Developing and Maintaining Emergency Operations Plans€¦ · In addition, CPG 101 Version 2.0 143 supersedes CPG 101 Version 1.0, which is rescinded. CPG 101 Version 2.0 also supersedes

Developing and Maintaining

Emergency Operations Plans Comprehensive Preparedness Guide (CPG) 101

Version 2.0

November 2010

I am pleased to announce the release of Version 2.0 of Comprehensive Preparedness Guide 101:

Developing and Maintaining Emergency Operations Plans.

Comprehensive Preparedness Guide (CPG) 101 provides guidance for developing emergency operations

plans. It promotes a common understanding of the fundamentals of risk-informed planning and decision

making to help planners examine a hazard or threat and produce integrated, coordinated, and

synchronized plans. The goal of CPG 101 is to assist in making the planning process routine across all

phases of emergency management and for all homeland security mission areas. This Guide helps planners

at all levels of government in their efforts to develop and maintain viable, all-hazards, all-threats

emergency plans.

Based on input from state, territorial, tribal, and local officials from across the United States, this update

of CPG 101 expands on the fundamentals contained in the first version. With this edition, greater

emphasis is placed on representing and engaging the whole community—to include those with access and

functional needs, children, and those with household pets and service animals.

Residents and all sectors of the community have a critical role and shared responsibility to take

appropriate actions to protect themselves, their families and organizations, and their properties. Planning

that engages and includes the whole community serves as the focal point for building a collaborative and

resilient community.

CPG 101 is the foundation for state, territorial, tribal, and local emergency planning in the United States.

Planners in other disciplines, organizations, and the private sector, as well as other levels of government,

may find this Guide useful in the development of their emergency operations plans. While CPG 101

maintains its link to previous guidance, it also reflects the reality of the current operational planning

environment. This Guide integrates key concepts from national preparedness policies and doctrines, as

well as lessons learned from disasters, major incidents, national assessments, and grant programs.

W. Craig Fugate

Administrator, Federal Emergency Management Agency

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i

Preface 1

Comprehensive Preparedness Guide (CPG) 101 provides Federal Emergency Management Agency 2

(FEMA) guidance on the fundamentals of planning and developing emergency operations plans (EOP). 3

CPG 101 shows that EOPs are connected to planning efforts in the areas of prevention, protection, 4

response, recovery, and mitigation. Version 2.0 of this Guide expands on these fundamentals and 5

encourages emergency and homeland security managers to engage the whole community in addressing all 6

risks that might impact their jurisdictions. 7

8

While CPG 101 maintains its link to previous guidance, it also reflects the reality of the current 9

operational planning environment. This Guide integrates key concepts from national preparedness 10

policies and doctrines, as well as lessons learned from disasters, major incidents, national assessments, 11

and grant programs. CPG 101 provides methods for planners to: 12

• Conduct community-based planning that engages the whole community by using a planning process 13

that represents the actual population in the community and involves community leaders and the 14

private sector in the planning process 15

• Ensure plans are developed through an analysis of risk 16

• Identify operational assumptions and resource demands 17

• Prioritize plans and planning efforts to support their seamless transition from development to 18

execution for any threat or hazard 19

• Integrate and synchronize efforts across all levels of government. 20

21

CPG 101 incorporates the following concepts from operational planning research and day-to-day 22

experience: 23

• The process of planning is just as important as the resulting document. 24

• Plans are not scripts followed to the letter, but are flexible and adaptable to the actual situation. 25

• Effective plans convey the goals and objectives of the intended operation and the actions needed to 26

achieve them. 27

28

Successful operations occur when organizations know their roles, understand how they fit into the overall 29

plan, and are able to execute the plan. 30

31

This Guide is part of a series of CPGs published by FEMA. CPG 101 discusses the steps used to produce 32

an EOP, possible plan structures, and components of a basic plan and its annexes. CPGs provide detailed 33

information about planning considerations for specific functions, hazards, and threats. 34

35

CPG 101 is the foundation for state, territorial, tribal, and local emergency planning in the United States. 36

Planners in other disciplines, organizations, and the private sector, as well as other levels of government, 37

may find this Guide useful in the development of their EOPs. 38

39

Comprehensive Preparedness Guide 101

ii

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iii

Contents 41

INTRODUCTION AND OVERVIEW ....................................................................................... INTRO-1 42

Purpose .......................................................................................................................................... Intro-1 43

Applicability and Scope ................................................................................................................ Intro-1 44

Supersession .................................................................................................................................. Intro-2 45

How to Use This Guide ................................................................................................................. Intro-2 46

Suggested Training ........................................................................................................................ Intro-2 47

National Incident Management System Implementation .............................................................. Intro-2 48

Administrative Information ........................................................................................................... Intro-2 49

Revision Process ............................................................................................................................ Intro-3 50

1. THE BASICS OF PLANNING ........................................................................................................... 1-1 51

Overview ............................................................................................................................................. 1-1 52

Planning Fundamentals ....................................................................................................................... 1-1 53

Planning Principles ....................................................................................................................... 1-1 54

Strategic, Operational, and Tactical Planning ............................................................................... 1-4 55

Planning Approaches .................................................................................................................... 1-5 56

Plan Integration ............................................................................................................................. 1-6 57

Plan Synchronization .................................................................................................................... 1-7 58

Common Planning Pitfalls ............................................................................................................ 1-7 59

Planning Considerations ...................................................................................................................... 1-8 60

2. UNDERSTANDING THE PLANNING ENVIRONMENT: FEDERAL, STATE, AND LOCAL 61

PLANS ...................................................................................................................................................... 2-1 62

Overview ............................................................................................................................................. 2-1 63

Relationship Between Federal Plans and State Emergency Operations Plans .................................... 2-1 64

The National Incident Management System ................................................................................. 2-1 65

The National Response Framework .............................................................................................. 2-2 66

Federal Emergency Plans at the National and Regional Levels ................................................... 2-4 67

State, Territorial, and Tribal Emergency Operations Plans .......................................................... 2-5 68

Local Emergency Operations Plans .............................................................................................. 2-5 69

Linking Federal, State, and Local Emergency Plans ........................................................................... 2-6 70

3. FORMAT AND FUNCTION: IDENTIFYING THE RIGHT PLAN FOR THE JOB ................. 3-1 71

Overview ............................................................................................................................................. 3-1 72

The Emergency Operations Plan ......................................................................................................... 3-1 73

State and Local Emergency Operations Plans .............................................................................. 3-2 74

Structuring an Emergency Operations Plan......................................................................................... 3-3 75

Traditional Functional Format ...................................................................................................... 3-4 76

Emergency Support Function Format ........................................................................................... 3-5 77

Agency-/Department-Focused Format .......................................................................................... 3-7 78

Using Planning Templates ................................................................................................................... 3-9 79

Additional Types of Plans ................................................................................................................... 3-9 80

Procedural Documents ................................................................................................................ 3-10 81

Emergency Operations Plan Content ................................................................................................. 3-12 82

The Basic Plan ............................................................................................................................ 3-12 83


iv

Supporting Annexes .................................................................................................................... 3-15 84

Hazard-, Threat-, or Incident-Specific Annexes ......................................................................... 3-18 85

4. THE PLANNING PROCESS ............................................................................................................. 4-1 86

Overview ............................................................................................................................................. 4-1 87

Steps in the Planning Process .............................................................................................................. 4-1 88

Step 1: Form a Collaborative Planning Team ............................................................................... 4-2 89

Step 2: Understand the Situation ................................................................................................... 4-7 90

Step 3: Determine Goals and Objectives .................................................................................... 4-11 91

Step 4: Plan Development ........................................................................................................... 4-12 92

Step 5: Plan Preparation, Review, and Approval ........................................................................ 4-16 93

Step 6: Plan Implementation and Maintenance ........................................................................... 4-25 94

APPENDIX A: AUTHORITIES AND REFERENCES ...................................................................... A-1 95

APPENDIX B: LIST OF ACRONYMS AND GLOSSARY ............................................................... B-1 96

APPENDIX C: EMERGENCY OPERATIONS PLAN DEVELOPMENT GUIDE ........................ C-1 97

APPENDIX D: SUGGESTED TRAINING .......................................................................................... D-1 98

99

Intro-1

Introduction and Overview 100

Purpose 101

Comprehensive Preparedness Guide (CPG) 101 provides guidelines on developing emergency operations 102

plans (EOP). It promotes a common understanding of the fundamentals of risk-informed planning and 103

decision making to help planners examine a hazard or threat and produce integrated, coordinated, and 104

synchronized plans. The goal of CPG 101 is to make the planning process routine across all phases of 105

emergency management and for all homeland security mission areas. This Guide helps planners at all 106

levels of government in their efforts to develop and maintain viable all-hazards, all-threats EOPs. 107

Accomplished properly, planning provides a methodical way to engage the whole community in thinking 108

through the life cycle of a potential crisis, determining required capabilities, and establishing a framework 109

for roles and responsibilities. It shapes how a community envisions and shares a desired outcome, selects 110

effective ways to achieve it, and communicates expected results. Each jurisdiction’s plans must reflect 111

what that community will do to address its specific risks with the unique resources it has or can obtain. 112

113

Planners achieve unity of purpose through 114

coordination and integration of plans across all 115

levels of government, nongovernmental 116

organizations, the private sector, and individuals 117

and families. This supports the fundamental 118

principle that, in many situations, emergency management and homeland security operations start at the 119

local level and expand to include Federal, state, territorial, tribal, regional, and private sector assets as the 120

affected jurisdiction requires additional resources and capabilities. Plans must, therefore, integrate 121

vertically to ensure a common operational focus. Similarly, horizontal integration ensures that individual 122

department and agency EOPs fit into the jurisdiction’s plans, and that each department or agency 123

understands, accepts, and is prepared to execute identified mission assignments. Incorporating vertical 124

and horizontal integration into a shared planning community ensures that the sequence and scope of an 125

operation are synchronized. 126

127

A shared planning community increases the likelihood of integration and synchronization, makes 128

planning cycles more efficient and effective, and makes plan maintenance easier. 129

Applicability and Scope 130

The Federal Emergency Management Agency (FEMA) recommends that teams responsible for 131

developing EOPs use CPG 101 to guide their efforts. It provides a context for emergency planning in 132

light of other existing plans and describes a universal planning process. This Guide recognizes that many 133

jurisdictions across the country have already developed EOPs that address many emergency management 134

operations. Therefore, CPG 101 establishes no immediate requirements, but suggests that the next 135

iteration of all EOPs follow this guidance. 136

137

Additionally, regulatory requirements may necessitate the use of additional guides for the development of 138

certain EOP annexes (e.g., the requirements for the Radiological Emergency Preparedness Program). 139

CPG 101 has been designed to complement the use of those guides where required by law or regulation. 140

“Let our advance worrying become advanced thinking

and planning.”

Winston Churchill


Intro-2

Supersession 141

CPG 101 replaces State and Local Guide 101, which is rescinded. In addition, CPG 101 Version 2.0 142

supersedes CPG 101 Version 1.0, which is rescinded. CPG 101 Version 2.0 also supersedes the Interim 143

CPG 301, which is rescinded. 144

How to Use This Guide 145

CPG 101 is designed to help both novice and experienced planners navigate the planning process. Used in 146

its entirety, this Guide provides information and instruction on the fundamentals of planning and their 147

application. Chapters 1 and 2 lay the foundation for planning efforts by providing information on the 148

basics of planning (Chapter 1) and the environment within which planners function (Chapter 2). With an 149

understanding of these fundamentals, the Guide then transitions from theory to practice by discussing the 150

different plan formats and functions (Chapter 3) and moving into an explanation of the planning process 151

(Chapter 4). A detailed checklist, building upon Chapters 3 and 4, is provided in Appendix C. Because 152

Appendix C provides a set of detailed questions to consider throughout the planning process, users are 153

encouraged to copy or remove this checklist and employ it as they work through the planning process in 154

Chapter 4. 155

Suggested Training 156

To use this Guide to its fullest, users will benefit from training in emergency management and emergency 157

planning. Appendix D provides a suggested list of training courses to increase users’ understanding of 158

emergency management and emergency planning concepts. 159

National Incident Management System 160

Implementation 161

In November 2005, FEMA’s National Integration Center published guides for integrating National 162

Incident Management System (NIMS) concepts into EOPs.1 CPG 101 incorporates the concepts and 163

suggestions found in those documents, which have been discontinued. 164

Administrative Information 165

Terms and acronyms in the text come from the FEMA Acronyms, Abbreviations, and Terms; the National 166

Response Framework (NRF); the NIMS; or the Homeland Security Act of 2002. Websites referenced in 167

this Guide were active at the time of its publication. 168

169

CPG 101 uses the following contextual definitions for incident, state, and local government throughout 170

the document: 171

• Incident means an occurrence or event—natural, technological, or human-caused—that requires a 172

response to protect life, property, or the environment (e.g., major disasters, emergencies, terrorist 173

attacks, terrorist threats, civil unrest, wildland and urban fires, floods, hazardous materials 174

[HAZMAT] spills, nuclear accidents, aircraft accidents, earthquakes, hurricanes, tornadoes, tropical 175

1 State NIMS Integration: Integrating the National Incident Management System into State Emergency Operations Plans and Standard Operating Procedures Local and Tribal NIMS Integration: Integrating the National Incident Management System into Local and Tribal Emergency Operations Plans and Standard Operating Procedures

Introduction and Overview

Intro-3

storms, tsunamis, war-related disasters, public health and medical emergencies, other occurrences 176

requiring an emergency response). 177

• State means any state of the United States, and includes the District of Columbia, the Commonwealth 178

of Puerto Rico, the Virgin Islands, Guam, American Samoa, the Commonwealth of the Northern 179

Mariana Islands, a Native American Tribe or organization,2 an Alaska native village or Regional 180

Native Corporation, and any possession of the United States. 181

• Local government means: 182

– A county, municipality, city, town, township, local public authority, school district, special 183

district, intrastate district, council of governments (regardless of whether the council of 184

governments is incorporated as a not-for-profit corporation under state law), regional or interstate 185

government entity, or agency or instrumentality of a local government 186

– A rural community, unincorporated town or village, or other public entity. 187

Revision Process 188

FEMA will revise CPG 101, as needed, and issue change pages through the publication distribution 189

system and online through approved sources. 190

191

FEMA welcomes recommendations on how to improve this Guide so it better serves the needs of the 192

emergency management community. Provide recommendations for improving this Guide to: 193

[email protected], ATTN: CPG Initiative – 101. 194

195

2 FEMA recognizes that a tribe’s right of self-government flows from the inherent sovereignty of tribes as nations and that the Federally-recognized tribes have a unique and direct relationship with the Federal Government.


Intro-4


1-1

1. The Basics of Planning 197

Overview 198

The elected and appointed leaders in each jurisdiction are responsible for ensuring that necessary and 199

appropriate actions are taken to protect people and property from any threat or hazard. When threatened 200

by any hazard, citizens expect elected or appointed leaders to take immediate action to help them resolve 201

the problem. Citizens expect the government to marshal its resources, channel the efforts of the whole 202

community—including voluntary organizations and the private sector—and, if necessary, solicit 203

assistance from outside the jurisdiction. 204

205

Residents and all sectors of the community have a critical role and shared responsibility to take 206

appropriate actions to protect themselves, their families and organizations, and their properties. Planning 207

that includes the whole community builds a resilient community.3 208

209

This chapter serves as a foundation for the rest of the Guide by providing an overview of the basics of 210

planning. It describes how risk-informed, community-based planning supports decision making. This 211

chapter also discusses key planning concepts, effective planning, and planning pitfalls. 212

Planning Fundamentals 213

Planning Principles 214

Applying the following principles to the planning process is key to developing an all-hazards plan for 215

protecting lives, property, and the environment: 216

217

Planning must be community-based, 218

representing the whole population and its 219

needs. Understanding the composition of the 220

population—such as accounting for people with 221

disabilities, others with access and functional 222

needs, and for the needs of children—must occur 223

from the outset of the planning effort. For 224

example, the demographics of the population, including its resources and needs, have a profound effect on 225

evacuation, shelter operations, and family reunification.4 Another key consideration is the integration of 226

household pets and service animals into the planning process. Many individuals may make decisions on 227

whether to comply with protective action measures based on the jurisdiction’s ability to address the 228

concerns about their household pets and service animals. Establishing a profile of the community will also 229

let planners know if courses of action are feasible. For example, if the majority of the actual resident 230

population do not own cars, then planning efforts must account for greater transportation resource 231

requirements than if the population was predominately composed of car-owning households. The 232

businesses that comprise your jurisdiction must also be a part of your demographics—your jurisdiction 233

3 Per the Department of Homeland Security Risk Lexicon (http://www.dhs.gov/xlibrary/assets/dhs_risk_lexicon.pdf), resiliency is the ability for governments, infrastructures, systems, businesses, and citizenry to resist, absorb, recover from, or adapt to an adverse occurrence that may cause harm or destruction to our health, safety, economic well-being, essential services, or public confidence. 4 Planners should ensure compliance with the requirements of Title VI of the Civil Rights Act of 1964, Executive Order 13166, the Americans with Disabilities Act, Section 504 of the Rehabilitation Act, and other Federal, state, or local laws and anti-discrimination laws.

Community-based planning is the concept that

planning must not only be representative of the actual

population within the community, but also must involve

the whole community in the planning process. The

process for engaging the whole community in

community-based planning is discussed in Chapter 4.


