reported at a publc health department, spkes n cattle dsease on a farm, or suspcous bankng actvty reports.15 In addton, these enttes should be recpents of nformaton and ntellgence from fuson centers, ncludng threat alerts and related response efforts.
State Strategy
Fuson nvolves every level and sector (dscplne) of government, prvate sector enttes, and the publc—though the level of involvement of some participants will vary based on specific crcumstances. Some dscplnes, such as law enforcement, represent a core component of the fuson process due to the relatonshp between crme and terrorsm and the fact that, n many cases, law enforcement authortes are best suted to coordnate statewde and local fuson. The HSAC workng group recommended that fuson centers be establshed n every state. The fusion process should be organized and coordinated on 15 An n-depth lst of the enttes that comprse each of the functonal categores and varous examples of the types of nformaton these enttes can provde to fuson centers can be found n Appendx C.
a state level, and each state should establsh and mantan an analytc center. Furthermore, each state fuson center should regularly collaborate and coordnate wth other state fuson centers to prevent nformaton slos from developng wthn states. Ths effort wll enhance nformaton and ntellgence sharng.
The functons wthn a state fuson center should be based on the ntellgence cycle, ncludng requrements, prortes, identified collectors, indicators for the collectors to be aware of, collecton mechansms, methods of analyss, and producton and dssemnaton of reports and assessments to the approprate recpents. Publc safety and prvate sector enttes, along wth the general publc, are a crtcal part of ths plan and should be ncorporated nto the ntellgence cycle as collectors and recpents of nformaton, based on ther nformaton requrements.
Each major urban area may want to establsh a smlar capacty, ensurng that t s lnked wth the state center. Other localtes, trbal governments, and even the prvate sector should develop a process to nterlnk to these state fuson efforts. The publc should be engaged through publc educaton programs that descrbe what they should look for and what to do f they observe suspcous actvty.
Efforts should be scalable and organized and managed on a geographc bass so adjustments can be made based on changes n the envronment. And, whle natonal gudelnes should gude the process, the actual technologes and
operatonal protocols used by ndvdual jursdctons should be based on the specific capabilities.
Information Flow
Wth the establshment of fuson centers around the country, t s mportant to have a clear understandng of who should receve and disseminate information and how it flows both vertically and horizontally among all local, state, tribal, and federal government agences and prvate enttes. Successful counterterrorsm efforts requre that local, state, trbal, and federal law enforcement agences, along wth publc safety and prvate sector enttes, have an effectve nformaton sharng and collaboraton capablty. Ths wll ensure they can seamlessly collect, collate, blend, analyze, disseminate, and use information and intelligence. Intellgence and nformaton should be provded based on the needs of the user. Although fuson center partcpants may nclude emergency management, publc health, transportaton, publc works, and the prvate sector, each dscplne wll not need the same level of detail (e.g., fire officials and emergency management officials may not need the specific suspect nformaton that law enforcement requres). Fuson centers should also exchange nformaton wth approprate federal partners such as DOJ (e.g., Federal Bureau of Investgaton, Jont Terrorst Task Force, and U.S. Marshals), DHS (e.g., U.S. Customs and Border Protecton, U.S. Immgraton and Customs Enforcement, and Emergency Alert Networks), Hgh Intensty Drug Trafficking Areas (HIDTA), Regional Information Sharing Systems (RISS) centers, the Centers for Dsease Control and Preventon (CDC), and other nformaton sharng ntatves.16
16 For nformaton to be exchanged, refer to the Informaton Sharng Envronment (ISE) requred under the Intellgence Reform and Terrorsm Preventon Act (IRTPA) of 2004, http://www.gpoaccess.gov/seralset/ creports/ntel_reform.html.
A Phased Approach
The development of fuson center gudelnes was separated nto three phases—law enforcement ntellgence, publc safety, and the prvate sector. The law enforcement ntellgence phase developed the foundaton for the gudelnes. As each phase was establshed, prevous phase partcpants were ncluded n focus group meetngs. Ths ensured that the gudelnes were applcable to all components wthn a fuson center. In addton, ths allowed for dscussons to occur between all component representatves to dentfy concerns wth the gudelnes, ts methodology, and how to effectvely ncorporate each component. The actvtes and recommendatons of each focus group wll be explaned further n the report.
