U.S. Department of Homeland Security
OEC/ICTAP
CLASSIFIED
Office of Emergency Communications / Interoperable Communications Technical Assistance Program
[State]
Incident Command System (ICS)
Communications Unit Program
Assessment and Development Matrix
A supplement to the Incident Command System Communications Unit
Implementation and Best Practices guide and the Incident Command
System Communications Unit Program Development Activities by State
Prepared by:
[Name]
DHS/OEC/ICTAP
Day, Month, Year
DHS/OEC/ICTAP
ICS Communications Unit Program Assessment and Development Matrix
How to Use This Template
Use this template within your agency to assess your Incident Command System (ICS)
Communications Unit (COMU) Program and to plan for future development and/or
maintenance. SEARCH used two primary sources to develop this model:
1. The Law Enforcement Tech Guide: How to plan, purchase, and manage
technology (successfully!), A Guide for Executives, Managers and
Technologists.1
2. The Office of Emergency Communications (OEC) Communications
Interoperability Performance Measurement Guide.2
This template supplements two documents: the ICS Communications Unit
Implementation and Best Practices: A Guide for Program Development and ICS
Communications Unit Program Development Activities by State.3 This template provides
instructions on how to use the Communications Unit Program Assessment and
Development Matrix—what to consider, who to engage, and what information to
collect—and provides sample performance measures. You may modify the matrix to
meet specific organizational needs.
Step 1: Review the ICS Communications Unit Program Assessment and
Development Primer
Review the ICS Communications Unit Program Assessment and Development Primer on
pages 5–9 of this document to familiarize yourself with the elements, sub-elements, and
performance statements for each level of program development based on the following
scale:
Early Development
Moderate Development
Full Development
Advanced Development
Little or no activity in the element or sub-element.
Some progress in the element or sub-element.
Substantially complete progress in the element or
sub-element.
Efforts to sustain and assure continuous
improvement of Communications Unit
development into the future.
This will assist you in maintaining focus on the performance measures specific to an ICS
Communications Unit Program.
Step 2: Complete the ICS Communications Unit Program Assessment and
Development Matrix
1
Prepared by SEARCH and published by the U.S. Department of Justice Office of Community Oriented Policing
Services, 2002. Available online at http://www.search.org/programs/safety/techguides/
2
http://www.publicsafetytools.info/oec_guidance/docs/OECPerformanceMeasurementGuide.pdf
3
A glossary of ICS COMU terms is provided in both of these documents.
DHS/OEC/ICTAP
2
ICS Communications Unit Program Assessment and Development Matrix
Once you have collected the information from the users and stakeholders (Statewide
Interoperability Coordinator [SWIC], COMU personnel, decision-makers, etc.), populate
the blank ICS Communications Unit Program Assessment and Development Matrix
template with text and related comments.4 You can then review the data to determine
areas where your program faces challenges, has failed, or achieved success. The
information collected will translate into lessons learned, opportunities to identify gaps in
your processes, and support for the evolution of your ICS Communications Unit
Program.
4
The blank template is shown herein on page 4. It is also available as a separate Microsoft Word file for download at
http://www.publicsafetytools.info and http://www.search.org/products/
DHS/OEC/ICTAP
3
ICS Communications Unit Program Assessment and Development Matrix
Elements
Sub-Elements
Early Development
Moderate Development
Full Development
Advanced Development
Leadership
Decision-making Structure
Governance
Agreements
Strategic Planning
SWIC Integration
STO Integration
Funding
Operational
Sustainability
High Degree of Leadership, Planning, and Collaboration
Initial Training
Recurrent Training
Exercises
COML
Training, Exercises,
and Staffing
COMT
INCM
RADO
Instructor
THSP (i.e., AEC)
Other Positions
Recognition and
Currency
SOPs
PTB
Currency
Policies, Procedures, and
Practices
Requests
Usage
Deployment
Integration
User-Defined
Communications
Unit Program
Planning
User-Defined
Program Plan
Communications Plan
Risk Management Plan
Challenges
Failures
Successes
Lessons Learned
Gaps
DHS/OEC/ICTAP
4
ICS Communications Unit Program Assessment and Development Matrix
ICS Communications Unit Program Assessment and Development Primer
Elements
Early Development
Moderate Development
Full Development
Advanced Development
Leadership
Executive sponsorship
has not been identified
Executive sponsorship has
been identified, but is not
engaged or does not
understand their role
Executive sponsorship has been
identified, understands their roles
and responsibilities, and is
consistently engaged
Executive sponsorship has been identified,
has training in the roles and responsibilities of
executive sponsorship, and is consistently
engaged
Decision-making
Structure
A Communications Unit
A COMU program decision(COMU) program
making structure is under
decision-making structure development