1-2

may house the only business providing a critical resource to your area or the Nation. By fully 234

understanding the composition and requirements of the actual population (including all segments of the 235

community), community-based plans will lead to improved response and recovery activities and, 236

ultimately, overall preparedness. 237

238

Planning must include participation from all stakeholders in the community. Effective planning 239

ensures that the whole community is represented and involved in the planning process. The most realistic 240

and complete plans are prepared by a diverse planning team, including representatives from the 241

jurisdiction’s departments and agencies, civic leaders, businesses, and organizations (e.g., civic, social, 242

faith-based, humanitarian, educational, advocacy, professional) who are able to contribute critical 243

perspectives and/or have a role in executing the plan. The demographics of the community will aid in 244

determining who to involve as the planning team is constructed. Including community leaders 245

representative of the entire community in planning reinforces the expectation that the community 246

members have a shared responsibility and strengthens the public motivation to conduct planning for 247

themselves, their families, and their organizations. For example, it is essential to incorporate individuals 248

with disabilities or specific access and functional needs and individuals with limited English proficiency, 249

as well as the groups and organizations that support these individuals, in all aspects of the planning 250

process. When the plan considers and incorporates the views of the individuals and organizations 251

assigned tasks within it, they are more likely to accept and use the plan. 252

253

Planning uses a logical and analytical problem-solving process to help address the complexity and 254

uncertainty inherent in potential hazards and threats. By following a set of logical steps that includes 255

gathering and analyzing information, determining operational objectives, and developing alternative ways 256

to achieve the objectives, planning allows a jurisdiction or regional response structure to work through 257

complex situations. Planning helps a jurisdiction identify the resources at its disposal to perform critical 258

tasks and achieve desired outcomes/target levels of performance. Rather than concentrating on every 259

detail of how to achieve the objective, an effective plan structures thinking and supports insight, 260

creativity, and initiative in the face of an uncertain and fluid environment. While using a prescribed 261

planning process cannot guarantee success, inadequate plans and insufficient planning are proven 262

contributors to failure. 263

264

Planning considers all hazards and threats. While the causes of emergencies can vary greatly, many of 265

the effects do not. Planners can address common operational functions in their basic plans instead of 266

having unique plans for every type of hazard or threat. For example, floods, wildfires, HAZMAT releases, 267

and radiological dispersal devices may lead a jurisdiction to issue an evacuation order and open shelters. 268

Even though each hazard’s characteristics (e.g., speed of onset, size of the affected area) are different, the 269

general tasks for conducting an evacuation and shelter operations are the same. Planning for all threats and 270

hazards ensures that, when addressing emergency functions, planners identify common tasks and those 271

responsible for accomplishing the tasks. 272

273

Planning should be flexible enough to address both traditional and catastrophic incidents. Scalable 274

planning solutions are the most likely to be understood and executed properly by the operational 275

personnel who have practice in applying them. Planners can test whether critical plan elements are 276

sufficiently flexible by exercising them against scenarios of varying type and magnitude. In some cases, 277

planners may determine that exceptional policies and approaches are necessary for responding to and 278

recovering from catastrophic incidents. These exceptional planning solutions should be documented 279

within plans, along with clear descriptions of the triggers that indicate they are necessary. 280

281

Plans must clearly identify the mission and supporting goals (with desired results). More than any 282

other plan element, the clear definition of the mission and supporting goals (which specify desired 283

results/end-states) enables unity of effort and consistency of purpose among the multiple groups and 284

1. The Basics of Planning

1-3

activities involved in executing the plan. Every other plan element should be designed and evaluated 285

according to its contributions to accomplishing the mission and achieving the goals and desired results. 286

287

Planning depicts the anticipated environment for action. This anticipation promotes early 288

understanding and agreement on planning assumptions and risks, as well as the context for interaction. In 289

situations where a specific hazard has not been experienced, planning provides the opportunity to 290

anticipate conditions and systematically identify potential problems and workable solutions. Planners 291

should review existing EOPs to ensure current assumptions are still necessary and valid. After-action 292

reports (AAR) of recent emergency operations and exercises in the jurisdiction will help planners develop 293

a list of lessons learned to address when updating plans. 294

295

Planning does not need to start from scratch. 296

Planners should take advantage of the experience 297

of other planners, as well as plans generated by 298

other jurisdictions. Further, many states publish 299

their own standards and guidance for emergency 300

planning, conduct workshops and training courses, 301

and assign their planners to work with local 302

planners. FEMA offers resident, locally presented, 303

and independent study emergency planning courses. FEMA also publishes guidance related to planning 304

for specific functions and risks. By participating in this training and reviewing existing emergency or 305

contingency plans, planners can: 306

• Identify applicable authorities and statutes 307

• Gain insight into community risk perceptions 308

• Identify organizational arrangements used in the past 309

• Identify mutual aid agreements (MAA) with other jurisdictions 310

• Identify private sector planning that can complement and focus public sector planning 311

• Learn how historical planning issues were resolved 312

• Identify preparedness gaps. 313

314

Planning identifies tasks, allocates resources to accomplish those tasks, and establishes 315

accountability. Decision makers must ensure that they provide planners with clearly established priorities 316

and adequate resources; additionally, planners and plan participants should be held accountable for 317

effective planning and execution. 318

319

Planning includes senior officials throughout the process to ensure both understanding and 320

approval. Potential planning team members have many day-to-day concerns but must be reminded that 321

emergency planning is a high priority. Senior official buy-in helps the planning process meet 322

requirements of time, planning horizons, simplicity, and level of detail. The more involved decision 323

makers are in planning, the better the planning product will be. 324

325

The emergency or homeland security planner, hereafter referred to simply as “planner,” must reaffirm the 326

senior official’s understanding that planning is an iterative, dynamic process that ultimately facilitates his 327

or her job in a crisis situation by: 328

• Identifying and sharing the hazard, risk, and threat analyses for the jurisdiction 329

• Discussing readiness and capability assessments, as well as exercise critiques 330

Key infrastructure sectors, often owned and operated

by the private sector, are frequently well prepared to

maintain their business continuity and protect their

employees. Their planning often follows recognized

industry standards or established regulatory

requirements. Use key infrastructure planning to

complement State and local planning.


1-4

• Describing what the government body and the senior official will have to do prior to, during, and after 331

an incident to either prevent or minimize the incident’s impact. 332

333

Senior officials play a critical role in determining when and which plans should be developed or revised. 334

Additionally, they customarily have the authority to approve the final product in coordination with key 335

stakeholders. By participating throughout the planning process, senior officials will better understand how 336

to implement the plan during an incident. 337

338

Time, uncertainty, risk, and experience influence planning. These factors define the starting point 339

where planners apply appropriate concepts and methods to create solutions to particular problems. 340

Planning is, therefore, often considered to be both an art and a science in that successful planners are able 341

to draw from both operational experience and an understanding of emergency management principles, but 342

also are intuitive, creative, and have the ability to anticipate the unexpected. While the science and 343

fundamental principles of planning can be learned through training and experience, the art of planning 344

requires an understanding of the dynamic relationships among stakeholders, of special political 345

considerations, and of the complexity imposed by the situation. Because this activity involves judgment 346

and the balancing of competing demands, plans should not be overly detailed—to be followed by the 347

letter—or so general that they provide insufficient direction. Mastering the balance of art and science is 348

the most challenging aspect of becoming a successful planner. 349

350

Effective plans tell those with operational responsibilities what to do and why to do it, and they 351

instruct those outside the jurisdiction in how to provide support and what to expect. Plans must 352

clearly communicate to operational personnel and support providers what their roles and responsibilities 353

are and how those complement the activities of others. There should be no ambiguity regarding who is 354

responsible for major tasks. This enables personnel to operate as a productive team more effectively, 355

reducing duplication of effort and enhancing the benefits of collaboration. 356

357

Planning is fundamentally a process to manage risk. Risk 358

management is a process by which context is defined, risks are 359

identified and assessed, and courses of action for managing 360

those risks are analyzed, decided upon, and implemented, 361

monitored, and evaluated. As part of the process, planning is a 362

tool that allows for systematic risk management to reduce or 363

eliminate risks in the future. 364

365

Planning is one of the key components of the preparedness 366

cycle. The preparedness cycle (Figure 1.1) illustrates the way 367

that plans are continuously evaluated and improved through a 368

cycle of planning, organizing, training, equipping, exercising, 369

evaluating, and taking 370

corrective action. 371

Strategic, 372

Operational, and Tactical Planning 373

There are three tiers of planning: strategic planning, operational planning, and tactical (incident scene) 374

planning. Strategic planning sets the context and expectations for operational planning, while operational 375

planning provides the framework for tactical planning. All three tiers of planning occur at all levels of 376

government. 377

378

Figure 1.1: The Preparedness Cycle


1-5

Strategic plans describe how a jurisdiction wants to meet its emergency management or homeland 379

security responsibilities over the long-term. These plans are driven by policy from senior officials and 380

establish planning priorities. 381

382

Operational plans provide a description of roles and responsibilities, tasks, integration, and actions 383

required of a jurisdiction or its departments and agencies during emergencies. Jurisdictions use plans to 384

provide the goals, roles, and responsibilities that a jurisdiction’s departments and agencies are assigned, 385

and to focus on coordinating and integrating the activities of the many response and support organizations 386

within a jurisdiction. They also consider private sector planning efforts as an integral part of community-387

based planning, and to ensure efficient allocation of resources. Department and agency plans do the same 388

thing for the internal elements of those organizations. Operational plans tend to focus more on the broader 389

physical, spatial, and time-related dimensions of an operation; thus, they tend to be more complex and 390

comprehensive, yet less defined, than tactical plans. 391

392

Tactical plans focus on managing personnel, equipment, and resources that play a direct role in an 393

incident response. Pre-incident tactical planning, based upon existing operational plans, provides the 394

opportunity to pre-identify personnel, equipment, exercise, and training requirements. These gaps can 395

then be filled through various means (e.g., mutual aid, technical assistance, updates to policy, 396

procurement, contingency leasing). 397

398

399 Figure 1.2: Relationship Between Strategic, Operational, and Tactical Planning 400

Comprehensive and integrated planning can help other levels of government plan their response to an 401

incident within a jurisdiction. By knowing the extent of the jurisdiction’s capability, supporting planners 402

can pre-identify shortfalls and develop pre-scripted resource requests. 403

Planning Approaches 404

Planners use a number of approaches, either singly or in combination, to develop plans: 405


1-6

• Scenario-based planning. This approach starts with building a scenario for a hazard or threat. Then, 406

planners analyze the impact of the scenario to determine appropriate courses of action. Planners 407

typically use this planning concept to develop planning assumptions, primarily for hazard- or threat-408

specific annexes to a basic plan. 409

• Function-based planning (functional planning). This approach identifies the common functions that 410

a jurisdiction must perform during emergencies. Function-based planning defines the function to be 411

performed and some combination of government agencies and departments responsible for its 412

performance as a course of action. 413

• Capabilities-based planning. This approach focuses on a jurisdiction’s capacity to take a course of 414

action. Capabilities-based planning answers the question, “Do I have the right mix of training, 415

organizations, plans, people, leadership and management, equipment, and facilities to perform a 416

required emergency function?” Some planners view this approach as a combination of scenario- and 417

function-based planning because of its “scenario-to-task-to-capability” focus. 418

419

In reality, planners commonly use a combination of the three previous approaches to operational 420

planning. This hybrid planning approach provides the basis for the planning process discussed in 421

Chapter 4. Using the hybrid approach converts requirements generated by a scenario into goals and 422

objectives that drive the planning process. It leads to a basic plan that describes overarching roles, 423

relationships, and responsibilities with functional, hazard, and threat annexes that reflect sequencing of 424

actions. A hybrid planning approach helps identify the courses of action that a jurisdiction must be able to 425

take and the required functions it must perform based upon a comprehensive risk analysis; thus, it helps 426

identify the capabilities a jurisdiction must have. FEMA strongly advocates the hybrid approach. 427

Plan Integration 428

National guidance and consensus standards expect that a jurisdiction’s plans will be coordinated and 429

integrated among all levels of government and with critical infrastructure planning efforts. The NIMS and 430

NRF support a concept of layered operations. They recognize that all incidents start at the local level, and, 431

as needs exceed resources and capabilities, Federal, state, territorial, tribal, regional, and private sector 432

assets are applied. This approach means that planning must be vertically integrated to ensure that all 433

response levels have a common operational focus. Similarly, planners at each level must ensure that 434

department and supporting agency plans fit into their jurisdiction’s concept of operations (CONOPS) 435

through horizontal integration. Planners must also appropriately integrate the community’s 436

nongovernmental and private sector plans and resources. 437

438

Vertical integration is the meshing of planning both up and down the various levels of government. It 439

follows the concept that the foundation for operations is at the local level and that support from Federal, 440

state, territorial, tribal, regional, and private sector entities is layered onto the local activities. This means 441

that as a planning team identifies a support requirement from a “higher level” during the planning 442

process, the two levels work together to resolve the situation. Chapter 2 presents a concept for vertical 443

integration. 444

445

Horizontal integration serves two purposes. First, it integrates operations across a jurisdiction. For 446

example, an agency, department, or sector would write its plan or standard operating procedures/standard 447

operating guidelines (SOPs/SOGs) for its role in an evacuation to fit the controlling jurisdiction’s plan for 448

such an evacuation. Horizontal integration allows departments and support agencies to produce plans that 449

meet their internal needs or regulatory requirements and still integrate into the EOP. Second, horizontal 450

integration ensures that a jurisdiction’s set of plans supports its neighboring or partner jurisdictions’ 451

similar sets of plans. A jurisdiction’s plan should include information about mission assignments that it 452

executes in conjunction with, in support of, or with support from its neighbors or partners. 453


1-7

Plan Synchronization 454

The concept of sequencing creates effective EOPs that are synchronized in time, space, and purpose. Four 455

planning concepts help sequence operations: phasing, branches, planning horizons, and forward and 456

reverse planning. 457

458

Phasing. A phase is a specific part of an operation that is distinctly different from the ones that precede or 459

follow. For example, a set of phases might include routine operations, heightened awareness, 460

mobilization-activation-deployment, incident response, and transition to recovery. Planners often use the 461

factors of time, distance, geography, resources, and critical events to define phase lengths. 462

463

Branches. A branch is an option built into an EOP. For example, a hurricane may affect a certain state by 464

moving up its coast, by moving inland and traveling up a large bay, or by taking a more middle track that 465

affects both areas. While many elements of the plan would be the same for all three scenarios, the change 466

in track could affect response activities. Under the concept of branching, the hurricane annex of an EOP 467

would provide options for each major contingency, therefore allowing the planner to anticipate different 468

requirements and courses of action. Planners use branches only for major, critical options and not for 469

every possible variation in the response. 470

471

Planning horizon. A planning horizon is a point in time that planners use to focus the planning effort. 472

Because no one can predict when most incidents will occur, planners typically use planning horizons 473

expressed in months to years when developing EOPs. For example, the base components of an EOP may 474

be updated on a two- to three-year cycle, while key annexes may be on a shorter cycle. Since planners 475

develop these plans with little or no specific knowledge of how a future incident will evolve, the plan 476

must describe broad concepts that allow for quick and flexible operations. They must allow for several 477

courses of action and project potential uses of organizations and resources during those operations. 478

Planners should view plans as living contingency plans because they provide the starting point for 479

response operations if and when an emergency occurs. 480

481

Forward and reverse planning. Forward planning starts with (assumed) present conditions and lays out 482

potential decisions and actions forward in time, building an operation step-by-step toward the desired goal 483

or objective. Conversely, reverse planning starts with the end in mind and works backward, identifying 484

the objectives necessary and the related actions to achieve the desired end-state. When using reverse 485

planning, it is essential to have a well-defined goal or objective. In practice, planners usually use a 486

combination of the two methods: they use forward planning to look at what is feasible in the time allotted 487

and use reverse planning to establish the desired goal (or end-state) and related objectives. 488

Common Planning Pitfalls 489

The most common planning pitfall is the development of lengthy, overly detailed plans that those 490

responsible for their execution do not read. A plan that tries to cover every conceivable condition or that 491

attempts to address every detail will only frustrate, constrain, and confuse those charged with its 492

implementation. Successful plans are simple and flexible. 493

494

Another major pitfall faced by planners is failing to account for the community’s needs, concerns, 495

capabilities, and desire to help. Often, plans are written based on the “average citizen” or mirror image of 496

the planners. However, communities are diverse and comprise a wide variety of people, including those 497

with access and functional needs, those requiring the support of service animals, and those who cannot 498

independently care for themselves, such as children. This also includes diverse racial and ethnic 499

populations and immigrant communities. Failing to base planning on the demographics and requirements 500

of the particular community may lead to false planning assumptions, ineffective courses of action, and 501

inaccurate resource calculations. Related to this pitfall is the notion that responders are the only people 502


1-8

who can take action. The public often does their work before responders arrive. The community must be 503

engaged in the planning process and included as an integral part of the plan. 504

505

Planning is only as good as the information on which it is based. Too often, planners rely on untested 506

assumptions or uncoordinated resources. Planners should ensure that they have adequately validated 507

assumptions and properly coordinated with those agencies/entities that they include in their plan. 508

Planning needs may be coordinated directly with a required agency/entity via a memorandum of 509

agreement (MOA)/memorandum of understanding (MOU) or by signatory of a designated representative. 510

511

Planning is not a theoretical process that occurs without an understanding of the community, nor is it a 512

scripting process that tries to prescribe hazard actions and response actions with unjustified precision. 513

Community-based plans provide a starting point for operations, adjusting as the situation dictates and as 514

facts replace planning assumptions. 515

Planning Considerations 516

Emergency planning includes the key areas involved in addressing any threat or hazard: prevention, 517

protection, response, recovery, and mitigation. Integrating the key areas as part of the overall planning 518

effort allows jurisdictions to produce an effective EOP and advance overall preparedness. 519

520

Prevention consists of actions that reduce risk from human-caused incidents, primarily terrorism (see 521

Figure 1.3). Prevention planning can also help mitigate secondary or opportunistic incidents that may 522

occur after the primary incident. Incorporating prevention methods into the comprehensive planning 523

process also helps a jurisdiction identify information or intelligence requirements that support the overall 524

planning process. 525

526

527 Figure 1.3: Types of Hazards 528

Protection reduces or eliminates a threat to people, property, and the environment. Primarily focused on 529

adversarial incidents, the protection of critical infrastructure and key resources (CIKR) is vital to local 530

jurisdictions, national security, public health and safety, and economic vitality. Protection planning 531

safeguards citizens and their freedoms, critical infrastructure, property, and the economy from acts of 532

terrorism, natural disasters, or other emergencies. It includes actions or measures taken to cover or shield 533


1-9

assets from exposure, injury, or destruction. 534

Protective actions may occur before, during, or 535

after an incident and prevent, minimize, or 536

contain the impact of an incident. 537

538

Response embodies the actions taken in the 539

immediate aftermath of an incident to save and 540

sustain lives, meet basic human needs, and 541

reduce the loss of property and the effect on 542

critical infrastructure and the environment. 543

Following an incident, response operations 544

reduce the physical, psychological, social, and 545

economic effects of an incident. Response 546

planning provides rapid and disciplined incident 547

assessment to ensure a quickly scalable, 548

adaptable, and flexible response. It incorporates 549

national response doctrine as presented in the 550

NRF, which defines basic roles and 551

responsibilities for incident response across all 552

levels of government and the private sector. 553

554

Recovery encompasses both short-term and long-term efforts for the rebuilding and revitalization of 555

affected communities. Recovery planning builds stakeholder partnerships that lead to community 556

restoration and future sustainability and resiliency.5 Recovery planning must provide for a near-seamless 557

transition from response activities to short-term recovery operations—including restoration of interrupted 558

utility services, reestablishment of transportation routes, and the provision of food and shelter to displaced 559

persons. Planners should design long-term recovery plans to maximize results through the efficient use of 560

resources and incorporate national recovery doctrine. A recovery plan should address: 561

• Recovery-related MAAs and regional compacts 562

• Prewritten emergency ordinances that facilitate recovery operations, such as those dealing with road 563

closures, debris removal, and expedited permitting 564

• Continuity of government (COG) operations (may also be addressed in a separate continuity of 565

operations [COOP] plan) 566

• Strategies for including civic leaders and the public in the recovery decision-making process 567

• Community efforts that affect mitigation processes with the potential to reduce the effects of a threat 568

or incident. 569

570

Mitigation, with its focus on the impact of a hazard, encompasses the structural and non-structural 571

approaches taken to eliminate or limit a hazard’s presence; peoples’ exposure; or interactions with people, 572

5 Sustainability refers to decision making that does not reduce the options of future generations, but passes on to them a natural, economic, and social environment that provides a high quality of life. Resiliency refers to the ability to resist, absorb, recover from, or successfully adapt to adversity or a change in conditions.