Phase I—Law Enforcement
Intelligence Component
Background
Early n 2002, the Internatonal Assocaton of Chefs of Polce (IACP) convened a Crmnal Intellgence Sharng Summt attended by law enforcement executves and ntellgence experts from across the country. Partcpants agreed that all law enforcement agences must work together toward a common goal: developng the capablty to gather nformaton, produce ntellgence, and share that ntellgence wth other law enforcement and publc safety agences.
The Summt led to the creaton of the Global Intellgence Workng Group (GIWG). The GIWG, one of four ssue-focused workng groups under the Global Justce Informaton Sharng Intatve (Global),17 was tasked wth recommendng a natonal ntellgence plan. Members of the GIWG nclude representatves from law enforcement and justice organizations at all levels of government. The GIWG promoted ntellgence-led polcng, recommended leveragng exstng systems, and addressed the current and future needs of law enforcement agences when developng the National Criminal Intelligence Sharing Plan (NCISP).18
17 For more nformaton regardng Global, vst www.t.ojp.gov. 18 A copy of the National Criminal Intelligence Sharing Plan can be
Intellgence s the product of systematc gatherng, evaluaton, and analyss of raw data on ndvduals or actvtes suspected of beng, or known to be, crmnal. Intellgence-led polcng s the collecton and analyss of nformaton to produce an ntellgence end product desgned to nform law enforcement decson makng at both the tactcal and strategc levels.19
The GIWG proposed 28 recommendatons and acton tems for mplementaton, whch are outlned n the NCISP. An event was held at the U.S. Department of Justce on May 14, 2004, to publicly support the recommendations and the Plan. Officials from local, state, and federal law enforcement agences were present. The recommendatons contaned n the Plan pertan to a wde spectrum of ntellgence ssues and concerns, ncludng:
Standards for management Insttutonalsm and outreach Protecton of rghts and prvacy Standards for process
obtaned at http://t.ojp.gov/topc.jsp?topc_d=93.
19 Appendx A of the National Criminal Intelligence Sharing Plan, October 2003.
“. . . we must create new ways to share
information and intelligence both vertically,
between governments, and horizontally, across
agencies and jurisdictions . . . efforts with the
Global Intelligence Working Group to create a
National Criminal Intelligence Sharing Plan . . .
is a helpful and welcome response.”
Former Homeland Security Secretary
Tom Ridge
October 23, 2003, Philadelphia, PA
Sharing of classified information Standards for tranng
Connectvty
Global’s Crmnal Intellgence Coordnatng Councl (CICC),20 n support of DOJ’s efforts to develop fuson center gudelnes, recommended the creaton of the Law Enforcement Intellgence Fuson Center Focus Group to further many of the tenets outlned n the Plan.
Methodology
The first phase of the Fusion Center Guidelines ntatve was the establshment of the Law Enforcement Intellgence FCFG. The focus group was composed of representatves from a varety of local, state, and federal law enforcement agences across the country, ncludng law enforcement personnel nvolved wth developng fuson centers, and offered example polces and materals to assst n ths ntatve.
Throughout the meetngs and subsequent communcatons, partcpants were encouraged to dscuss and share best practces resultng from the establshment and operaton of ther centers or ntatves. The focus group recommended that the ntellgence component nclude all crme types and that centers provde an array of ntellgence servces. The group also recommended
20 The Crmnal Intellgence Coordnatng Councl (CICC) was establshed n response to recommendatons contaned n the NCISP. The CICC s composed of local, state, and federal enttes and advses the U.S. Attorney General on matters relatng to crmnal ntellgence.
that centers be scalable based on the needs of the cty, state, or regon and should conduct tactcal, operatonal, and strategc ntellgence functons n support of crmnal nvestgatons.
The focus group’s work developed Verson 1, contanng 17 fuson center law enforcement ntellgence gudelnes. These gudelnes are the foundaton for the ntellgence component of fuson centers and take ntellgence sharng to the next level. In addton, the focus group developed sample polces, tools, and a resource CD to assst agences n ntegratng the gudelnes. The Verson 1 gudelnes were presented to and supported by the CICC, the GIWG, the Global Advsory Commttee, and DOJ’s Justce Intellgence Coordnatng Councl (JICC). These gudelnes were also approved by each component of the U.S. Department of Homeland Securty (DHS). Verson 1 of the
Fusion Center Guidelines was publshed n July 2005.