has not been developed
A COMU program decision-making
structure exists with roles,
responsibilities, and authorities
clearly defined in a governance
charter
A COMU program decision-making structure
exists with roles, responsibilities, and
authorities clearly defined in a governance
charter and communicated to all stakeholders
Agreements
Cooperative agreements
have not been created
An agreement between regions
within the State exists
A statewide MOU exists to share resources,
provide training, and exercise opportunities
Local, current, and accurate
databases of existing
communications personnel exist
and are maintained within the
region
A single, current, and accurate database of
existing communications personnel exists and
is maintained within the state
Local cooperative agreements
exist between agencies to
share resources and training
Strategic Planning
A comprehensive
strategic COMU program
plan does not exist
A strategic COMU program
plan is under development
A strategic COMU program plan
has been developed and approved
by the decision-making structure,
but has not been adopted by all
stakeholders
A comprehensive strategic COMU program
plan for the COMU, which outlines training,
recognition, currency, funding, etc., exists at
the executive level and has been
communicated to all stakeholders
SWIC (Statewide
Interoperability
Coordinator)
Integration
A SWIC does not exist in
the state, or the SWIC is
not engaged in the
process
A SWIC exists in the state but
does not understand the
COMU processes yet
The SWIC has responsibility for
the COMU program
The SWIC has complete responsibility for the
COMU program on a statewide basis
A cooperative relationship exists
between the SWIC and the STO
The SWIC is fully engaged and participates in
the NCSWIC (National Council of SWICs)
Governance
The SWIC and STO actively coordinate
COMU-related activities
STO
(State Training
Officer) Integration
DHS/OEC/ICTAP
An STO does not exist in
the state, or the STO is
not engaged in the
process
An STO exists in the state but
does not understand COMU
processes yet
The STO has responsibility for
COMU program training and
recognition
The STO has responsibility for COMU
program position-specific training and
recognition
The STO is fluent in the exercise,
training, recognition, and currency
processes
The STO is engaged and provides exercise,
training, recognition, and currency
opportunities
A cooperative relationship exists
between the STO and the SWIC
The STO and SWIC actively coordinate
COMU-related activities
5
High Degree of Leadership, Planning, and Collaboration
Sub-Elements
ICS Communications Unit Program Assessment and Development Matrix
Elements
Sub-Elements
Operational
Funding
Sustainability
Early Development
Moderate Development
Full Development
Advanced Development
There is no funding
mechanism in place to
fund COMU personnel or
program
Funding is available only from
local sources
Some regional funding has been
identified and is available to
support COMU activities
Statewide funding sources have been
identified and are available to support COMU
activities via a clearly defined and
comprehensive funding process
A sustainable budget has
not been developed
No reimbursement process is
in place for outside agency
personnel or equipment to
assist
The reimbursement process is
defined but not fully utilized
A realistic budget, which takes into account
internal/external one-time and recurring cost
estimates, has been created in cooperation
with financial representatives
Funding tools are used to identify and
analyze all potential sources of funding based
on lifecycle planning in order to develop a
sustainable funding strategy
Initial Training
Recurrent
Training
No or very limited COMU
training opportunities are
available
Inconsistent training
opportunities exist for a limited
number of COMU positions
Regular training opportunities exist Regular training opportunities exist for all
for a limited number of COMU
available COMU positions, and include all
positions and include prerequisites necessary prerequisites
Prerequisites are not
clearly defined
Prerequisites are defined
Compliant with current Federal
training SOPs
Fully compliant with current Federal training
SOPs
A recurrent training
process is not defined
A recurrent training process is
defined but not consistently
applied throughout the state
A recurrent training process is
well-defined but not consistently
applied throughout the state
A recurrent training process is well-defined
and consistently applied throughout the state
All stakeholders do not
understand the recurrent
training process
Training,
Exercises, and
Staffing
Exercises
No or very limited COMU Inconsistent exercise
exercise opportunities are opportunities exist for a limited
available
number of COMU positions
and occur mainly at the local
level
All stakeholders clearly understand the
All stakeholders clearly understand recurrent training process
the recurrent training process
Fully compliant with any Federal requirements
Compliant with any Federal
requirements
Regular exercise opportunities
exist for a limited number of
COMU positions and occur mainly
at the regional level
Not necessarily consistent with
current Homeland Security
Exercise and Evaluation Program
(HSEEP)requirements
COML