Planning for Adaptive versus Non-Adaptive Risks

One of the fundamental challenges planners face is how

to address, through their planning efforts, the differences

in risk that a hazard or threat poses to a jurisdiction. One

way to focus those efforts is to determine whether the

hazard’s or threat’s risk is adaptive or non-adaptive. A

hazard or threat shows adaptive risk if it has the ability to

change its behavior or characteristics in reaction to

protection, prevention, response, or recovery measures

taken by a jurisdiction. Only human-caused hazards or

adversarial threats, such as civil disturbances or

terrorism, have adaptive risk characteristics. When facing

a hazard or threat characterized by adaptive risk,

planners must continually evaluate and evolve their plans

as the adversary learns and adapts to existing plans.

Natural and technological hazards fall into the category of

non-adaptive risks. Their physical characteristics and

disaster dimensions do not change when a jurisdiction

takes preventive, protective, or mitigation measures.

Plans for such hazards tend to be more stable, requiring

change only as the characteristics of the jurisdiction

change. Traditional mitigation activities are most

appropriate to deal with these risks. It is important to

remember that this is not a “black and white”

differentiation—extremist groups may take the opportunity

presented by a hurricane (non-adaptive risk) to launch a

terrorist attack (adaptive risk).


1-10

property, and the environment. The emphasis on sustained actions to reduce long-term risk differentiates 573

mitigation from those tasks that are required to survive an emergency safely. Examples of mitigation 574

activities include: 575

• Complying with or exceeding National Flood Insurance Program floodplain management regulations 576

• Enforcing stringent building codes, flood-proofing requirements, seismic design standards, and wind-577

bracing requirements for new construction or repairing existing buildings 578

• Adopting zoning ordinances that steer development away from areas subject to flooding, storm surge, 579

or coastal erosion 580

• Retrofitting public buildings to withstand ground shaking or hurricane-strength winds 581

• Acquiring damaged homes or businesses in flood-prone areas, relocating the structures, and returning 582

the property to open space, wetlands, or recreational uses 583

• Building community shelters and tornado safe rooms to help protect people in their homes, public 584

buildings, and schools in hurricane- and tornado-prone areas. 585

2-1

2. Understanding the 586

Planning Environment: 587

Federal, State, and Local 588

Plans 589

Overview 590

Understanding the basics of planning is critical to the planner’s role. Building on that understanding, this 591

chapter explains the environment within which this planning occurs, outlines the links between different 592

levels of government, and summarizes how planning considerations shape the content of the NRF, 593

Federal plans, and state/local EOPs. 594

Relationship Between Federal Plans and State 595

Emergency Operations Plans 596

Federal plans and state EOPs describe each respective government-level approach to emergency 597

operations. Because these levels of government all provide support to emergency operations conducted at 598

the local level, there are similar and overlapping functions in their plans. 599

600

As indicated in Chapter 1, all levels of government must coordinate plans vertically to ensure a singular 601

operational focus. The goal is to ensure the effectiveness of combined Federal and state operations 602

through integration and synchronization. Key concepts for a national planning structure—integration and 603

synchronization—serve different but equally important purposes in linking Federal plans and state EOPs. 604

605

From the Federal perspective, integrated planning helps answer the question of how Federal agencies and 606

departments add the right resources at the right time to support state and local operations. From the states’ 607

perspectives, integrated planning provides answers to questions about which other organizations to work 608

with and where to obtain resources. 609

The National Incident Management System 610

NIMS provides a consistent framework for incident management, regardless of the cause, size, or 611

complexity of the incident. NIMS provides the Nation’s first responders and authorities with the same 612

foundation for incident management for all hazards. The Incident Command System (ICS) is a critical 613

component of NIMS and is used to manage all domestic incidents. 614

615


2-2

As part of the development of EOPs, institutionalizing NIMS means that government officials: 616

• Adopt NIMS through executive order, proclamation, or legislation as the jurisdiction’s official 617

incident response system 618

• Direct all incident managers and response organizations in their jurisdictions to train, exercise, and 619

use NIMS in their response operations 620

• Integrate NIMS into functional, system-wide emergency operations policies, plans, and procedures 621

• Provide ICS training for responders, supervisors, and command-level officers 622

• Conduct exercises for responders at all levels, including responders from all disciplines and 623

jurisdictions. 624

625

Depending on the jurisdiction, institutionalization means that an EOP should: 626

• Use ICS and the multiagency coordination system to manage and support all incidents, including 627

recurring and/or planned special events 628

• Integrate all response agencies and entities into a single, seamless system, from the incident command 629

post, to the department emergency operations centers (EOC) and local EOCs, to the state EOC, and to 630

regional- and national-level entities 631

• Develop and implement a public information plan 632

• Identify and characterize all resources according to established standards and types 633

• Ensure that all personnel are trained properly for the jobs they perform and the training is validated 634

• Ensure interoperability, accessibility, and redundancy of communications. 635

636

Planners should consider each of these requirements as they develop or revise their jurisdiction’s EOP. 637

The National Response Framework 638

The NRF is a guide to how the Nation conducts all-hazards incident response. The NRF states that each 639

Federal department or agency must also plan for its role in incident response. Virtually every Federal 640

department and agency possesses resources that a jurisdiction may need when responding to an incident. 641

Some Federal departments and agencies have primary responsibility for specific aspects of incident 642

response, such as HAZMAT remediation. Others may have supporting roles in providing different types 643

of resources, such as communications personnel and equipment. Regardless of their roles, all Federal 644

departments and agencies must develop policies, plans, and procedures governing how they will 645

effectively locate resources and provide them as part of a coordinated Federal response. The planning 646

considerations described for response can also guide prevention and protection planning. 647

Planning Considerations 648

The NRF identifies government responsibility to develop detailed all-hazards/all-threats EOPs. It states 649

these plans should: 650

• Define leadership roles and responsibilities and clearly articulate the decisions that need to be made, 651

who will make them, and when 652

• Include an all-hazards basic plan, as well as hazard- and threat-specific annexes 653

• Integrate and incorporate key private sector and nongovernmental elements 654

2. Understanding the Planning Environment: Federal, State, and Local Plans

2-3

• Include strategies for both no-notice and forewarned evacuations, with particular consideration given 655

to assisting children, as well as individuals with disabilities, access and functional needs, or limited 656

English proficiency. 657

State, Territorial, and Tribal Government Planning 658

State, territorial, and tribal governments have significant resources of their own, including emergency 659

management and homeland security agencies, police departments, health agencies, transportation 660

agencies, incident management teams, specialized teams, and the National Guard. The NRF states that the 661

role of a state government during emergency response is to supplement local efforts before, during, and 662

after a disaster or emergency situation. If a state anticipates that its needs may exceed its resources, the 663

Governor can request assistance from other states through MAAs (e.g., Emergency Management 664

Assistance Compact) and/or from the Federal Government. 665

Local Government Planning 666

The NRF emphasizes the concept of resilient 667

communities. Resiliency begins with prepared individuals 668

and depends on the leadership and engagement of local 669

government, civic leaders, and private sector businesses 670

and organizations. Local police, fire, emergency medical 671

services (EMS), emergency management, public health 672

and medical providers, public works, and other community 673

agencies are often the first to be notified about a threat or 674

hazard or to respond to an incident. These entities should 675

work with individuals, families, and service providers for 676

people with disabilities and others with access and 677

functional needs to enhance their awareness of risk levels 678

and specific threats, develop household emergency plans 679

that include household pets and service animals, and 680

prepare emergency supply kits. 681

Concept of Operations 682

The NRF guides governments at all levels, the private 683

sector, nongovernmental organizations, and individual 684

citizens toward a shared and effective response. Upon 685

receiving the warning that a disaster is likely to occur or 686

has occurred, elements of the NRF may be implemented in 687

a scalable and flexible way to improve response. 688

Functional Organization 689

The NRF uses 15 Emergency Support Functions (ESF) to 690

group and describe the kinds of resources and types of 691

Federal assistance available to augment state and local 692

response efforts: 693

694

Resilient Communities and Planning

Resilience, broadly defined, is the ability to

resist, absorb, recover from, or adapt to an

adverse occurrence. Engaging the community

in the planning process will improve

community resiliency by increasing the

understanding of threats and hazards,

participating in the planning process, and

communicating the expected actions for the

community to undertake during an

emergency.

At the local and state level, this entails

knowing the community and its

demographics, as well as involving both the

formal and informal community leadership

structure in the planning process. This is true

for all levels of government as each level

works to engage the issues surrounding

individuals with access and functional needs,

individuals with limited English proficiency,

children, and those with household pets and

service animals.

Engaging the private sector is a critical

element of the process. Much of the critical

infrastructure necessary to our communities is

owned and operated by the private sector.

Connecting the government and the private

sector is, therefore, a necessary part of the

planning process.


2-4

695

• ESF #1 Transportation • ESF #8 Public Health and Medical Services

• ESF #2 Communications • ESF #9 Search and Rescue

• ESF #3 Public Works and

Engineering

• ESF #10 Oil and Hazardous Materials

Response

• ESF #4 Firefighting • ESF #11 Agriculture and Natural Resources

• ESF #5 Emergency Management • ESF #12 Energy

• ESF #6 Mass Care, Emergency

Assistance, Housing, and

Human Services

• ESF #13 Public Safety and Security

• ESF #14 Long-Term Community Recovery

• ESF #7 Logistics Management and

Resource Support

• ESF #15 External Affairs.

696

Each ESF has a Federal department or agency identified as its coordinator. During response and recovery 697

operations, the coordinating agency forms and activates a team that is responsible for working with the 698

appropriate state and local officials to identify unmet resource needs. The team also coordinates the flow 699

of resources and assistance provided by the Federal Government to meet these needs. 700

Federal Emergency Plans at the National and Regional Levels 701

The NRF serves as the foundation for the development of national and regional response plans that 702

implement Federal response activities. At the national level, the Federal planning structure supports the 703

NRF. 704

705

FEMA Regions are developing plans to address potential activities and actions taken by regional offices 706

of Federal departments and agencies in support of state and local operations. They also provide the 707

necessary link between the state EOP and the NRF. Within an identified scope, each Regional plan 708

addresses one or more of the following: 709

• Specifies the responsibilities assigned to each of the tasked Federal departments and agencies for 710

mobilizing and deploying resources to assist the state(s) in response/recovery efforts 711

• Describes the relationship between the responding Federal agencies/departments and their state 712

counterparts 713

• Provides information to the states on the various response mechanisms, capabilities, and resources 714

available to them through the Federal Government 715

• Describes notification procedures and protocols for communicating with state officials; procedures 716

and systems for communication; frequency of contact; and message content 717

• Provides for Incident Management Assistance Team personnel to assist in conducting a rapid 718

situation assessment immediately prior to or after a disaster has occurred 719

• Describes coordination responsibilities of the regional liaison officer(s) and the provisions established 720

for deployment to the state EOC 721

• Provides for deployment of Incident Management Assistance Team members to the state EOC/Joint 722

Field Office (JFO) and/or staging locations or directly into the area impacted by the disaster 723

• Provides for obtaining work space in the state EOC and other locations for the initial response cadre; 724

arrangements to obtain work space for the JFO and other follow-on response teams; and a variety of 725

other activities that require extensive coordination. 726

2. Understanding the Planning Environment: Federal, State, and Local Plans

2-5

State, Territorial, and Tribal Emergency Operations Plans 727

The state/territorial/tribal EOP addresses several operational response functions and describes how to 728

fulfill its mission of providing resources to satisfy unmet needs. These functions focus on actions, such as 729

direction and control, warning, public notification, and evacuation, that the state/territorial/tribal 730

government must take during the initial phase of response operations and that fall outside of the Federal 731

response mission. Thus, they are not appropriate for inclusion in Federal response plans. 732

733

Because state/territorial/tribal governments must channel Federal assistance provided under the NRF, 734

some choose to mirror the NRF functions. There is no need to replicate the Federal ESFs exactly. Some 735

have successfully used a hybrid approach, either by giving the counterparts of Federal ESFs extra 736

responsibilities appropriate to the state/territorial/tribal level or by creating functions in addition to those 737

used by the Federal Government to address state/territorial/tribal responsibilities and concerns. The 738

important thing is for the choice of functions to fit the state/territorial/tribal government’s own concept of 739

operations, policies, governmental structure, and resource base. That fit is critical, because the EOP 740

describes what the state/territorial/tribal government will do when conducting emergency operations. The 741

EOP: 742

• Identifies the departments and agencies designated to perform response and recovery activities and 743

specifies tasks they must accomplish 744

• Outlines the assistance that is available to local jurisdictions during disasters that generate emergency 745

response and recovery needs beyond what the local jurisdiction can satisfy 746

• Specifies the direction, control, and communications procedures and systems that will be relied upon 747

to alert, notify, recall, and dispatch emergency response personnel; warn local jurisdictions; protect 748

residents and property; and request aid/support from other jurisdictions and/or the Federal 749

Government (including the role of the Governor’s Authorized Representative) 750

• Describes ways to obtain initial situation assessment information from the local jurisdiction(s) 751

directly affected by the disaster or emergency 752

• Describes how work space and communication support will be provided to the Regional Liaison 753

Officers and other Federal teams deployed to the EOC, staging areas, or the area directly impacted by 754

the disaster 755

• Designates a State Coordinating Officer to work directly with the Federal Coordinating Officer 756

• Assists the Federal Coordinating Officer in identifying candidate locations for establishing the JFO 757

• Provides coordinating instructions and provisions for implementing interstate compacts, as applicable 758

• Describes the logistical support for planned operations. 759

Local Emergency Operations Plans 760

Local EOPs should largely be consistent with state/territorial/tribal plans. The EOP addresses several 761

operational response functions and describes how to fulfill its mission of providing resources to satisfy 762

unmet needs. These functions focus on actions, such as direction and control, warning, public notification, 763

and evacuation, that the local government must take during the initial phase of response operations and 764

that fall outside of the state/territorial/tribal response mission. Thus, they are not appropriate for inclusion 765

in those response plans. Local jurisdictions should work with their state, territorial, or tribal leadership to 766

clearly delineate roles, responsibilities, and structures as required. 767

768

At a minimum the EOP describes what the local government will do when conducting emergency 769

operations. The EOP: 770


2-6

• Identifies the departments and agencies designated to perform response and recovery activities and 771

specifies tasks they must accomplish 772

• Outlines the integration of assistance that is available to local jurisdictions during disaster situations 773

that generate emergency response and recovery needs beyond what the local jurisdiction can satisfy 774

• Specifies the direction, control, and communications procedures and systems that will be relied upon 775

to alert, notify, recall, and dispatch emergency response personnel; warn the public; protect residents 776

and property; and request aid/support from other jurisdictions and/or the Federal Government 777

(including the role of the Governor’s Authorized Representative) 778

• Provides coordinating instructions and provisions for implementing MAAs, as applicable 779

• Describes the logistical support for planned operations. 780

Linking Federal, State, and Local Emergency Plans 781

A close analysis of the planning relationships described in the previous section shows that the FEMA 782

Region is the interface between the Federal and jurisdictional planning processes. The FEMA Region is 783

the place where jurisdictional needs during an incident are converted into Federal support missions until a 784

JFO is established. It is through the FEMA Region that planning for Federal operations is integrated and 785

synchronized with planning for operations shaped by the hazards and risks faced by state, territorial, 786

tribal, and local communities. 787

788

Course of action development determines jurisdictional needs during the planning process. Similarly, 789

FEMA Regions determine capability gaps, resource shortfalls, and state expectations for Federal 790

assistance through the process of gap analysis. FEMA Regions conduct these analyses by using a joint 791

planning team with multiple state representatives, individually with each state, or through some other 792

method. 793

794

To ensure a common operational concept, each Region’s plan may include an annex that summarizes the 795

CONOPS, priorities, concerns, and needs of each state within its jurisdiction. 796

797

In short, the relationships established between the FEMA Region and all Federal, state, and local partners 798

ensure effective collaboration before, during, and after emergency operations. The integrated plans 799

resulting from these relationships clarify the roles and responsibilities at all levels and result in more 800

effective operations. 801

3-1

3. Format and Function: 802

Identifying the Right Plan for 803

the Job 804

Overview 805

The first two chapters provided a foundation for planners by illustrating not only the basics of planning, 806

but also the environment in which planning occurs. Chapter 3 shifts from theory to application by 807

examining the different types of plans and how they are used to meet the requirements of a jurisdiction. 808

The Emergency Operations Plan 809

Traditionally, the focus of a jurisdiction’s operational planning effort has been the EOP. EOPs are plans 810

that define the scope of preparedness and emergency management activities necessary for that 811

jurisdiction. The EOP structures and concepts that follow provide an example for jurisdictions to use 812

when developing any plan. The EOP format works well for both conventional and complex emergency 813

operations. 814

815

Emergency management involves several kinds of plans, just as it involves several kinds of actions. 816

While many jurisdictions consider the EOP the centerpiece of their planning effort, it is not the only plan 817

that addresses emergency management functions. Other types of plans that support and supplement the 818

EOP are discussed later in this chapter. 819

820

A jurisdiction’s EOP is a document that: 821

• Assigns responsibility to organizations and individuals for carrying out specific actions that exceed 822

routine responsibility at projected times and places during an emergency 823

• Sets forth lines of authority and organizational relationships and shows how all actions will be 824

coordinated 825

• Describes how people (including unaccompanied minors, individuals with disabilities, others with 826

access and functional needs, and individuals with limited English proficiency) and property are 827

protected 828

• Identifies personnel, equipment, facilities, supplies, and other resources available within the 829

jurisdiction or by agreement with other jurisdictions 830

• Reconciles requirements with other jurisdictions. 831

832

An EOP is flexible enough for use in all emergencies. A complete EOP describes: the purpose of the plan; 833

the situation; assumptions; CONOPS; organization and assignment of responsibilities; administration and 834

logistics; plan development and maintenance; and authorities and references. 835

836


3-2

The EOP contains annexes appropriate to the jurisdiction’s organization and operations. EOPs pre-837

designate a jurisdictional lead agency and/or functional area representatives to the incident command, 838

unified command, or multiagency coordination entity whenever possible to facilitate responsive and 839

collaborative incident management. 840

841

The EOP facilitates prevention, protection, response, and short-term recovery, which sets the stage for 842

successful long-term recovery. Response actions and some post-disaster recovery issues, such as the 843

rebuilding and placement of temporary housing facilities, are time-sensitive. Advance planning makes 844

performing these tasks easier, especially in a changing environment. Jurisdictions, especially those with 845

known severe hazards and vulnerabilities, should integrate complex housing and overall recovery 846

planning with that of the EOP. 847

848

Typically, an EOP does not detail long-term recovery actions. However, the EOP should provide for a 849

transition to a long-term recovery plan, if any exists, and for a stand-down of response forces. As 850

mentioned previously, the EOP may cover some short-term recovery actions that are natural extensions of 851

response. For example, meeting human needs requires maintaining logistical support for mass care 852

actions initiated in the response phase. It could also involve the restoration of infrastructure “lifelines” 853

and the removal of debris to facilitate the response. At the state’s discretion, its disaster assistance plans 854

for distribution of Federal and state relief funds might be included as an annex to the EOP. Disaster 855

assistance plans indicate how to identify, contact, match to aid, certify, and provide support to eligible aid 856

recipients. 857

State and Local Emergency Operations Plans 858

In the Nation’s system of emergency management, the local government must act first to address the 859

public’s emergency needs. Depending on the nature and size of the emergency, Federal, state, territorial, 860

tribal, and regional (e.g., the National Capital Region) assistance may be provided to the local 861

jurisdiction. The focus of local and tribal EOPs is on the emergency measures that are essential for 862

protecting the public. At the minimum, these measures include warning, emergency public information, 863

evacuation, and shelter. 864

865

States, territories, and regional organizations play three roles: assisting local jurisdictions whose 866

capabilities must be augmented or are overwhelmed by an emergency; responding first to certain 867

emergencies; and working with the Federal Government when Federal assistance is necessary. The state 868