Concurrent wth the efforts of the Law Enforcement Intellgence Focus Group were the efforts of the Homeland Securty Advsory Councl’s (HSAC) Intellgence and Informaton Sharng Workng Group. The HSAC workng group developed a report that revolved around ntegratng the fuson process nto fuson centers. The result of the Law Enforcement Intellgence Workng Group and the Intellgence and Informaton Sharng Workng Group was a jonng of efforts to expand the Fusion Center Guidelines to nclude the publc safety and prvate sector components. HSAC also establshed a Prvate Sector Informaton Sharng Task Force that addressed the obstacles of nformaton sharng between the federal government and the prvate sector. Ths task force also provded recommendatons to alleviate the identified information sharing obstacles.21
Phase 2—Public Safety Component
Methodology
Subsequent to the completon of Verson 1 of the Fusion Center Guidelines, Phase 2 of the ntatve began, whch nvolved
ncorporatng the publc safety component nto fuson centers. Even n the plannng stages, Phase 2 was a collaboratve effort between DOJ and DHS. Ths collaboraton demonstrated the commtment of the federal government to ensure a unted and comprehensve set of gudelnes for ntegratng publc safety wth law enforcement nto local, state, regonal, and federal fuson centers. The publc safety component s essental to fuson centers for:
Precursor nformaton regardng crme, ncludng nformaton on diversion drugs and hazardous material.
Frst responders, who can provde nontradtonal nformaton to fusion centers (e.g., fire and health departments).
Informaton on suspcous crmnal-related actvty.
Partcpants n the Publc Safety FCFG ncluded members from a variety of public safety components, including fire, health, transportaton, agrculture, and envronmental protecton. Also partcpatng n the meetng were select members of the Law Enforcement Intellgence FCFG.
The first task the focus group addressed was to define what public safety is with respect to a fusion center. The focus group defined 21 A copy of ths report can be found on the companon Fusion Center Guidelines resource CD.
“The Plan represents law enforcement’s
commitment to take it upon itself to ensure that
we do everything possible to connect the dots,
whether it be a set of criminal dots or a set of
terrorist dots.”
Former U.S. Attorney General
John Ashcroft
publc safety enttes as government-based agences that respond to contemplated or completed crmnal acts, man-made or natural dsasters, publc health ssues, or ntentonal acts that threaten or drectly mpact the essental functons of socety. Examples of these functons nclude economc, transportaton, communcatons, publc works, power/energy, and food supply. Also dscussed durng the meetng were the concept of the fuson center and the definition of the fusion process with a focus on how to incorporate the publc safety component nto the center and process.
The focus group identified many public safety entities that could potentially be integrated into a fusion center and categorized them nto functonal categores. The categores are ncluded as an appendx to the gudelnes and, although not comprehensve, serve as a starting point for operating fusion centers to utilize when ntegratng publc safety enttes.22 When jursdctons are establshng a fuson center, the functonal categores should be evaluated and the applicable entities should be identified and ncluded as partners.
The consensus of the Publc Safety FCFG was that the 17 gudelnes n Verson 1 provde a thorough explanaton and gudance for jursdctons establshng and operatng a fuson center. The focus group recommended addng n Verson 2 of the gudelnes a more comprehensve explanaton of the fuson process and examples of how publc safety enttes can be ncorporated nto the process.
Implementation
Collaboraton s vtal to the success of fuson centers. The publc safety component can provde fuson centers wth nformaton that wll add value to the ntellgence and fuson processes. Addtonally, fuson centers can provde publc safety enttes wth nformaton and ntellgence that mpact them, such as bomb threats, health-related nformaton and ntellgence, and/or transportation-related information. Public safety entities (fire, EMS, transportation) often impact the lives of citizens, and ensurng that these enttes mantan stuatonal awareness and are actvely nvolved n the fuson center s mportant to protectng the lives of citizens. Fusion center governance members should evaluate the needs of ther jursdcton to dentfy what publc safety enttes should be nvolved n the fuson center wth partcular focus on health servces, government, transportaton, educaton, crmnal justce and securty, socal servces, and publc works.
Publc safety partners should be ncorporated nto all phases of the ntellgence/fuson process. Enttes wthn ths sector represent nontradtonal nformaton gatherers and can provde fuson centers wth both strategc and tactcal nformaton, ncludng crme-related trends (e.g., prescrpton drug fraud and fire investigations); additional response capabilities (fire and hazmat); and suspicious activity (e.g., unusual diseases reported at hosptals). Publc safety enttes should also be ncluded n the dssemnaton and evaluaton phases.
Because of the groundbreakng efforts of the fuson center, partcpatng enttes may need awa