(Communications
Unit Leader)
DHS/OEC/ICTAP
No recognized personnel
exist in the state
The local area is satisfied the
number of existing recognized
COMLs is sufficient and
available for deployment to
meet local needs
The region is satisfied the number
of existing recognized COMLs is
sufficient and available for
deployment to meet local and
regional needs
Regular exercise opportunities exist for all
available COMU positions and occur at the
state level
Fully compliant with current HSEEP
requirements
The COMU governance structure and/or
SWIC is satisfied the number of existing
recognized COMLs is sufficient and available
for deployment to meet local, regional, and
statewide needs
6
High Degree of Leadership, Planning, and Collaboration
A sustainable budget has been A realistic budget, which takes into
developed but may not be
account internal/external one-time
realistic
and recurring cost estimates, has
been created in cooperation with
financial representatives
Reimbursement processes are clearly defined
and well understood by all stakeholders
ICS Communications Unit Program Assessment and Development Matrix
Elements
Sub-Elements
Early Development
Moderate Development
Full Development
Advanced Development
COMT
(Communications
Unit Technician)
No recognized personnel
exist in the state
The local area is satisfied the
number of recognized COMTs
that exist is sufficient and
available for deployment to
meet local needs
The region is satisfied the number
of recognized COMTs that exist is
sufficient and available for
deployment to meet local and
regional needs
The COMU governance structure and/or the
SWIC is satisfied the number of recognized
COMTs that exist is sufficient and available
for deployment to meet local, regional, and
statewide needs
INCM
(Incident
Communications
Unit Manager)
No recognized personnel
exist in the state
The local area is satisfied the
number of INCMs that exist is
sufficient and available for
deployment to meet local
needs
The region is satisfied the number
of INCMs that exist is sufficient
and available for deployment to
meet local and regional needs
The COMU governance structure and/or the
SWIC is satisfied the number of INCMs that
exist is sufficient and available for deployment
to meet local, regional, and statewide needs
RADO
(Radio Operator)
No recognized personnel
exist in the state
The local area is satisfied the
number of RADOs that exist is
sufficient and available for
deployment to meet local
needs
The region is satisfied the number
of RADOs that exist is sufficient
and available for deployment to
meet local and regional needs
The COMU governance structure and/or the
SWIC is satisfied the number of RADOs that
exist is sufficient and available for deployment
to meet local, regional, and statewide needs
Instructor
No recognized personnel
exist in the state
The local area is satisfied the
number of Instructors that exist
is sufficient to meet local
training needs
The region is satisfied the number
of Instructors that exist is sufficient
to meet local and regional training
needs
The COMU governance structure and/or the
SWIC is satisfied the number of Instructors
that exist is sufficient to meet local, regional,
and statewide training needs
The PTB process is defined
but not consistently applied
throughout the state
The PTB process is well-defined
but not consistently applied
throughout the state
The PTB process is well-defined and
consistently applied throughout the state
THSP
(i.e., Auxiliary
Emergency
Communicator
Other Positions
PTB
The PTB process is not
(Position Task Book) defined
All stakeholders do not
understand the PTB process
Recognition and
Currency
Currency
The currency process is
not defined
The currency process is
defined but not consistently
applied throughout the state
All stakeholders do not
understand the currency
process
DHS/OEC/ICTAP
All stakeholders clearly understand the PTB
All stakeholders clearly understand process
the PTB process
Fully compliant with current Federal training
Compliant with current Federal
SOPs
training standard operating
procedures (SOP)
The currency process is welldefined but not consistently
applied throughout the state
The currency process is well-defined and
consistently applied throughout the state
All stakeholders clearly understand the
All stakeholders clearly understand currency process
the currency process
Fully compliant with current Federal training
Compliant with current Federal
SOPs
training SOPs
7
ICS Communications Unit Program Assessment and Development Matrix
Elements
Sub-Elements
Early Development
Policies, Procedures, Operational and
and Practices
performance SOPs have
not been developed
Standard
Operating
Procedures
(SOPs)
Moderate Development
Full Development
Local operational and
performance SOPs have been
developed for each COMU
position
Regional operational and
Statewide comprehensive operational and
performance SOPs have been
performance SOPs have been developed for
developed for each COMU position each COMU position
Limited elements of
governance, funding, training
and exercises, recognition and
currency, usage, staffing, and
any user-defined SOPs have
been developed and
implemented
Requests
No knowledge or tracking
of COMU personnel or
equipment
Resources are tracked at the
local level only