EOP is the framework within which local EOPs are created and through which the Federal Government 869

becomes involved. As such, the state EOP ensures that all levels of government are able to mobilize in a 870

unified way to safeguard the well-being of their citizens. The state and regional organization EOPs should 871

synchronize and integrate with local, tribal, and regional plans. 872

873

A planning team’s main concern is to include all essential information and instructions in the EOP. 874

FEMA does not mandate a particular format for EOPs. In the final analysis, an EOP’s format is 875

acceptable if users understand it, are comfortable with it, and can extract the information they need. In 876

designing a format for an all-hazards EOP, the planning team should consider the following: 877

• Organization. Do the EOP section and subsection titles help users find what they need, or must users 878

sift through information that is not relevant? Can single plan components be revised without forcing a 879

substantial rewrite of the entire EOP? 880

• Progression. In any one section of the EOP, does each element seem to follow from the previous one, 881

or are some items strikingly out of place? Can the reader grasp the rationale for the sequence and scan 882

for the information he or she needs? 883

3. Format and Function: Identifying the Right Plan for the Job

3-3

• Consistency. Does each section of the EOP use the same logical progression of elements, or must the 884

reader reorient himself or herself in each section? 885

• Adaptability. Does the EOP’s organization make its information easy to use during unanticipated 886

situations? 887

• Compatibility. Does the EOP format promote or hinder coordination with other jurisdictions, 888

including the state and/or Federal Government? Can reformatting the EOP or making a chart of the 889

coordinating relationships (i.e., a “crosswalk”) solve problems in this area? 890

• Inclusivity. Does the EOP appropriately address the needs of those with disabilities or other access 891

and functional needs, children, individuals with limited English proficiency, and household pets and 892

service animals? 893

Structuring an Emergency Operations Plan 894

While the causes of emergencies vary greatly, their potential effects do not. Jurisdictions can plan for 895

effects common to several hazards rather than develop separate plans for each hazard. For example, 896

earthquakes, floods, and hurricanes can all force people from their homes. The jurisdiction can develop a 897

plan organized around the task of finding shelter and food for individuals who have been displaced. If 898

desired, the EOP planners can make minor adjustments to reflect differences in the speed of onset, 899

duration, and intensity of the hazards. 900

901

This section outlines a variety of formats that a jurisdiction could use when developing an EOP, including 902

a functional format, an ESF format, and an agency-/department-focused format. These format options 903

come from EOPs used by jurisdictions across the Nation. They are suggestions for new planners on where 904

to begin when developing an EOP. Seasoned planners can use these formats to validate the effectiveness 905

of their EOP’s organization. 906

907

The planning team must try to identify all critical common tasks or functions that participating 908

organizations must perform, and assign responsibility for accomplishing each task or function. The 909

planning team must work with the heads of tasked organizations to ensure that they prepare SOPs/SOGs 910

detailing how they will carry out critical tasks associated with the jurisdiction’s strategy. Because the 911

jurisdiction’s goal is a coordinated and integrated response, all EOP styles should flow from a basic plan 912

that outlines the jurisdiction’s overall emergency organization and its policies. 913

914

As the planning team begins to develop a new EOP, members must discuss which format is the most 915

effective for and applicable to their jurisdiction. The jurisdiction’s style of government or the results of a 916

risk assessment may help the team decide which format to use. For example, in a sprawling metropolitan 917

county that contains several municipalities and has a complex government structure, county emergency 918

operations may assume more of a coordination and support role. Thus, an ESF approach may be optimal 919

for that county’s EOP. In contrast, a small rural community with a limited government structure and staff 920

that performs multiple duties may benefit from a function-based EOP. In short, “form follows function” 921

in the sense that operational needs should help determine the EOP format a jurisdiction uses. Generally, 922

the functional or agency/department formats are used by local jurisdictions, while the ESF format tends to 923

be used by larger jurisdictions and other levels of government. 924

925

None of these formats are mandatory to achieve NIMS compliance. The planning team may modify any 926

of these formats to make the EOP fit the jurisdiction’s emergency management strategy, policy, 927

resources, and capabilities. Note, however, that some states prescribe an EOP format for their local 928

governments. 929


3-4

Traditional Functional Format 930

The traditional functional structure is probably the most commonly used EOP format. This is the format 931

that many jurisdictions have used to develop EOPs since the 1990s, following FEMA’s Civil 932

Preparedness Guide 1-8 and State and Local Guide 101, which have been rescinded and replaced by this 933

Guide. The traditional functional format has three major sections: the basic plan, functional annexes, and 934

hazard-specific annexes (see Figure 3.1).6 935 936

937 Figure 3.1: Traditional Functional EOP Format 938

6 The term annex is used throughout this CPG to refer to functional, support, hazard/incident-specific, or other supplements to the basic plan, consistent with the NRF. Some jurisdictions’ plans may use the term appendix in the same fashion (e.g., hazard-specific appendix).


3-5

The basic plan provides an overview of the jurisdiction’s preparedness and response strategies. It 939

describes expected hazards, outlines agency roles and responsibilities, and explains how the jurisdiction 940

keeps the plan current. 941

942

The functional annexes are individual chapters that focus on missions (e.g., communications, damage 943

assessment). These annexes describe the actions, roles, and responsibilities of participating organizations. 944

Functional annexes discuss how the jurisdiction manages the function before, during, and after the 945

emergency, and they identify the agencies that implement that function. However, each functional annex 946

addresses only general strategies used for any emergency. 947

948

The hazard-, threat-, or incident-specific annexes describe the policies, situation, CONOPS, and 949

responsibilities for particular hazards, threats, or incidents. They explain the procedures that are unique to 950

that annex for a hazard type. For example, the direction and control annex may discuss how a local law 951

enforcement’s command post would coordinate its functions; this information would only be addressed in 952

a hazard-, threat-, or incident-specific annex if it would be different for particular hazards, threats, or 953

incidents. Strategies already outlined in a functional annex should not be repeated in a hazard-specific 954

annex. 955

956

The traditional format also uses a specific outline to define the elements of each annex. When the format 957

is followed, EOP users can find information in the plan more easily because the same type of information 958

is in the same location. The traditional EOP format is flexible enough to accommodate all jurisdictional 959

strategies. The planning team can add annexes to include a new function or a newly identified hazard or 960

threat. Similarly, the team can separate an operational issue (e.g., mass care) into two separate annexes 961

(e.g., sheltering and feeding, distribution of emergency supplies). 962

Emergency Support Function Format 963

The ESF format is the plan structure used in the NRF. Many state-level EOPs use this format. It begins 964

with a basic plan, includes unique annexes that support the whole plan, addresses individual ESF annexes, 965

and then attaches separate support or incident annexes (see Figure 3.2). 966


3-6

967 Figure 3.2: Emergency Support Function EOP Format 968

The basic plan provides an overview of the jurisdiction’s emergency management system. It briefly 969

explains the hazards faced, capabilities, requirements, and the jurisdiction’s emergency management 970

structure. It also reviews expected mission execution for each emergency phase and identifies the 971

agencies that have the lead for a given ESF. The basic plan then outlines the ESFs activated during an 972

emergency. 973

974


3-7

The ESF annexes identify the ESF coordinator and the primary and support agencies for each function. 975

ESFs with multiple primary agencies should designate an ESF coordinator to coordinate pre-incident 976

planning. An ESF annex describes expected mission execution for each emergency phase and identifies 977

tasks assigned to members of the ESF, including nongovernmental and private sector partners. 978

979

The support annexes describe the framework through which a jurisdiction’s departments and agencies, the 980

private sector, not-for-profit and voluntary organizations, and other nongovernmental organizations 981

coordinate and execute the common emergency management strategies. The actions described in the 982

support annexes apply to nearly every type of emergency. Each support annex identifies a coordinating 983

agency, as well as assisting and cooperating agencies. In some instances, two departments or agencies 984

share coordinating agency responsibilities. 985

986

The hazard-, threat-, or incident-specific annexes describe the policies, situation, CONOPS, and 987

responsibilities for particular hazards, threats, or incidents. Each annex should consider the following 988

components: 989

• Policies. The policy section identifies the authorities unique to the incident type, the special actions or 990

declarations that may result, and any special policies that may apply. 991

• Situation. The situation section describes the incident or hazard characteristics and the planning 992

assumptions. It also outlines the management approach for those instances when key assumptions do 993

not hold (e.g., how authorities will operate if they lose communication with senior decision makers). 994

• Concept of Operations. This section describes the flow of the emergency management strategy for 995

accomplishing a mission or set of objectives in order to reach a desired end-state. It identifies special 996

coordination structures, specialized response teams or resources needed, and other considerations 997

unique to the type of incident or hazard. 998

• Responsibilities. Each incident annex identifies the coordinating and cooperating agencies involved 999

in an incident-, hazard-, or threat-specific response. 1000

Agency-/Department-Focused Format 1001

The agency-/department-focused format addresses each department’s or agency’s tasks in a separate 1002

section. In addition to the basic plan, this format includes lead and support agency sections and hazard-1003

specific procedures for the individual agencies (see Figure 3.3). Very small communities may find this 1004

format more appropriate for their situation than the other formats previously presented. 1005


3-8

1006 Figure 3.3: Agency-/Department-Focused EOP Format 1007

Like the other EOP formats, the basic plan provides an overview of a jurisdiction’s ability to prevent, 1008

protect against, respond to, and recover from emergencies. It summarizes the basic tasks taken to prepare 1009

for a disaster and defines how the plan is developed and maintained. 1010

1011

Separate lead and support agency sections discuss the emergency functions completed by individual 1012

departments, agencies, and nongovernmental partners. Each individual agency section still needs to refer 1013

to other agency sections to ensure coordination with their respective emergency management strategies. 1014

The hazard-specific procedures section addresses the unique preparedness, response, and recovery 1015

strategies relevant to each department or agency for specific disaster types. The hazard-specific 1016

procedures can immediately follow each agency section or be attached as a separate chapter to the plan. 1017

1018

This format allows EOP users to review only those procedures specific to their agency without having to 1019

review other agencies’ response tasks. The individual sections still reference the unique relationships that 1020

need to exist with other agencies during a disaster; however, they do not contain details on the other 1021

departments’ or agencies’ strategies. If needed, the plan users can go to the other departments’ or 1022

agencies’ sections and review their procedures to understand the bigger picture. The level of detail 1023

provided in each section varies according to the needs of the specific department or agency. Agencies or 1024

departments with detailed SOPs/SOGs may not need much information in their portion of the plan, while 1025

others may need to provide more details in the EOP. 1026


3-9

Using Planning Templates 1027

Managers and planners, particularly at the local level, recognize that the planning process demands a 1028

significant commitment of time, effort, and resources. To ease this burden, many planners and 1029

jurisdictions use templates to complete their plans. Some states provide templates to their local 1030

jurisdictions. Other templates are available through hazard-specific preparedness programs or 1031

commercially from private sector vendors. 1032

1033

Planners must ensure that using those templates does not undermine the planning process. For example, 1034

“fill-in-the-blank” templates can defeat the socialization, mutual learning, and role acceptance that are so 1035

important to achieving effective planning and a successful response. The best templates are those that 1036

offer a plan format and describe the content that each section might contain, allowing for tailoring to the 1037

jurisdiction’s geographic, political, and social environment. With this in mind, planners should consider 1038

CPG 101 a template because it provides plan formats and content guidance. 1039

1040

When using a planning template, planners should consider whether: 1041

• The resulting plan represents the jurisdiction’s unique hazard and threat situation by ensuring that the 1042

underlying facts and assumptions match those applicable to the jurisdiction 1043

• The hazard and risk assessments match the jurisdiction’s demographics, infrastructure inventory, 1044

probability of hazard occurrence, etc. 1045

• The template broadly identifies the resources needed to address the problems generated by an 1046

emergency or disaster 1047

• Using the template stifles creativity and flexibility, thereby constraining the development of strategies 1048

and tactics needed to solve disaster problems 1049

• Using the templates encourages planning “in a vacuum,” by allowing a single individual to “write” 1050

the plan. 1051

1052

Regardless of the template used, planners will likely discover that the template will need to be adjusted to 1053

meet their jurisdiction’s needs. This observation does not mean that planners should not use templates or 1054

plans from other jurisdictions to help with writing style and structure. Instead, what it does mean is that 1055

planners must evaluate the usefulness of any planning tool (e.g., template, software) used as part of the 1056

planning process. 1057

Additional Types of Plans 1058

Emergency operations involve several kinds of plans, just as they involve several kinds of actions. While 1059

the EOP is often the centerpiece of emergency planning efforts, it is not the only plan that addresses 1060

emergency management or homeland security missions. There are other types of plans that support and 1061

supplement the EOP and its annexes. 1062

1063

Joint Operational Plans or Regional Coordination Plans typically involve multiple levels of 1064

government to address a specific incident or a special event. These plans should be developed in a manner 1065

consistent with this Guide and included as an annex or supplemental plan to the EOP, depending on the 1066

subject of the plan. Standing plans should be an annex to the related EOPs, while special events plans 1067

should be stand-alone supplements based on the information contained within the related EOPs. 1068

1069

Administrative plans describe basic policies and procedures to support a governmental endeavor. 1070

Typically, they deal less with external work products than with internal processes. Examples include 1071


3-10

plans for financial management, personnel management, records review, and labor relations activities. 1072

Such plans are not the direct concern of an EOP. However, planners should reference the administrative 1073

plan in the EOP if its provisions apply during an emergency. Planners should make similar references in 1074

the EOP for exceptions to normal administrative plans permitted during an emergency. 1075

1076

Preparedness plans address the process for developing and maintaining capabilities for the whole 1077

community both pre- and post-incident. Preparedness plans should address capabilities needed for 1078

prevention, protection, response, recovery, and mitigation activities. These plans include the schedule for 1079

identifying and meeting training needs based on the expectations created by the EOP; the process and 1080

schedule for developing, conducting, and evaluating exercises and correcting identified deficiencies; and 1081

plans for procuring, retrofitting, or building facilities and equipment that could withstand the effects of 1082

the hazards facing the jurisdiction. 1083

1084

Continuity plans outline essential functions that must be performed during an incident that disrupts 1085

normal operations and the methods by which these functions will be performed. They also describe the 1086

process for timely resumption of normal operations once the emergency has ended. COOP plans address 1087

the continued performance of core capabilities and critical operations during any potential incident. COG 1088

plans address the preservation and/or reconstitution of government to ensure that constitutional, 1089

legislative, and/or administrative responsibilities are maintained. 1090

1091

Recovery plans developed prior to a disaster enable jurisdictions to effectively direct recovery activities 1092

and expedite a unified recovery effort. Pre-incident planning performed in conjunction with community 1093

development planning helps to establish recovery priorities, incorporate mitigation strategies in the wake 1094

of an incident, and identify options and changes that should be considered or implemented after an 1095

incident. Post-incident community recovery planning serves to integrate the range of complex decisions in 1096

the context of the incident and works as the foundation for allocating resources. 1097

1098

Mitigation plans outline a jurisdiction’s strategy for mitigating the hazards it faces. The Disaster 1099

Mitigation Act of 2000 requires jurisdictions seeking certain disaster assistance funding to have approved 1100

mitigation plans. Mitigation planning is often a long-term effort and may be part of or tied to the 1101

jurisdiction’s strategic development plan or similar documents. Mitigation planning committees may 1102

differ from operational planning teams in that they include zoning boards, floodplain managers, and 1103

individuals with long-term cultural or economic interests. Existing plans for mitigating hazards are 1104

relevant to an EOP since both originate from a hazard-based analysis and share similar component 1105

requirements. 1106

1107

Prevention and protection plans typically tend to be more facility focused and procedural or tactical in 1108

their content. Common jurisdictional prevention and protection plans include fusion center operations 1109

plans, sector-specific or CIKR security plans, and incident-specific contingency action plans. 1110

Procedural Documents 1111

Procedural documents describe how to accomplish specific activities needed to finish a task or achieve a 1112

goal or objective. Put simply, plans describe the “what” and procedures describe the “how.” Planners 1113

should prepare procedural documents to keep the plan free of unnecessary detail. The basic criterion is: 1114

What does the audience of this part of the plan need to know or have set out as a matter of public record? 1115

Information and how-to instructions used by an individual or small group should appear in procedural 1116

documents. The plan should reference procedural documents as appropriate. 1117

1118

With regard to many responsibilities in the EOP, it is enough to assign the responsibility to an individual 1119

(by position or authority) or organization and specify the assignee’s accountability: to whom does the 1120


3-11

person report or with whom does the person coordinate? For example, a plan assigning responsibility for 1121

extinguishing fires to the fire department would not detail procedures used at the scene or specify what 1122

fire equipment is most appropriate. In this situation, the EOP would defer to the fire department’s 1123

SOPs/SOGs. However, the plan would describe the relationship between the Incident Commander and the 1124

central organization directing the jurisdictional response to the emergency, of which the fire in question 1125

may be only a part. 1126

1127

Overviews are brief concept summaries of an incident-related function, team, or capability. There are two 1128

types of overview documents. One type explains general protocols and procedures. This document serves 1129

as the bridge between all functional or hazard-specific planning annexes and procedural documentation. It 1130

could contain an EOC layout, describe activation levels, and identify which functions or sections are 1131

responsible for planning, operational, and support activities. An easy way to develop an overview 1132

document is to review the assignments and responsibilities outlined in the EOP and ensure that the 1133

overview document references the procedures developed to fulfill them. The second type of overview 1134

document is specific to a functional team or area. It describes the general responsibilities and tasks of a 1135

functional team. This overview document provides enough information to supporting personnel to aid in 1136

activities related to the function, team, or capability summarized by the document. It identifies 1137

qualifications to support the team, provides a summary of operational procedures, and defines possible 1138

missions in greater detail than is described in plan annexes. As an example, the overview document 1139

addressing transportation would describe the purpose of this function, composition of support personnel, 1140

requirements for the team or branch, and missions that might be required. It might also identify the 1141

hazards or conditions that determine when missions are assigned. A successful overview document helps 1142

orient a newly arriving member of the department or agency brought in to support a particular function, 1143

mission, or section. 1144

1145

Standard Operating Procedures (SOP)/Standard 1146

Operating Guidelines (SOG) are complete reference 1147

documents that provide the purpose, authorities, 1148

duration, and details of the preferred method for 1149

performing a single function or a number of 1150

interrelated functions in a uniform manner. 1151

SOPs/SOGs often describe processes that evolved 1152

institutionally over the years or document common 1153

practices so that institutional experience is not lost to 1154

the organization as a result of staff turnover. 1155

SOPs/SOGs are sometimes task-specific (e.g., how to activate a siren system or issue an Emergency Alert 1156

System [EAS] message). SOPs/SOGs should grow naturally out of the responsibilities identified and 1157

described in the EOP. Staff members who typically engage in emergency activities should develop the 1158

procedures found in an SOP/SOG. 1159

1160

The planning team works with the senior representatives of tasked organizations to ensure that the 1161

SOPs/SOGs needed to implement the EOP do, in fact, exist and do not conflict with the EOP or with one 1162

another. 1163

1164

Field Operations Guides (FOG) or handbooks are durable pocket or desk guides containing information 1165

required to perform specific assignments or functions. FOGs provide those individuals assigned to 1166

specific teams, branches, or functions with information about the procedures they are likely to perform or 1167

portions of an SOP/SOG appropriate for the missions they are likely to complete. The FOG is a short-1168

form version of the SOP/SOG and serves as a resource document. When combined with the overview 1169

document, it gives an accurate and complete picture of the positions these individuals fill. In addition to 1170

relevant procedures, the FOG or handbook may include administrative procedures that staff must follow. 1171

SOPs/SOGs may include checklists, call-down

rosters, resource listings, maps, and charts.

