[Weekly Compilation of Presidential Documents Volume 38, Number 11 (Monday, March 18, 2002)]
[Pages 394-397]
[Online from the Government Publishing Office, www.gpo.gov]

<R04>
Directive on the Homeland Security Advisory System

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.

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    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 responsible 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.

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    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:
    1. To what degree is the threat information credible?
    2. To what degree is the threat information corroborated?
    3. To what degree is the threat specific and/or imminent?
    4. 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:
    1. 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:
 a)          Refining and exercising as appropriate preplanned 
            Protective Measures;
 b)          Ensuring personnel receive proper training on the Homeland 
            Security Advisory System and specific preplanned department 
            or agency Protective Measures; and
 c)          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.
    2. 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:
 a)          Checking communications with designated emergency response 
            or command locations;
 b)          Reviewing and updating emergency response procedures; and
 c)          Providing the public with any information that would 
            strengthen its ability to act appropriately.
    3. 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:
 a)          Increasing surveillance of critical locations;
 b)          Coordinating emergency plans as appropriate with nearby 
            jurisdictions;
 c)          Assessing whether the precise characteristics of the threat 
            require the further refinement of preplanned Protective 
            Measures; and
 d)          Implementing, as appropriate, contingency and emergency 
            response plans.
    4. 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:

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 a)          Coordinating necessary security efforts with Federal, 
            State, and local law enforcement agencies or any National 
            Guard or other appropriate armed forces organizations;
 b)          Taking additional precautions at public events and possibly 
            considering alternative venues or even cancellation;
 c)          Preparing to execute contingency procedures, such as moving 
            to an alternate site or dispersing their workforce; and
 d)          Restricting threatened facility access to essential 
            personnel only.
    5. 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:
 a)          Increasing or redirecting personnel to address critical 
            emergency needs;
 b)          Assigning emergency response personnel and prepositioning 
            and mobilizing specially trained teams or resources;
 c)          Monitoring, redirecting, or constraining transportation 
            systems; and
 d)          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.
                                                George W. Bush

Note: This directive was released by the Office of the Press Secretary 
on March 12.