Not all stakeholders
understand how to acquire
resources when needed
Deployment
Governance, funding, training and exercises,
recognition and currency, usage, staffing, and
any user-defined SOPs are developed and
implemented
Regional participation in tracking of
COMU personnel and equipment
using some type of available state
database occurs
State participation in tracking of COMU
personnel and equipment through a national
database—with qualifications and availability
of COMU personnel and equipment as may
be available through Federal sources—occurs
SOPs are developed in accordance with any
existing Federal guidelines
The acquisition process of COMU
resources is clearly defined and
understood by stakeholders
Resources are deployed at the Resources are deployed at the
local level only
regional level with a tracking
system in place
Deployment policies and
practices for COMU personnel Deployment policies and practices
or equipment are not well
are well-defined and clearly
understood by stakeholders, or understood by stakeholders
they do not understand how to
deploy when needed
Resources are deployed at the statewide
level with a tracking system in place
No understanding of how
to effectively utilize
COMU personnel when
deployed
COMU personnel are
integrated into the ICS
organization on a limited basis
COMU personnel are integrated
into the ICS organization
All necessary COMU personnel are fully
integrated into the ICS organization
Most COMU resources are
effectively and appropriately
utilized in line with training,
recognition, and best practices
COMU resources (COML, COMT, INCM,
RADO) are effectively and appropriately
utilized in line with training, recognition, and
best practices
Some COMU resources are
utilized but not fully in line with
training, recognition, and best
practices
User-Defined
Not all elements of governance,
funding, training and exercises,
recognition and currency, usage,
staffing, and any user-defined
SOPs have been developed and
implemented
No knowledge of
deployment policies or
practices for COMU
personnel or equipment
Usage
Integration
Advanced Development
Deployment policies and practices are welldefined and clearly understood by
stakeholders
User-Defined
DHS/OEC/ICTAP
8
ICS Communications Unit Program Assessment and Development Matrix
Elements
Sub-Elements
Early Development
Moderate Development
Full Development
Program Plan
A COMU program
assessment and
development matrix has
not been completed
Information is being collected
to complete a COMU program
assessment and development
matrix
Information has been collected and Information has been collected, a complete
a COMU program assessment is
COMU program assessment has been
being developed
conducted, and gaps have been identified in
processes that will support the evolution of
The results will be used to develop the COMU program
a COMU program plan for future
development/ maintenance
The results are used to develop a
comprehensive COMU program plan for
future development/maintenance
Advanced Development
Communications
Plan
A COMU program
communications plan has
not been developed
A COMU program
communications plan is being
developed
The leadership developed a
regional COMU program
communications plan with input
from the decision-making structure
to keep users and stakeholders
informed, involved, and up-to-date
throughout the evolution of the
COMU program
The leadership developed a comprehensive
statewide COMU program communications
plan with input from the decision-making
structure that effectively keeps users and
stakeholders informed, involved, and up-todate throughout the evolution of the COMU
program
The plan clearly identifies who you need to
communicate with, what they need
communicated to them, in what detail, and
how often (who, what, how, contact
frequency)
Communications
Unit Program
Planning
Risk Management
Plan
A COMU program risk
A COMU program risk
management plan has not management plan is being
been developed
developed
All stakeholders worked
cooperatively and developed a
regional COMU program risk
management plan that identifies
the risk, severity, probability,
frequency, cost, and responsible
party
Response and mitigation plans
have been developed for each risk
All stakeholders worked cooperatively and
developed a comprehensive statewide COMU
program risk management plan that identifies
the risk, severity, probability, frequency, cost,
and responsible party
Response and mitigation plans have been
developed for each risk
The plan was created after scope was
identified and continues throughout the
evolution of the COMU program
Unique risks specific to the state have been
identified and analyzed, and responses are
planned
Challenges
Failures
Successes
Include processes and activities that resulted in the Communications Unit program not evolving
Include processes and activities that have led to the abandonment of a Communications Unit program in part or whole
Include processes and activities that have resulted in the evolution of the Communications Unit program
Lessons Learned Identify lessons learned that may lead to improved future attempts and the evolution of the Communications Unit program
Gaps
Identify gaps that need to be filled in order to improve the evolution of the Communications Unit program
DHS/OEC/ICTAP
9