SOPs/SOGs may also describe how to notify

staff; how to obtain and use equipment,

supplies, and vehicles; how to obtain mutual aid;

how to report information to organizational work

centers and the EOC; and how to communicate

with staff members who are operating from

more than one location.


3-12

1172

Job aids are checklists or other materials that help users perform a task. Examples of job aids include 1173

telephone rosters, report templates, software or machine operating instructions, and task lists. Job aids are 1174

often included to help relatively inexperienced EOC personnel complete their assigned tasks or as a 1175

reference for experienced personnel. Job aids may also reduce complexity or the opportunity for error in 1176

executing a task (e.g., providing a lookup chart of temperature conversions rather than providing a 1177

formula for doing the conversion). These job aids do not eliminate the need for training, but may serve to 1178

address gaps in training during an incident. 1179

Emergency Operations Plan Content 1180

The Basic Plan 1181

The basic plan provides an overview of the jurisdiction’s approach to emergency operations. It identifies 1182

emergency response policies, describes the response organization, and assigns tasks. Although the basic 1183

plan guides the development of the more operationally-oriented annexes, its primary audience consists of 1184

the jurisdiction’s senior official, his or her staff, agency heads, and the community (as appropriate). The 1185

elements listed in this section should meet the needs of this audience while providing a solid foundation 1186

for the development of supporting annexes. 1187

Introductory Material 1188

Certain items that enhance accountability and ease of use should preface an EOP. Typical introductory 1189

material includes the following components: 1190

• Cover Page. The cover page has the title of the plan. It should include a date and identify the 1191

jurisdiction(s) covered by the plan. 1192

• Promulgation Document. Promulgation is the process that officially announces/declares a plan (or 1193

law). The promulgation document gives the plan official status. It gives both the authority and the 1194

responsibility to organizations to perform their tasks. It should also mention the responsibilities of 1195

tasked organizations with regard to preparing and maintaining their own procedures/guidelines and 1196

commit those organizations to carrying out the training, exercises, and plan maintenance needed to 1197

support the plan. In addition, the promulgation document allows senior officials to affirm their 1198

support for emergency management. 1199

• Approval and Implementation Page. The approval and implementation page introduces the plan, 1200

outlines its applicability, and indicates that it supersedes all previous plans. It should include a 1201

delegation of authority for specific modifications that can be made to the plan and by whom they can 1202

be made without the senior official’s signature. It should also include a date and should be signed by 1203

the senior official(s) (e.g., governor, tribal leader[s], mayor, county judge, commissioner[s]). 1204

• Record of Changes. Each update or change to the plan should be tracked. The record of changes, 1205

usually in table format, contains, at a minimum, a change number, the date of the change, the name of 1206

the person who made the change, and a summary of the change. Other relevant information could be 1207

considered. 1208

• Record of Distribution. The record of distribution, usually in table format, indicates the title and the 1209

name of the person receiving the plan, the agency to which the recipient belongs, the date of delivery, 1210

and the number of copies delivered. Other relevant information could be considered. The record of 1211

distribution can be used to prove that tasked individuals and organizations have acknowledged their 1212

receipt, review, and/or acceptance of the plan. Copies of the plan can be made available to the public 1213

and media without SOPs/SOGs, call-down lists, or other sensitive information. 1214


3-13

• Table of Contents. The table of contents should be a logically ordered and clearly identified layout of 1215

the major sections and subsections of the plan that will make finding information within the plan 1216

easier. 1217

Purpose, Scope, Situation Overview, and Planning Assumptions 1218

The purpose, scope, situation overview, and planning assumptions section includes the following 1219

components: 1220

• Purpose. The purpose sets the foundation for the rest of the EOP. The basic plan’s purpose is a 1221

general statement of what the EOP is meant to do. The statement should be supported by a brief 1222

synopsis of the basic plan and annexes. 1223

• Scope. The EOP should also explicitly state the scope of emergency and disaster response and the 1224

entities (e.g., departments, agencies, private sector, citizens) and geographic areas to which the plan 1225

applies. 1226

• Situation Overview. The situation section characterizes the “planning environment,” making it clear 1227

why an EOP is necessary. The level of detail is a matter of judgment; some information may be 1228

limited to a few specific annexes and presented there. At a minimum, the situation section should 1229

summarize hazards faced by the jurisdiction and discuss how the jurisdiction expects to receive (or 1230

provide) assistance within its regional response structures. The situation section covers a general 1231

discussion of: 1232

– Relative probability and impact of the hazards 1233

– Geographic areas likely to be affected by particular hazards 1234

– Vulnerable critical facilities (e.g., nursing homes, schools, hospitals, infrastructure) 1235

– Population distribution and locations, including any concentrated populations of individuals with 1236

disabilities, others with access and functional needs, or individuals with limited English 1237

proficiency, as well as unaccompanied minors and children in daycare and school settings 1238

– Dependencies on other jurisdictions for critical resources 1239

– The process used by the jurisdiction to determine its capabilities and limits in order to prepare for 1240

and respond to the defined hazards 1241

– The actions taken in advance to minimize an incident’s impacts, including short- and long-term 1242

strategies. 1243

• Planning Assumptions. These identify what the planning team assumes to be facts for planning 1244

purposes in order to make it possible to execute the EOP. During operations, the assumptions indicate 1245

areas where adjustments to the plan have to be made as the facts of the incident become known. 1246

These also provide the opportunity to communicate the intent of senior officials regarding emergency 1247

operations priorities. 1248

Concept of Operations (CONOPS) 1249

The audience for the basic plan needs to be able to visualize the sequence and scope of the planned 1250

emergency response. The CONOPS section is a written or graphic statement that explains in broad terms 1251

the decision maker’s or leader’s intent with regard to an operation. The CONOPS should describe how 1252

the response organization accomplishes a mission or set of objectives in order to reach a desired end-state. 1253

Ideally, it offers clear methodology to realize the goals and objectives to execute the plan. This may 1254

include a brief discussion of the activation levels identified by the jurisdiction for its operations center. 1255

The CONOPS should briefly address direction and control, alert and warning, and continuity matters that 1256

may be dealt with more fully in annexes. 1257


3-14

Organization and Assignment of Responsibilities 1258

The basic plan establishes the operational organization that will be relied on to respond to an emergency 1259

situation. It includes a list of the kinds of tasks to be performed, by position and organization, without all 1260

of the procedural details included in functional annexes. When two or more organizations perform the 1261

same kind of task, one should be given primary responsibility, with the other(s) providing a supporting 1262

role. For the sake of clarity, a matrix of organizations and areas of responsibility (including functions) 1263

should be included to summarize the primary and supporting roles. Shared general responsibilities, such 1264

as developing SOPs/SOGs, should not be neglected, and the matrix might include organizations not under 1265

jurisdictional control, if they have defined responsibilities for responding to emergencies that might occur 1266

in the jurisdiction. Organization charts, especially those depicting how a jurisdiction is implementing the 1267

ICS or Multiagency Coordination System structure, are helpful. This section should also outline agency 1268

and departmental roles related to prevention and protection activities. 1269

1270

In addition, this section is where a jurisdiction discusses the option that it uses for organizing emergency 1271

management—ESF, agency and department, functional areas of ICS/NIMS, or a hybrid. The selected 1272

management structure determines what types of annexes are included in the EOP and should be carried 1273

through to any hazard annexes. 1274

Direction, Control, and Coordination 1275

This section describes the framework for all direction, control, and coordination activities. It identifies 1276

who has tactical and operational control of response assets. Additionally, Direction, Control, and 1277

Coordination explains how multijurisdictional coordination systems support the efforts of organizations to 1278

coordinate efforts across jurisdictions while allowing each jurisdiction to retain its own authorities. This 1279

section also provides information on how department and agency plans nest into the EOP (horizontal 1280

integration) and how higher-level plans are expected to layer on the EOP (vertical integration). 1281

Information Collection, Analysis, and Dissemination 1282

This section describes the critical or essential information common to all operations identified during the 1283

planning process. It identifies the type of information needed, the source of the information, who uses the 1284

information, how the information is shared, the format for providing the information, and any specific 1285

times the information is needed. State and local prevention and protection assets must develop the 1286

Information Collection, Analysis, and Dissemination section in close cooperation with each other. The 1287

contents of this section are best provided in a tabular format. This section may be expanded as an annex. 1288

Communications 1289

This section describes the communication protocols and coordination procedures used between response 1290

organizations during emergencies and disasters. It discusses the framework for delivering 1291

communications support and how the jurisdiction’s communications integrate into the regional or national 1292

disaster communications network. It does not describe communications hardware or specific procedures 1293

found in departmental SOPs/SOGs. Planners should identify and summarize separate interoperable 1294

communications plans. This section may be expanded as an annex and is usually supplemented by 1295

communications SOPs/SOGs and field guides. 1296

Administration, Finance, and Logistics 1297

This section covers general support requirements and the availability of services and support for all types 1298

of emergencies, as well as general policies for managing resources. Planners should address the following 1299

in this section of the plan: 1300

• References to intrastate and interstate MAAs, including the Emergency Management Assistance 1301

Compact 1302


3-15

• Authorities for and policies on augmenting staff by reassigning public employees and soliciting 1303

volunteers, along with relevant liability provisions 1304

• General policies on keeping financial records, reporting, tracking resource needs, tracking the source 1305

and use of resources, acquiring ownership of resources, and compensating the owners of private 1306

property used by the jurisdiction. 1307

1308

If this section is expanded, it should be broken into individual functional annexes—one for each element. 1309

Plan Development and Maintenance 1310

This section discusses the overall approach to planning and the assignment of plan development and 1311

maintenance responsibilities. This section should: 1312

• Describe the planning process, participants in that process, and how development and revision of 1313

different “levels” of the EOP (basic plan, annexes, and SOPs/SOGs) are coordinated during the 1314

preparedness phase 1315

• Assign responsibility for the overall planning and coordination to a specific position 1316

• Provide for a regular cycle of training, evaluating, reviewing, and updating of the EOP. 1317

Authorities and References 1318

This section provides the legal basis for emergency operations and activities. This section of the plan 1319

includes: 1320

• Lists of laws, statutes, ordinances, executive orders, regulations, and formal agreements relevant to 1321

emergencies (e.g., MAAs) 1322

• Specification of the extent and limits of the emergency authorities granted to the senior official, 1323

including the conditions under which these authorities become effective and when they would be 1324

terminated 1325

• Pre-delegation of emergency authorities (i.e., enabling measures sufficient to ensure that specific 1326

emergency-related authorities can be exercised by the elected or appointed leadership or their 1327

designated successors) 1328

• Provisions for COOP and COG (e.g., the succession of decision-making authority and operational 1329

control) to ensure that critical emergency functions can be performed. 1330

Supporting Annexes 1331

What follows is a discussion of the purpose and potential content of supporting annexes to the basic plan. 1332

For consistency, the recommended structure for all annexes is the same as that of the basic plan. 1333

Functional, Support, Emergency Phase, or Agency-Focused Annex Content 1334

Functional, support, emergency phase, or agency-focused annexes add specific information and direction 1335

to the EOP. These annexes are variations of functional annexes tailored to the EOP format used by the 1336

jurisdiction. They focus on critical operational functions and who is responsible for carrying them out. 1337

These annexes clearly describe the policies, processes, roles, and responsibilities that agencies and 1338

departments carry out before, during, and after any emergency. While the basic plan provides broad, 1339

overarching information relevant to the EOP as a whole, these annexes focus on specific responsibilities, 1340

tasks, and operational actions that pertain to the performance of a particular emergency operations 1341

function. These annexes also establish preparedness targets (e.g., training, exercises, equipment checks 1342


3-16

and maintenance) that facilitate achieving function-1343

related goals and objectives during emergencies and 1344

disasters. 1345

1346

An early and very important planning task is to identify 1347

the functions that are critical to successful emergency 1348

response. These core functions become the subjects of 1349

the separate functional, support, emergency phase, or 1350

agency-focused annexes. The constitutional and 1351

organizational structures of a jurisdiction’s government, 1352

the capabilities of its emergency services agencies, and 1353

established policy and intended outcome of emergency 1354

operations influence the choice of core functions. While 1355

no single list of functions applies to all jurisdictions, the 1356

following list of core functions warrants special 1357

attention because they may require specific actions 1358

during emergency response operations: 1359

• Direction, control, and coordination 1360

• Information collection, analysis, and dissemination 1361

• Communications 1362

• Population warning 1363

• Emergency public information 1364

• Public protection 1365

• Mass care and emergency assistance 1366

• Health and medical services 1367

• Resource management. 1368

1369

This list of core functions is not comprehensive. Each jurisdiction must assess its own needs, and 1370

additional or different annexes from those identified in Appendix C should be prepared at the planning 1371

team’s discretion. States should encourage their jurisdictions to use a consistent set of core emergency 1372

functions to facilitate coordination and interoperability. 1373

1374

Some jurisdictions may want to modify their functional annex structure to use the 15 ESFs identified in 1375

the NRF. Some communities that have adopted the ESF approach have also added additional ESFs to 1376

meet local needs. The ESF structure facilitates the orderly flow of local requests for governmental support 1377

to the state and Federal levels and the provision of resources back down to local government during an 1378

emergency. State and local jurisdictions that choose not to adopt the ESF structure should cross-reference 1379

their functional annexes with the ESFs. 1380

1381

Table 3.1 shows some possible relationships between the traditional emergency management core 1382

functions, the department/agency, and ESF structures. 1383

1384

Planners should ensure that specific concerns

of population segments, such as children and

individuals with access and functional needs,

are addressed in specific functional, support,

emergency phase, or agency-focused annexes.

For example:

▪ Incorporating specific sheltering

considerations for individuals with access

and functional needs

▪ Incorporating means and methods by which

transportation requests from schools are

received and processed

▪ Incorporating mechanisms for

disseminating accessible emergency public

information using multiple methods to reach

individuals with sensory and cognitive

disabilities, as well as individuals with

limited English proficiency


3-17

Table 3.1: Comparison of Potential Functional Annex Structures 1385

Emergency Management Functions

Departments and Agencies ESFs

Direction, Control, Coordination All Departments and Agencies All ESFs

Information Collection, Analysis, and Dissemination

All Departments and Agencies All ESFs

Communications All Departments and Agencies ESF #2 – Communications

Population Warning Emergency Management, Fire, Law Enforcement, Public Safety, Public Works, Schools

ESF #2 – Communications

ESF #3 – Public Works and Engineering

ESF #4 – Firefighting

ESF #5 – Emergency Management

ESF #13 – Public Safety and Security

ESF #15 – External Affairs

Emergency Public Information All Departments and Agencies All ESFs

Public Protection

Agriculture, Emergency Management, Environment, Fire, Law Enforcement, Public Safety, Public Works, Roads, Schools, Transportation

ESF #1 – Transportation




ESF #9 – Search and Rescue

ESF #10 – Oil and Hazardous Materials Response

ESF #11 – Agriculture and Natural Resources


Mass Care/Emergency Assistance

Aging, Agriculture, Animal Control, Community/Faith-Based Organizations, Corrections, Disabilities Groups, Emergency Management, Family Services, Housing, Labor, Independent Living Centers, Schools, Social Services, State Animal Rescue Teams, Veterinarians, Voluntary Organizations, Volunteers




ESF #6 – Mass Care, Emergency Assistance, Housing, and Human Services



Health and Medical Services

Emergency Management, EMS, Health, Hospitals, Nursing Homes, Assisted Living, Volunteers





ESF #8 – Public Health and Medical Services


3-18

Emergency Management Functions

Departments and Agencies ESFs

Resource Management

Agriculture, Budget and Management, Economic Development, Emergency Management, Energy, Human Resources, Labor, Public Services, Purchasing



ESF #7 – Logistics Management and Resource Support


ESF #12 – Energy

ESF #14 – Long-Term Community Recovery

Hazard-, Threat-, or Incident-Specific Annexes 1386

The contents of hazard-, threat-, or incident-specific annexes focus on the special planning needs 1387

generated by the subject hazard. These annexes contain unique and regulatory response details that apply 1388

to a single hazard. Depending upon the EOP’s structure, hazard-specific information may be included in 1389

functional annexes rather than stand-alone hazard-specific annexes. 1390

1391

Hazard- or incident-specific annexes usually identify hazard-specific risk areas and evacuation routes, 1392

specify provisions and protocols for warning the public and disseminating emergency public information, 1393

and specify the types of protective equipment and detection devices for responders. The annexes have 1394

tabs that serve as work aids for items including maps, charts, tables, checklists, resource inventories, and 1395

summaries of critical information. As indicated previously, hazard-specific annexes follow the basic 1396

plan’s content organization. Hazard-specific operations information is typically provided in the CONOPS 1397

section, and includes: 1398

• Assessment and control of the hazard 1399

• Identification of unique prevention and CIKR protection activities to be undertaken to address the 1400

hazard or threat, as appropriate 1401

• Selection of protective actions 1402

• Conduct of public warning 1403

• Implementation of protective actions 1404

• Implementation of short-term stabilization actions 1405

• Implementation of recovery actions. 1406

Annex Implementing Instructions 1407

Each annex, as well as the basic plan, may use implementing instructions in the form of SOPs/SOGs, 1408

maps, charts, tables, forms, and checklists and may be included as attachments or references. The EOP 1409

planning team may use supporting documents, as needed, to clarify the contents of the plan or annex. For 1410

example, the evacuation annex may be made clearer by attaching maps marked with evacuation routes to 1411

it. Because these routes may change depending on the location of the hazard, hazard-specific maps may 1412

also be included in the evacuation annex. Similarly, the locations of shelters may be marked on maps 1413

supporting the mass care annex. 1414


3-19

Special Preparedness Programs 1415

Some jurisdictions participate in special preparedness programs that publish their own planning guidance. 1416

Two examples are the Chemical Stockpile Emergency Preparedness Program and the Radiological 1417

Emergency Preparedness Program. When participating jurisdictions are developing an EOP, they must 1418

ensure that they meet the special planning requirements of these programs. Jurisdictions must decide 1419

whether this compliance is best accomplished by incorporating the requirements across functional 1420

annexes or by developing a hazard-specific annex for the program. 1421


3-20

1422


4-1

4. The Planning Process 1424

Overview 1425

This chapter merges information from the first three chapters and describes an approach for operational 1426

planning that is consistent with processes already familiar to most planners. When the planning process is 1427

used consistently during the preparedness phase, its use during operations becomes second nature. The 1428

goal is to make the planning process routine across all phases of emergency management and for all 1429

homeland security mission areas. 1430

1431

The process described in this chapter blends concepts from a variety of sources. It applies at all levels of 1432

government and allows private and nongovernmental organizations to integrate with government planning 1433

efforts. Although individual planners can use this process, it is most effective when used by a planning 1434

team. 1435

Steps in the Planning Process 1436

There are many ways to produce an EOP. The planning process that follows is flexible and allows 1437

communities to adapt it to varying characteristics and situations. While not ideal, if time is a constraint, 1438

steps can be minimized or skipped in order to accelerate the process. Small communities can follow just 1439

the steps that are appropriate to their size, known risks, and available planning resources. Figure 4.1 1440

depicts steps in the planning process. At each step in the planning process, jurisdictions should consider 1441

the impact of the decisions made on training, exercises, equipment, and other requirements. 1442

1443

1444 Figure 4.1: Steps in the Planning Process 1445


4-2

Step 1: Form a Collaborative Planning Team 1446

Experience and lessons learned indicate that operational 1447

planning is best performed by a team. Using a team or group 1448

approach helps organizations define the role they will play 1449

during an operation. Case studies and research reinforce this 1450

concept by pointing out that the common thread found in 1451

successful operations is that participating organizations have 1452

understood and accepted their roles. In addition, members of 1453

the planning team should be able to understand and accept 1454

the roles of other departments and agencies. One goal of 1455

using a planning team is to build and expand relationships 1456

that help bring creativity and innovation to planning during 1457

an incident. This approach helps establish a planning routine, 1458

so that processes followed before an incident occurs are the 1459

same as those used during and following an incident. 1460

1461

A community benefits from the active participation of all 1462

stakeholders. Some tips for gathering the team together 1463

include the following: 1464

• Plan ahead. The planning team should receive plenty of 1465

notice about where and when the planning meeting will 1466

be held. If time permits, ask the team members to 1467

identify the time(s) and place(s) that will work for the 1468

group. 1469

• Provide information about team expectations. Planners 1470

should explain why participating on the planning team is 1471

important to the participants’ agencies and to the 1472

community itself, showing the participants how their 1473

contributions will lead to more effective operations. In 1474

addition, budget and other project management concerns 1475

should be outlined early in the process. 1476

• Ask the senior elected or appointed official or designee 1477

to sign the meeting announcement. A directive from the 1478

executive office carries the authority of the senior official 1479

and sends a clear signal that the participants are expected 1480

to attend and that operational planning is important to the 1481

community. 1482

• Allow flexibility in scheduling after the first meeting. 1483

Not all team members will need to attend all meetings. In 1484

some cases, task forces or subcommittees can complete 1485

the work. When the planning team chooses to use this 1486

option, it should provide project guidance (e.g., time 1487

frames, milestones) but let the subcommittee members 1488

determine when it is most convenient to meet. 1489

• Consider using external facilitators. Third-party 1490

facilitators can perform a vital function by keeping the 1491

process focused and mediating disagreements. 1492

Case Study: A Small Community

Planning Team

A small community took the following

approach to forming its planning team:

Who was involved in the core planning

team?

The core planning team was composed of

any department or office that was likely to

be involved in most, if not all, responses.

The five to seven most central people in

this community were: the Fire and Police

Chiefs, the Emergency Manager and the

Planner, and the Head of Public Works.

What did they do?

▪ Studied the composition of the

population within the community

▪ Provided information to create a

complete draft plan

▪ Answered questions about the

community for the draft plan

▪ Provided additional commentary on

roles and responsibilities

▪ Gave information about the

community’s standard operations

▪ Clarified command structures

▪ Provided information about resources,

capabilities, threats, and risks

▪ Gave writers information for integration

Who participated in the expanded

planning team?

The expanded planning team included

responders and stakeholders who might

become involved in a major incident. In this

case, the community used a 10- to 20-

member group that included emergency

managers from surrounding communities,

business leaders, secondary responders,

representatives from industry, community

leaders (including leaders from the

disability community), and community

contractors.

What did they do?

▪ Reviewed the full plan

▪ Provided insights and

recommendations for improvement

▪ Integrated additional perspectives

▪ Agreed to provide additional support

4. The Planning Process

4-3

1493

The key to planning in a group setting is to allow open and frank discussion during the process. 1494

Interaction among planners can help elicit a common operational understanding. Individual group 1495

members must be encouraged to express objections or doubts. If a planner disagrees with a proposed 1496

solution, that planner must also identify what needs to be fixed. 1497

Identify Core Planning Team 1498

In most jurisdictions, the emergency manager or homeland security manager is the senior official’s policy 1499

advisor for prevention, protection, response, recovery, and mitigation strategies, as well as overall 1500

preparedness. The emergency manager or homeland security manager may also be the prevention and 1501

protection advisor, if that role is not given to a law enforcement official or other designated advisor. In 1502

these roles, emergency managers or homeland security managers are often responsible for coordinating 1503

and developing an EOP, filling the role of lead planner. This means that the emergency manager provides 1504

oversight to a jurisdiction’s planning team. However, other government agencies or departments may 1505

have statutory authority and responsibility that overlaps or complements this responsibility. For example, 1506

law enforcement often has the lead in addressing prevention and protection, while public health addresses 1507

unique epidemiological issues. 1508

1509

It is important to include a hazard mitigation expert on the planning team. Mitigation planners are a 1510

valuable resource for information concerning hazard analysis, functional vulnerabilities, critical facilities, 1511

and funding availability. Including mitigation promotes continuity throughout emergency planning and 1512

helps reduce the number of physical constraints by leveraging resources to address anticipated operational 1513

requirements. 1514

1515

Increasingly, emergency management agencies are hiring permanent staff and/or contracting subject 1516

matter experts to provide expertise on disability, access and functional needs, children, and household 1517

pets and service animals for the emergency planning process. These experts provide critical perspectives 1518

and information to ensure individuals with disabilities, others with access and functional needs, and 1519

individuals with limited English proficiency are fully integrated into EOPs. These experts can also help 1520

ensure compliance with anti-discrimination laws. 1521

1522

The planner must ensure that operational planning involves the 1523

jurisdiction’s entire emergency management and homeland 1524

security team. Initially, the team should be small, consisting of 1525

planners from the organizations that usually participate in 1526

emergency or homeland security operations. They form the core 1527

for all planning efforts. As an EOP matures, the core team 1528

expands to include other planners. 1529

1530

Jurisdictions that use an agency and department operational 1531

structure might use a core team consisting of planners from the 1532

following: 1533

• Emergency management 1534

• Law enforcement 1535

• Fire services 1536

• EMS 1537

• Public health 1538

Even at this early stage, planners

should begin thinking about the impact

of who is involved in the planning

process, as it will have a major impact

on preparedness and operational

requirements.

For example, if there is no hazardous

materials response capability in a

jurisdiction, planners will need to

consider how to obtain that capability

(through agreements) or develop that

capability (through equipment,

training, licensing, etc.).

Conversely, failure to include groups

in planning (such as advocates for

those with access or functional needs)

will lead to mistakes and/or shortfalls

in capability and resource

requirements.


4-4

• Hospitals and health care facilities 1539

• Public works 1540

• Utility operators 1541

• Education 1542

• Agriculture 1543

• Animal control 1544

• Social services 1545

• Childcare, child welfare, and juvenile justice facilities (including courts) 1546

• National Guard 1547

• Private sector 1548

• Civic, social, faith-based, educational, professional, and advocacy organizations (e.g., those that 1549

address disability and access and functional needs issues, children’s issues, immigrant and 1550

racial/ethnic community concerns, animal welfare, and service animals). 1551

1552

A jurisdiction might want to base the core planning team’s membership on the EOP structure it uses. For 1553

example, jurisdictions using an ESF structure might form a core team composed of planners from the lead 1554

agencies or departments for ESF #4 (Fire), ESF #5 (Emergency Management), ESF #6 (Mass Care), 1555

ESF #8 (Public Health and Medical Services), and ESF #13 (Public Safety). Note that these ESF titles are 1556

examples. While the Federal naming convention is preferred for consistency, a jurisdiction should use its 1557

local ESF naming convention in its plans. 1558

1559

Regardless of the core planning team structure, the involvement of executives from the member agencies, 1560

departments, or CIKR organizations (where appropriate) is critical. They are able to speak with authority 1561

on policy, provide subject matter expertise, and provide accountability as it relates to their agency or 1562

department. 1563

Engaging the Whole Community in Planning 1564

Engaging in community-based planning—planning that is for the whole community and involves the 1565

whole community—is crucial to the success of any plan. Determining how to effectively engage the 1566

community in this planning process is one of the biggest challenges faced by planners. This challenge 1567

may be built on misperceptions about a community’s interest in participating in the process, security 1568

concerns about involving those outside government, or a failure to jointly and adequately define the role 1569

of the community in the planning process. Community leaders have a keen understanding about their 1570

community’s needs and capabilities and are a valuable stakeholder that can support the planning process 1571

in many ways. Community-based planning should also include notifying affected, protected groups of 1572

opportunities to participate in planning activities and making such activities accessible to the entire 1573

community (e.g., use of interpreters and translated announcements). 1574

1575

Communities may or may not be geographically constrained. Geographic communities are generally the 1576

basis for emergency management agencies and are constructed around political boundaries. The 1577

geographic community includes a number of communities of interest. These communities of interest are 1578

not necessarily confined to the borders of a jurisdiction and may center on physical, social, cultural, or 1579

philosophical structures. Examples include: 1580

• Civic, social, faith-based, educational, professional, and advocacy organizations 1581


4-5

• Immigrant and limited English proficiency constituencies 1582

• Voluntary organizations 1583

• Private service providers 1584

• Critical infrastructure operators 1585

• Local and regional corporations. 1586

1587

The private sector is a critical component in community 1588

engagement. Not only are they often the primary providers of 1589

critical services to the public, they also possess knowledge and 1590

resources to supplement and enhance preparedness, response, and 1591

recovery efforts. Often, private sector and government missions 1592

overlap—early coordination ensures effective sharing of 1593

information and resources and facilitates the establishment of 1594

common goals and objectives. 1595

1596

Private sector engagement presents unique challenges. The private 1597

sector plays a critical role in any disaster, and it is important to 1598

ensure they are active participants in the process, including 1599

involvement in jurisdictional training and exercise programs. An 1600

effective outreach program is critical in developing these 1601

partnerships. 1602

1603

Disasters begin and end locally. After the response is over, it is the 1604

local community that lives with the decisions made during the 1605

incident. Therefore, communities should have a say in how a 1606

disaster response occurs. They should also shoulder responsibility 1607

for building their community’s resilience and enhancing its 1608

recovery before, during, and after a disaster. The community may 1609

have capabilities and resources that do not exist in the volume 1610

needed or at all within the traditional government response structure. 1611

1612

There are many ways to leverage the community’s capabilities and knowledge in the preparedness 1613

process. Although often viewed as a challenge, engaging the community can be successfully 1614

accomplished when approached correctly. 1615

1616

The foundation for community-based planning is knowing the community (see Figure 4.2). A keen 1617

understanding of the actual population and its needs will have a profound effect on the success or failure 1618

of any plan. Understanding the requirements of those with access and functional needs affects mass care 1619

courses of action and the resulting plans. Additionally, the number of children in the community will 1620

affect the ways in which schools are used as a resource, in turn defining some of the requirements for 1621

reunification planning. Engaging the community will increase the likelihood that people follow protective 1622

action measures during a crisis because they understand how plans address household pets or service 1623

animals. Likewise, taking into account the perceptions and fears of some populations, such as 1624

undocumented immigrants, may increase the plan’s effectiveness. 1625

Case Studies: Private Sector

Partnerships

Arlington County, Virginia has

developed the “Safer Arlington

Partnership,” a program engaging

non-profit, private sector, and public

sector organizations in which

members work together to enhance

the level of preparedness in the

County. The program’s mission is

achieved through four task forces:

Training and Exercises, Information

and Tools, Resource Inventory and

Management, and Education and

Outreach. More information regarding

this initiative can be found at

http://www.fema.gov/pdf/privatesector/

safer_arlington_partnership.pdf.

Several large metropolitan areas have

also integrated the private sector into

their catastrophic planning activities,

including Honolulu (pandemic

planning), Los Angeles/ Long Beach

(disaster housing), National Capital

Region (evacuation and contra-flow),

New York/New Jersey (infrastructure

protection, disaster housing), Norfolk

(commodities and resource

management), and Seattle

(evacuation and sheltering).


4-6

1626 Figure 4.2: Community Engagement in Planning 1627

1628

Finally, it is critical to include civic leaders, members of the public, and representatives of community-1629

based organizations in the planning process. They may serve as an important resource for validating 1630

assumptions about public needs, capabilities, and reactions. Because many planning assumptions and 1631

response activities will directly impact the public at large, involving the whole community during the 1632

planning phase is essential. This involvement should continue during validation and implementation. 1633

Potential roles include support to planning teams, public outreach, and establishing Community 1634

Emergency Response Teams (CERT). Planners can obtain assistance for including the whole community 1635

in the planning process from state or local Citizen Corps Councils, as well as the Local Emergency 1636

Planning Committee (LEPC). Pre-established partnerships and relationships are important for leveraging 1637

subject matter expertise and resources during a disaster. 1638


4-7

Step 2: Understand the Situation 1639

Effective risk management depends on a consistent comparison of the hazards a particular jurisdiction 1640

faces. This is typically performed through a threat/hazard identification and risk assessment process that 1641

collects information about threats and hazards and assigns values to risk for the purposes of determining 1642

priorities, developing or comparing courses of action, and informing decision making. Depending on the 1643

resources available and leadership, a jurisdiction could conduct an in-depth process—cataloging 1644

everything from specific asset vulnerabilities to emergency personnel staffing levels. Often, however, this 1645

level of analysis is not possible or practical; in such cases, jurisdictions should conduct a risk assessment 1646

of achievable and appropriate scale and scope. 1647

Identify Threats and Hazards 1648

Planners should start the problem-solving process by conducting research and analysis on the 1649

jurisdiction’s threats and hazards. Considering the potential risks a jurisdiction may face brings specificity 1650

to the planning process. If risks are problems and operational plans are the solution, then hazard and 1651

threat identification and analysis are key steps in the planning process. 1652

1653

The first step of research focuses on gathering information about the jurisdiction’s planning framework, 1654

potential risks, resource base, demographics, household pet and service animal population, and 1655

geographic characteristics that could affect emergency operations. There are many existing resources 1656

available to support planners in this step. 1657

1658

Threat assessments prepared for or by agencies may provide information on potential “soft targets” and 1659

threats within the jurisdiction. In addition, jurisdictions’ hazard mitigation plans are an excellent resource 1660

for this step, as they are required to identify, catalog, and analyze all natural hazards that have the ability 1661

to impact the specified community. Jurisdictions should take additional steps to include human-caused 1662

and technological hazards. 1663

1664

Federal and state analyses that include data about historical incidents faced by the community also 1665

provide valuable information for this step. In addition, local organizations (e.g., the local chapter of the 1666

American Red Cross), utilities, other businesses, and members of the planning team can provide records 1667

about their experiences. 1668

1669

As an additional source, planning teams can use state and local fusion centers to provide analytical 1670

products, such as risk and trend analyses, that are derived from the systematic collection and evaluation of 1671

threat information. Fusion centers also provide access to national-level intelligence and can serve as a 1672

mechanism to “deconflict” information. 1673

1674

Sources for expertise on hazard or threat potential include jurisdictional agencies; academic, industrial, 1675

and public interest group researchers; private consultants specializing in hazard or threat analysis; and 1676

professional associations concerned with the hazards or threats on a planner’s list. Sources of information 1677

on the community and possible consequences from risks vary. To determine the potential consequences of 1678

certain facility-based hazards, planners might check with the facility owner/operator or the agency 1679

(Federal, state, territorial, tribal, local, or regional) that regulates that kind of facility. The LEPC may be 1680

able to assist with this information. For demographics, census data are available, as are off-the-shelf 1681

computer products that organize such data by zip code. Knowing the number and type of household pets 1682

and service animals the jurisdiction may need to accommodate during an emergency situation will also 1683

guide preparedness activities. Sources of such data include market statistics, household pet licensing 1684

databases, and rabies vaccination records. 1685

1686


4-8

The planning team should also make extensive use of the existing information about the jurisdiction. For 1687

example, the local planning and zoning commission or department may have extensive demographic, land 1688

use, building stock, and similar data. Building inspection offices maintain data on the structural integrity 1689

of buildings, codes in effect at time of construction, and the hazard effects that a code addresses. Local 1690

public works (or civil engineering) departments and utilities are sources for information on potential 1691

damage to and restoration time for the critical infrastructures threatened by hazard effects. The chamber 1692

of commerce may offer a perspective on damage to businesses and general economic loss. Other sources 1693

of information mentioned previously—emergency service logs and reports, universities, professional 1694

associations, etc.—also apply. 1695

1696

Understanding the consequences of a potential incident requires gathering information about the potential 1697

access and functional needs of residents within the community. To begin planning, jurisdictions must 1698

have an accurate assessment—an informed estimate of the number and types of individuals with 1699

disabilities and others with access and functional needs residing in the community. Emergency planners 1700

should base their assessments on lists and information collected from multiple relevant sources, such as: 1701

• U.S. Census data • Utility providers

• Social services listings (e.g., dialysis centers,

Meals on Wheels)

• Congregate settings (e.g., nursing homes,

summer camps)

• Paratransit providers • Schools and universities

• Bureau of motor vehicles (accessible parking

permit holders)

• Medicaid

• Centers for Independent Living • Hospitals

• Home health agencies • Daycare centers (for children or senior citizens)

• Vocational rehabilitation and job access

services

• Places of worship

• Disability services providers • Homeless shelters

• Health or behavioral health agencies • Housing programs.

1702

If planners compile the numbers from various lists, often referred to as the “list of lists” concept, they will 1703

have an estimate of the number of individuals residing in their communities, which will benefit planning 1704

for sufficient transportation and sheltering. Together, these lists can provide raw numbers vital to 1705

understanding the magnitude of the community’s requirements. Emergency managers should also gather 1706

as much information as possible regarding the types of services these individuals require so emergency 1707

staff can be adequately trained and resource needs can be met. 1708

1709

These different types of assessments are sometimes mistakenly considered the same as registries when, in 1710

fact, they are different. A registry is a database of individuals who voluntarily sign up and meet the 1711

eligibility requirements for receiving emergency response services based on a need (the criteria for which 1712

should be established by the jurisdiction). 1713

1714

The next step of the threat and hazard identification process is to organize the information into a format 1715

that is usable by the planning team. One effective method for organizing hazard or threat information is to 1716

use a matrix based on dimensions used during the risk analysis process: 1717

• Probability or frequency of occurrence 1718

• Magnitude (the physical force associated with the hazard or threat) 1719


4-9

• Intensity/severity (the impact or damage expected) 1720

• Time available to warn 1721

• Location of the incident (an area of interest or a specific or indeterminate site or facility) 1722

• Potential size of the affected area 1723

• Speed of onset (how fast the hazard or threat can impact the public) 1724

• Duration (how long the hazard or threat will be active) 1725

• Cascading effects. 1726

1727

Depending on the kinds of decisions and analyses the information is meant to support, planners might use 1728

other categories for data organization. For example, the decision that one hazard poses a greater threat 1729

than another may require only a qualitative estimate (e.g., high versus medium), whereas planning how to 1730

deal with health and medical needs caused by a particular hazard may require estimates of likely fatalities 1731

and injuries. 1732

Assess Risk 1733

The risk assessment7 is the basis for EOP development. The 1734

assessment helps a planning team decide what hazards or threats 1735

merit special attention, what actions must be planned for, and 1736

what resources are likely to be needed. The analysis method 1737

inventories, evaluates, and provides loss estimates for assets 1738

deemed critical during the response and recovery phases of an 1739

incident. Planners can also obtain the Hazards U.S. Multi-Hazard 1740

(HAZUS-MH) model from FEMA. HAZUS-MH is a nationally 1741

applicable and standardized methodology and software program 1742

that estimates potential losses from earthquakes, floods, and 1743

hurricane winds. This type of hazard assessment is similar to that 1744

which is required for hazard mitigation plans. In fact, if the 1745

community possesses a FEMA-approved multi-hazard mitigation plan, an assessment may be readily 1746

available. Mitigation plans can be used as reference documents to simplify the development of most 1747

hazards-based analyses. 1748

1749

The information gathered during the jurisdictional assessment of individuals with disabilities and others 1750

with access and functional needs requires a detailed analysis. Emergency planners need to review the 1751

assessment findings and analyze the quantity and types of resources (including personnel) needed during 1752

different types of incidents. For example, a jurisdiction with a large number of limited English 1753

proficiency residents might need to identify methods by which language assistance will be provided (e.g., 1754

bilingual personnel, interpreters, translated documents) to support operations, such as evacuation, 1755

sheltering, and recovery. Additionally, planners need to work with social services agencies to plan for 1756

unaccompanied minors and to assess for types of resources needed for the community’s children during 1757

and following a disaster. 1758

1759

Hazard and threat analysis requires that the planning team knows risks that have occurred or could occur 1760

in the jurisdiction. The process should begin with a list of the risks that concern planners, developed from 1761

research conducted earlier in the planning process. A list of concerns might include those listed in Table 1762

4.1. 1763

7 FEMA Publication 386-2, Understanding Your Risks: Identifying Hazards and Estimating Losses, provides a detailed method for conducting hazard and risk assessments for many hazards.

Remember that as the situation is

analyzed and hazards or threats are

prioritized, each carries with it training,

equipment, and exercise

requirements. It is not too early—even

if only at a high level—to consider

what is within the scope of capability

of the jurisdiction and how those

capabilities can be enhanced through

preparedness activities and by the

adding or sharing of resources.


4-10

Table 4.1: Sample Hazards List 1764

Natural Hazards Technological Hazards Human-Caused Hazards

• Avalanche

• Disease outbreak

• Drought

• Earthquake

• Epidemic

• Flood

• Hurricane

• Landslide

• Tornado

• Tsunami

• Volcanic eruption

• Wildfire

• Winter storm

• Airplane crash

• Dam/levee failure

• HAZMAT release

• Power failure

• Radiological release

• Train derailment

• Urban conflagration

• Civil disturbance

• Cyber events

• Terrorist acts

• Sabotage

• School violence

1765

Planners must keep in mind that hazard or threat lists pose two problems. The first is exclusion or 1766

omission. There is always a potential for new and unexpected risks (part of the reason why maintaining an 1767

all-hazards, all-threats capability is important). The second is that such lists involve groupings, which can 1768

affect subsequent analysis. A list may give the impression that hazards or threats are independent of one 1769

another, when in fact they are often related (e.g., an earthquake might cause dam failure). Lists may group 1770

very different causes or sequences of events that require different types of responses under one category. 1771

For example, “Flood” might include dam failure, cloudbursts, or heavy rain upstream. Lists also may 1772

group a whole range of consequences under the category of a single hazard. “Terrorism,” for example, 1773

could include use of conventional explosives against people or critical infrastructure; nuclear detonation; 1774

or release of lethal chemical, biological, or radiological material. 1775

1776

Using a risk analysis, the planning team must compare and prioritize risks to determine which hazards or 1777

threats merit special attention in planning (and other emergency and homeland security management 1778

efforts). The team must consider the frequency of the hazard or threat and the likelihood or severity 1779

potential of its consequences in order to develop a single indicator of the risk to the jurisdiction. This 1780

effort allows for comparisons and the setting of priorities. While a mathematical approach is possible, it 1781

may be easier to manipulate qualitative ratings (e.g., high, medium, low) or index numbers (e.g., reducing 1782

quantitative information to a 1-to-3, 1-to-5, or 1-to-10 scale based on defined thresholds) for different 1783

categories of information used in the ranking scheme. Some approaches involve the consideration of only 1784

two categories—frequency and consequences—and treat them as equally important. In other approaches, 1785

potential consequences receive more weight than frequency. While it is important to have a sense of the 1786

magnitude involved (whether in regard to the single indicator used to rank hazards or to estimate the 1787

numbers of people affected), these indicators are static. Some hazards or threats may pose a risk to the 1788

community that is so limited that additional analysis is not necessary. Others might be dynamic, such as 1789

HAZMAT toxicity and transportation routes. 1790

1791

The analysis process produces facts and assumptions, which can be distinguished as follows: 1792

• Facts are verified pieces of information, such as laws, regulations, terrain maps, population statistics, 1793

resource inventories, and prior occurrences. 1794


4-11

• Assumptions consist of information accepted by planners as being true in the absence of facts in order 1795

to provide a framework or establish expected conditions of an operational environment so that 1796

planning can proceed. Assumptions are used as facts only if they are considered valid (or likely to be 1797

true) and are necessary for solving the problem. 1798

1799

Incident managers replace assumptions with facts when they implement a plan. For example, when 1800

producing a flood annex, planners may assume the location of the water overflow, size of the flood hazard 1801

area, and speed of the rise in water. When the plan is put into effect as the incident unfolds, operations 1802

personnel replace assumptions with the facts of the situation and modify the plan accordingly. Planners 1803

should use assumptions sparingly and put great effort into performing research and acquiring facts, 1804

including the use of historical precedent. 1805

1806

The outcomes of the analysis process help planners determine goals and objectives (Step 3) and select the 1807

supporting planning concept they will use when developing the plan (Step 4). 1808

Step 3: Determine Goals and Objectives 1809

Determine Operational Priorities 1810

Operational priorities specify what the responding organizations are to accomplish to achieve a desired 1811

end-state for the operation. The senior official may communicate desired end-states for the operations 1812

addressed in the plans. By using information from the risk profile developed as part of the analysis 1813

process, the planning team engages the senior official to establish how the hazard or threat would evolve 1814

in the jurisdiction and what defines a successful outcome for responders, disaster survivors, and the 1815

community. 1816

1817

Starting with a given intensity for the hazard or threat, the team imagines an incident’s development from 1818

prevention and protection efforts, through initial warning (if available) to its impact on the jurisdiction (as 1819

identified through analysis) and its generation of specific consequences (e.g., collapsed buildings, loss of 1820

critical services or infrastructure, death, injury, displacement). These scenarios should be realistic and 1821

created on the basis of the jurisdiction’s hazard/threat and risk data. Planners may use the incidents that 1822

have the greatest impact on the jurisdiction (worst-case), those that are most likely to occur, or an incident 1823

constructed from the impacts of a variety of risks. During this process of building an incident scenario, 1824

the planning team identifies the requirements that determine actions and resources. Planners are looking 1825

for requirements generated by the hazard or threat, the response, and by constraints/restraints. 1826

• Requirements can be caused by the nature of the hazard or threat. They lead to functions, such as law 1827

enforcement intervention, public protection, population warning, and search and rescue. Response 1828

requirements are caused by actions taken in response to an agent-generated problem. These tend to be 1829

common to all operations. An example is the potential need for emergency refueling during a large-1830

scale evacuation. Subsets could include the needs to find a site for refueling, identify a fuel supplier, 1831

identify a fuel pumping method, control traffic, and collect stalled vehicles. 1832

• A constraint is something that must be done (“must do”), while a restraint is something that prohibits 1833

action (“must not do”). They may be caused by a law, regulation, or management directive; some 1834

physical characteristic (e.g., terrain and road networks that make east-west evacuations impossible); 1835

or resource limitations. 1836

1837

Once the requirements are identified, the planning team restates them as priorities and affirms those 1838

priorities with the senior official. 1839


4-12

Set Goals and Objectives 1840

Goals and objectives must be carefully crafted to ensure they 1841

support accomplishing the plan mission and operational priorities. 1842

They must also clearly indicate the desired result or end-state they 1843

are designed to yield. This approach enables unity of effort and 1844

consistency of purpose among the multiple groups and activities 1845

involved in executing the plan. 1846

1847

Goals are broad, general statements that indicate the intended 1848

solution to problems identified by planners during the previous 1849

step. They are what personnel and equipment resources are 1850

supposed to achieve. They help identify when major elements of 1851

the response are complete and when the operation is successful. 1852

1853

Objectives are more specific and identifiable actions carried out 1854

during the operation. They lead to achieving response goals and 1855

determining the actions that participants in the operation must 1856

accomplish. Translating these objectives into activities, 1857

implementing procedures, or operating procedures by responsible 1858

organizations is part of planning. As goals and objectives are set, 1859

planners may identify more requirements that will feed into the 1860

development of courses of action as well as the capability 1861

estimate (see Step 4). 1862

Step 4: Plan Development 1863

Develop and Analyze Courses of Action 1864

This step is a process of generating, comparing, and selecting possible solutions for achieving the goals 1865

and objectives identified in Step 3. Planners consider the requirements, goals, and objectives to develop 1866

several response alternatives. The art and science of planning helps determine how many solutions or 1867

alternatives to consider; however, at least two options should always be considered. Developing only one 1868

solution may speed the planning process, but it will probably provide for an inadequate response, leading 1869

to more damaging effects on the affected population or environment. 1870

1871

Developing courses of action uses the hybrid planning approach previously discussed. When developing 1872

courses of actions, planners depict how an operation unfolds by building a portrait of the incident’s 1873

actions, decision points, and participant activities. This process helps planners identify tasks that occur 1874

immediately at incident initiation, tasks that are more mid-incident focused, and tasks that affect long-1875

term operations. The planning team should work through this process by using tools that help members 1876

visualize operational flow, such as a white board, “sticky note” chart (see Figure 4.3), or some type of 1877

project management or special planning software. 1878

Example: Relationships among the

Mission, Operational Priorities,

Goals, and Objectives

Plan Mission: Effectively coordinate

and direct available resources to

protect the public and property from

hazards or threats.

Operational Priority: Protect the

public from hurricane weather and

storm surge.

Goal: Complete evacuation before

arrival of tropical storm winds.

Desired result: All self- and assisted

evacuees are safely outside of the

expected impact area prior to impact.

Objective: Complete tourist

evacuation 72 hours before arrival of

tropical storm winds.

Desired result: tourist segment of

public protected prior to hazard onset,

allowing resources to be redirected to

accomplishing other objectives in

support of this goal or other goals.


4-13

1879 Figure 4.3: “Sticky Note” Chart 1880

1881

Course of action development follows these steps: 1882

• Establish the timeline. Planners should cover all mission 1883

areas in the timeline and typically use the speed of incident 1884

onset to establish the timeline. The timeline may also change 1885

by phases. For example, a hurricane’s speed of onset is 1886

typically days, while a major HAZMAT incident’s speed of 1887

onset is minutes. The timeline for a hurricane might be in 1888

hours and days, particularly during the pre- and post-impact 1889

phases. The timeline for the HAZMAT incident would most 1890

likely be in minutes and hours. For a multijurisdictional or 1891

layered plan, the timeline for a particular scenario is the same 1892

at all participating levels of government. Placement of 1893

decision points and response actions on the timeline depicts 1894

how soon the different entities enter the plan. 1895

• Depict the scenario. Planners use the scenario information 1896

developed in Step 3 and place the incident information on the timeline. 1897

• Identify and depict decision points. Decision points indicate the place in time, as incidents unfold, 1898

when leaders anticipate making decisions about a course of action. They indicate where and when 1899

decisions are required to provide the best chance of achieving an intermediate objective or response 1900

Courses of Action in a Nutshell

Courses of action address the what/

who/when/where/why/how for each

solution.

As each potential course of action is

identified, the planner should consider

where it supports the priorities, goals,

and objectives established by the

senior official. Additionally, the course

of action should be examined to

determine whether it is feasible and

whether the stakeholders that are

needed to implement it find it

acceptable.


4-14

goal (the desired end-state). They also help planners determine how much time is available or needed 1901

to complete a sequence of actions. 1902

• Identify and depict operational tasks. For each operational task depicted, some basic information is 1903

needed. Developing this information helps planners incorporate the task into the plan when they are 1904

writing it. Planners correctly identify an operational task when they can answer the following 1905

questions about it: 1906

– What is the action? 1907

– Who is responsible for the action? 1908

– When should the action take place? 1909

– How long should the action take and how much time is actually available? 1910

– What has to happen before? 1911

– What happens after? 1912

– What resources does the person/entity need to perform the action? 1913

• Select courses of action. Once the above analysis is complete, planners must compare the costs and 1914

benefits of each proposed course of action against the mission, goals, and objectives. Based on this 1915

comparison, planners then select the preferred courses of action to move forward in the planning 1916

process. While not necessary for every course of action identified, planners should use their best 1917

judgment and identify when the selection of a course or courses of action will need to be elevated to 1918

the senior elected or appointed official for approval. Where practical, the appropriate official should 1919

approve these actions prior to the review and completion of the plan. 1920

1921

“Red-Teaming” as a Method for Analyzing Courses of Action

A “peer review” process for plans is a useful tool for examining whether plans contain all of the necessary

elements. Leveraging expertise from outside the jurisdiction will aid in challenging assumptions and identifying

gaps in the jurisdiction’s courses of action.

For plans dealing with adaptive threats (e.g., terrorism), examining plans “through the eyes of the adversary” can

lead to significant improvements and a higher probability of success. This process is known as “red-teaming.”

Essential elements of a red-team review include:

▪ Engaging the law enforcement community and fusion centers to act as the adversary

▪ Understanding the operational environment (e.g., geography, demography, economy, culture)

▪ Establishing a potential adversary’s identity, resources, tactics, and possible courses of action

▪ Evaluating the plan under multiple scenarios and a wide range of circumstances using tabletop exercises,

facilitated seminars, and computer models and simulations to aid in analysis.

Red teams should foster a culture of critical thinking, intellectualism, and self-criticism. Red team members

should be creative, objective, intellectually curious, and able to manage their egos. Red teams must act with

ingenuity and enthusiasm to develop and apply customized approaches to every problem. Red teams need to

cultivate expertise, recognize the limitations of their own knowledge, constantly seek and evaluate new insights,

and have access to the opinions and understanding of truly informed experts. Finally, red teams need to avoid

being confrontational. Red team members need to work closely and solicit information from the staff; however, it

is best if they conduct their work in the background to avoid interference from staff members who may have a

vested interested in a particular course of action.

Red-teaming is most successful when senior officials endorse and support it. Participants must be able to make

their comments in an atmosphere of confidentiality and non-attribution.


4-15

Identify Resources 1922

Once courses of action are selected, the planning team identifies resources needed to accomplish tasks 1923

without regard to resource availability. The object is to identify the resources needed to make the 1924

operation work. Once the planning team identifies all the requirements, they begin matching available 1925

resources to requirements. By tracking obligations and assignments, the planning team determines 1926

resource shortfalls and develops a list of needs that private suppliers or other jurisdictions might fill. The 1927

resource base should also include a list of facilities vital to emergency operations, and the list should 1928

indicate how individual hazards might affect the facilities. Whenever possible, planners should match 1929

resources with other geographical/regional needs so that multiple demands for the same or similar 1930

resources can be identified and conflicts resolved. This step provides planners an opportunity to identify 1931

resource shortfalls to pass to higher levels of government and to prepare pre-scripted resource requests, as 1932

appropriate. The EOP should account for unsolvable resource shortfalls so they are not just “assumed 1933

away.” The capability estimate process is critical to this effort. 1934

1935

A capability estimate is a planner’s assessment of a jurisdiction’s ability to take a course of action. 1936

Capability estimates help planners decide if pursuing a particular course of action is realistic and 1937

supportable. They help planners better project and understand what might take place during an operation. 1938

Simply stated, the capability estimate represents the capabilities and resource types needed to complete a 1939

set of courses of action. The resulting capability estimate will feed into the resource section of the plan or 1940

annex. 1941

1942

Capability estimates may be written documents, tables or matrices, or oral presentations. The information 1943

provided in a capability estimate should be able to answer most questions about a jurisdiction’s ability to 1944

support a given course of action. Planners can use capability estimates for both future and current 1945

operational planning. At a minimum, planners should prepare separate capability estimates for personnel, 1946

administration and finance, operational organizations (e.g., fire, law enforcement, EMS), logistics, 1947

communications, equipment, and facilities. Each capability estimate compares the courses of action being 1948

considered for a particular operation. They make recommendations as to which course of action best 1949

supports the operation. Capability estimates should also identify the criteria used to evaluate each area; 1950

facts and assumptions that affect those areas; and the issues, differences, and risks associated with a 1951

course of action. Figure 4.4 provides a suggested format for a capability estimate. 1952 1953

1954 Figure 4.4: Suggested Capability Estimate Format 1955


4-16

Resource identification is particularly important for supporting 1956

children; individuals with disabilities, access, and functional 1957

needs; and household pets and service animals. These 1958

individuals will require a range of communication, 1959

transportation, sheltering, human service, medical, and other 1960

resources throughout the life of an incident. Examples include, 1961

but are not limited to, durable medical equipment, oxygen, 1962

paratransit vehicles, accessible shelters, personal assistance services, and sign language interpreters. 1963

Identifying these requirements and the resources for meeting them ahead of time will help planners fully 1964

support individuals with disabilities and others with access and functional needs. 1965

Identify Information and Intelligence Needs 1966

Another outcome from course of action development is a “list” of the information and intelligence needs 1967

for each of the response participants. Planners should identify the information and intelligence they will 1968

need and their deadline(s) for receiving it to drive decisions and trigger critical actions. These needs 1969

eventually find their way into plan information collection matrices. 1970

1971

When developing courses of action, the process should be periodically “frozen” so the planning team can: 1972

• Identify progress made toward the end-state, including goals and objectives met and new needs or 1973

demands 1974

• Identify “single point failures” (i.e., tasks that, if not completed, would cause the operation to fall 1975

apart) 1976

• Check for omissions or gaps 1977

• Check for inconsistencies in organizational relationships 1978

• Check for mismatches between the jurisdiction’s plan and plans from other jurisdictions with which 1979

they are interacting. 1980

Step 5: Plan Preparation, Review, and Approval 1981

Write the Plan 1982

This step turns the results of course of action development into an EOP. The planning team develops a 1983

rough draft of the basic plan, functional annexes, hazard-specific annexes, or other parts of the plan as 1984

appropriate. The recorded results from Step 4 provide an outline for the rough draft. As the planning team 1985

works through successive drafts, the members add necessary tables, charts, and other graphics. The 1986

planning team prepares and circulates a final draft to obtain the comments of organizations that have 1987

responsibilities for implementing the plan. (See Chapter 3 for more information on plan formats.) 1988

1989

Following these simple rules for writing plans and procedures will help ensure that readers and users 1990

understand their content: 1991

• Keep the language simple and clear by writing in plain English. Summarize important information 1992

with checklists and visual aids, such as maps and flowcharts. 1993

• Avoid using jargon and minimize the use of acronyms. 1994

• Use short sentences and the active voice. Qualifiers and vague wording only add to confusion. 1995

• Provide enough detail to convey an easily understood plan that is actionable. The amount of detail a 1996

plan should provide depends on the target audience and the amount of certainty about the situation. 1997

When identifying resources, the needs

of children are often forgotten,

including diapers, formula and food

appropriate for all ages, portable cribs/

playpens and the capability to

supervise unaccompanied children.


4-17

• Format the plan and present its contents so that its readers can quickly find solutions and options. 1998

Focus on providing mission guidance and not on discussing policy and regulations. Plans should 1999

provide guidance for carrying out common tasks, as well as enough insight into intent and vision so 2000

that responders can handle unexpected events. However, when writing a plan, “stay out of the 2001

weeds.” Procedural documents (e.g., SOPs/SOGs) should provide the fine details. 2002

• Ensure accessibility by developing tools and documents (e.g., print, electronic, video) so they can be 2003

easily converted to alternate formats. 2004

Review the Plan 2005

Planners should check the written plan for its conformity to applicable regulatory requirements and the 2006

standards of Federal or state agencies, as appropriate, and for its usefulness in practice. Planners should 2007

consult the next level of government about its plan review cycle. Reviews of plans allow other agencies 2008

with emergency or homeland security responsibilities to suggest improvements to a plan on the basis of 2009

their accumulated experience. For example, states may review local plans, and, upon request, FEMA 2010

regional offices may assist states in the review of EOPs. Hazard-specific Federal programs, such as the 2011

Radiological Emergency Preparedness Program, require periodic review of certain sections of the all-2012

hazards plan and may require review of associated SOPs/SOGs. 2013

2014

Commonly used criteria can help decision makers determine the effectiveness and efficiency of plans. 2015

These measures include adequacy, feasibility, and acceptability. Decision makers directly involved in 2016

planning can employ these criteria, along with their understanding of plan requirements, not only to 2017

determine a plan’s effectiveness and efficiency but also to assess risks and define costs. Some types of 2018

analysis, such as a determination of acceptability, are largely intuitive. In this case, decision makers apply 2019

their experience, judgment, intuition, situational awareness, and discretion. Other analyses, such as a 2020

determination of feasibility, should be rigorous and standardized to minimize subjectivity and preclude 2021

oversights. 2022

• Adequacy. A plan is adequate if the scope and concept of planned operations identify and address 2023

critical tasks effectively; the plan can accomplish the assigned mission while complying with 2024

guidance; and the plan’s assumptions are valid, reasonable, and comply with guidance. 2025

• Feasibility. A plan is feasible if the organization can accomplish the assigned mission and critical 2026

tasks by using available resources within the time contemplated by the plan. The organization 2027

allocates available resources to tasks and tracks the resources by status (e.g., assigned, out of service). 2028

Available resources include internal assets and those available through mutual aid or through existing 2029

state, regional, or Federal assistance agreements. 2030

• Acceptability. A plan is acceptable if it meets the requirements driven by a threat or incident, meets 2031

decision maker and public cost and time limitations, and is consistent with the law. The plan can be 2032

justified in terms of the cost of resources and if its scale is proportional to mission requirements. 2033

Planners use both acceptability and feasibility tests to ensure that the mission can be accomplished 2034

with available resources, without incurring excessive risk regarding personnel, equipment, material, 2035

or time. They also verify that risk management procedures have identified, assessed, and applied 2036

control measures to mitigate operational risk (i.e., the risk associated with achieving operational 2037

objectives). 2038

• Completeness. A plan is complete if it: 2039

– Incorporates all tasks to be accomplished 2040

– Includes all required capabilities 2041


4-18

– Integrates the needs of the general population, children of all ages, individuals with disabilities 2042

and others with access and functional needs, immigrants, individuals with limited English 2043

proficiency, and diverse racial and ethnic populations 2044

– Provides a complete picture of the sequence and scope of the planned response operation (i.e., 2045

what should happen, when, and at whose direction) 2046

– Makes time estimates for achieving objectives 2047

– Identifies success criteria and a desired end-state. 2048

• Compliance. The plan should comply with guidance and doctrine to the maximum extent possible, 2049

because these provide a baseline that facilitates both planning and execution. 2050

2051

When using these five criteria, planners should ask the following questions: 2052

• Did an action, a process, a decision, or the operational timing identified in the plan make the situation 2053

worse or better? 2054

• Were new alternate courses of action identified? 2055

• Were the requirements of children, individuals with disabilities, others with access and functional 2056

needs, immigrants, individuals with limited English proficiency, and diverse racial and ethnic 2057

populations fully addressed and integrated into all appropriate aspects of the plan? 2058

• What aspects of the action, process, decision, or operational timing make it something to keep in the 2059

plan? 2060

• What aspects of the action, process, decision, or operational timing make it something to avoid or 2061

remove from the plan? 2062

• What specific changes to plans and procedures, personnel, organizational structures, leadership or 2063

management processes, facilities, or equipment can improve operational performance? 2064

2065

Additionally, when reviewing the plan, a jurisdiction does not have to provide all of the resources needed 2066

to meet a capability requirement established during the planning effort. However, the plan should explain 2067

where the jurisdiction will obtain the resources to support those required capabilities. For example, many 2068

jurisdictions do not have the bomb squads or urban search and rescue teams required to meet certain 2069

capabilities. Neighboring jurisdictions can provide those resources (or capability elements) through 2070

MAAs, MOAs, MOUs, regional compacts, or some other formal request process. 2071

2072

When conducting this review, the checklist in Appendix C will provide a useful benchmark to ensure all 2073

planning elements are addressed. In particular, those elements related to planning for children, individuals 2074

with access and functional needs, and those with household pets and service animals are critical to each 2075

component of the planning process. When planning for these groups, consider the following questions, 2076

while being mindful of specific concerns for immigrant, racial/ethnic communities, and individuals with 2077

limited English proficiency: 2078

Incorporating Children8 2079

• Preparedness 2080

– Does the planning group include individuals with expertise in pediatric issues, as well as relevant 2081

advocacy groups, service providers, and subject matter experts? 2082

8 For additional information, please see the National Commission on Children and Disasters—2010 Report to the President and Congress (http://www.childrenanddisasters.acf.hhs.gov/20091014_508IR_partII.pdf).


4-19

– Does the plan include demographic data and information on the number of children and where 2083

they tend to be (e.g., schools, daycare facilities)? 2084

– Does the plan identify the agency with the lead role for coordinating planning efforts and 2085

ensuring that children are incorporated into all plans? 2086

– Does the plan identify support agencies to assist the lead agency in coordinating planning efforts 2087

and ensuring that children are incorporated into all plans? 2088

– Does the plan identify a child coordinator to provide expertise for the emergency planning 2089

process and to support the Incident Commander, the Planning Section, and/or the Operations 2090

Section during an emergency? 2091

– Does the plan include mechanisms or processes to effectively identify children and families who 2092

will need additional assistance with their specific health-related needs in advance of, during, and 2093

following an emergency? 2094

– Does the plan include mechanisms or processes to secure medical records to enable children with 2095

disabilities and/or other special health care needs to receive health care and sustained 2096

rehabilitation in advance of, during, and following an emergency? 2097

– Does the plan identify which position/agency is authorized to direct supporting departments and 2098

agencies to furnish materials and commodities for children with disabilities and/or other special 2099

health care needs? 2100

– Does the plan identify critical human services and ways to reestablish these services following a 2101

disaster for children and their families? 2102

– Does the plan identify roles and responsibilities for supporting children? 2103

– Does the plan prioritize governmental, nongovernmental, and private sector resources to meet 2104

critical needs such as accessible housing, rental assistance, debris removal, and emergency repairs 2105

for families of children with special health care needs? 2106

– Does the plan describe vetting, training, and use of spontaneous volunteers who may offer their 2107

services to families with children? 2108

– Does the plan include mechanisms or processes for provision of emergency childcare services? 2109

– Does the plan include mechanisms or processes for the reunification of children with families? 2110

– Do exercises include children and child congregate care settings such as school, childcare, child 2111

welfare, and juvenile justice facilities? 2112

• Evacuation Support 2113

– Does the plan identify which official has the authority to order an evacuation? 2114

– Does the plan identify the roles and responsibilities for advanced/early evacuation, which is often 2115

necessary to accommodate children with mobility issues? 2116

– Does the plan identify the agency that has the lead role in coordinating an evacuation and 2117

ensuring children are incorporated into all evacuation considerations and planning? 2118

– Does the plan include mechanisms or processes for providing safe evacuation/transportation 2119

assistance to unaccompanied minors? 2120

– Does the plan include mechanisms or processes for tracking children, especially unaccompanied 2121

minors, during an evacuation? 2122


4-20

– Does the plan include affirmative recognition of the need to keep children with disabilities with 2123

their caregivers, mobility devices, other durable medical equipment, and/or service animals 2124

during an evacuation? 2125

– Does the plan include mechanisms or processes to ensure the availability of sufficient and timely 2126

accessible transportation to evacuate children with disabilities whose families do not have their 2127

own transportation resources? 2128

– Does the plan identify means and methods by which evacuation transportation requests from 2129

schools, specifically schools with children who have disabilities, are collected and consolidated? 2130

– Does the plan identify means by which incoming transportation requests will be tracked, 2131

recorded, and monitored as they are fulfilled? 2132

– Does the plan identify accessible transportation resources (including paratransit service vehicles, 2133

school buses, municipal surface transit vehicles, drivers, and/or trained attendants) that can 2134

provide needed services during an evacuation? 2135

– Does the plan address re-entry? 2136

• Shelter Operations 2137

– Does the plan include mechanisms or processes for ensuring there will be adequate accessible 2138

shelters that fully address the requirements of children, including those with medical needs? 2139

– Does the plan address adequate shelter space allocation for families who have children with 2140

special needs (i.e., disabilities and chronic medical needs) who may need additional space for 2141

assistive devices (e.g., wheelchairs, walkers)? 2142

– Does the plan address necessary developmentally appropriate supplies (e.g., diapers, formula, age 2143

appropriate foods), staff, medicines, durable medical equipment, and supplies that would be 2144

needed during an emergency for children with disabilities and other special health care needs? 2145

– Does the plan include mechanisms or processes for handling of and providing for unaccompanied 2146

minors in shelters? 2147

• Public Information and Outreach 2148

– Does the plan identify ways to promote personal preparedness among children, as well as their 2149

families and caregivers (including school and daycare personnel)? 2150

– Does the plan identify mechanisms for disseminating timely and accessible emergency public 2151

information using multiple methods (e.g., television, radio, Internet, sirens) to reach families of 2152

children with sensory and cognitive disabilities, as well as families with limited English 2153

proficiency? 2154

Incorporating Individuals with Access and Functional Needs 2155


– Does the planning group include individuals with disabilities and others with access and 2157

functional needs, as well as relevant advocacy groups, service providers, and subject matter 2158

experts? 2159

– Does the plan include a definition for “individuals with disabilities and others with access and 2160

functional needs,” consistent with all applicable laws? 2161

– Does the plan include demographic data and information on the number of individuals in the 2162

community with disabilities and others with access and functional needs (using assessment and 2163

current registry data, if available)? 2164


4-21

– Does the plan identify the agency with the lead role for coordinating planning efforts and 2165

ensuring that individuals with access and functional needs are incorporated into all plans? 2166

– Does the plan identify support agencies to assist the lead agency in coordinating planning efforts 2167

and ensuring individuals with access and functional needs are incorporated into all plans? 2168

– Does the plan identify a disability advisor to provide expertise for the emergency planning 2169

process and to support the Incident Commander, the Planning Section, and/or the Operations 2170

Section during an emergency? 2171

– Does the plan include mechanisms or processes to effectively identify people who will need 2172

additional assistance and their specific health-related needs in advance of, during, and following 2173

an emergency? 2174

– Does the plan include mechanisms or processes to secure medical records to enable persons with 2175

disabilities or access and functional needs and acute health care needs to receive health care and 2176

sustained rehabilitation in advance of, during, and following an emergency? 2177

– Does the plan identify which position/agency is authorized to direct supporting departments and 2178

agencies to furnish materials and commodities for individuals with disabilities and others with 2179

access and functional needs? 2180

– Does the plan identify critical human services and ways to reestablish these services following a 2181

disaster for individuals with disabilities and others with access and functional needs to enable 2182

individuals to regain and maintain their previous level of independence and functioning? 2183

– Does the plan identify roles and responsibilities for supporting individuals with disabilities and 2184

others with access and functional needs during both the short- and long-term recovery process? 2185

– Does the plan prioritize governmental, nongovernmental, and private sector resources to meet 2186

critical needs such as accessible housing, rental assistance, debris removal, and emergency repairs 2187

for individuals with disabilities and others with access and functional needs? 2188

– Does the plan include mechanisms or processes for the training and use of spontaneous volunteers 2189

who may offer their services to individuals with disabilities and others with access and functional 2190

needs to assist with physical, programmatic, and communications access and other functional 2191

needs? 2192


– Does the plan identify which official has the authority to order an evacuation? 2194

– Does the plan identify the roles and responsibilities for advanced/early evacuation, which is often 2195

necessary to accommodate persons with mobility issues? 2196

– Does the plan identify the agency that has the lead role in coordinating an evacuation and 2197

ensuring those individuals with disabilities and others with access and functional needs are 2198

incorporated into all evacuation considerations and planning? 2199

– Does the plan include affirmative recognition of the need to keep people with disabilities with 2200

their support systems, mobility devices, other durable medical equipment, and/or service animals 2201

during an evacuation? 2202

– Does the plan include mechanisms or processes to ensure the availability of sufficient and timely 2203

accessible transportation to evacuate individuals with disabilities and others with access and 2204

functional needs who do not have their own transportation resources? 2205


4-22

– Does the plan identify means and methods by which evacuation transportation requests from 2206

individuals with disabilities and others with access and functional needs are collected and 2207

consolidated? 2208

– Does the plan identify means by which incoming transportation requests will be tracked, 2209

recorded, and monitored as they are fulfilled? 2210

– Does the plan identify accessible transportation resources (including paratransit service vehicles, 2211

school buses, municipal surface transit vehicles, drivers, and/or trained attendants) that can 2212

provide needed services during an evacuation? 2213

– Does the plan address re-entry? 2214


– Does the plan include mechanisms or processes for ensuring that general population shelters are 2216

accessible and have planned to fully address the physical, programmatic, and communications 2217

accessibility requirements of individuals with disabilities and others with access and functional 2218

needs? 2219

– Does the plan address the need for adequate shelter space allocation for individuals with 2220

disabilities and others with access and functional needs who may need additional space for 2221

assistive devices (e.g., wheelchairs, walkers)? 2222

– Does the plan include mechanisms or processes for ensuring Americans with Disabilities Act 2223

Accessibility Guidelines govern the shelter site selection and operation? 2224

– Does the plan address necessary staff, medicines, durable medical equipment, and supplies that 2225

would be needed during an emergency for individuals with disabilities and others with access and 2226

functional needs? 2227


– Does the plan identify ways to promote personal preparedness among individuals with disabilities 2229

and others with access and functional needs, as well as their families and service providers? 2230

– Does the plan identify mechanisms for disseminating timely and accessible emergency public 2231

information using multiple methods (e.g., television, radio, Internet, sirens) to reach individuals 2232

with sensory, intellectual, and cognitive disabilities, as well as individuals with limited English 2233

proficiency? 2234

Incorporating Household Pets and Service Animals 2235


– Does the plan describe the partnership between the jurisdiction’s emergency management agency, 2237

the animal control authority, the mass care provider(s), and the owner of each proposed 2238

congregate household pet sheltering facility? 2239

– Does the plan have or refer to an MOA/MOU or MAA that defines the roles and responsibilities 2240

of each organization involved in household pet and service animal response? 2241

– Do organizations with agreed upon responsibilities in the plan have operating procedures that 2242

govern their mobilization and actions? 2243

– Does the plan recommend just-in-time training for spontaneous volunteers and out-of-state 2244

responders? 2245


4-23

– Does the plan encourage household pet owners and service animal owners to make arrangements 2246

for private accommodations for themselves and their household pets and service animals prior to 2247

a disaster or emergency situation? 2248


– Does the plan address the evacuation and transportation of household pets from their homes or by 2250

their owners or those household pets rescued by responders to congregate household pet shelters? 2251

– Does the plan address how owners will be informed where congregate household pet shelters are 2252

located and which shelter to use? Does the plan provide for the conveyance of household pets or 2253

service animals whose owners are dependent on public transportation? 2254

– Does the plan address how household pets that are provided with evacuation assistance are 2255

registered, documented, tracked, and reunited with their owners if they are separated during 2256

assisted evacuations? 2257

– Does the plan address the responsibility of transportation providers to transport service animals 2258

with their owners? 2259


– Does the plan identify the agency responsible for coordinating shelter operations? 2261

– Does the plan provide guidance to human shelter operators on the admission and treatment of 2262

service animals? 2263

– Does the plan identify an agency in the jurisdiction that regulates nonemergency, licensed animal 2264

facilities (e.g., animal control shelters, nonprofit household pet rescue shelters, private breeding 2265

facilities, kennels)? 2266

– Does the plan establish criteria that can be used to expeditiously identify congregate household 2267

pet shelters and alternate facilities? 2268

– Does the plan provide guidance about utility provisions, such as running water, adequate lighting, 2269

proper ventilation, electricity, and backup power, at congregate household pet shelters? 2270

– Does the plan include mechanisms or processes to reduce/eliminate the risk of injury by an 2271

aggressive or frightened animal, the possibility of disease transmission, and other health risks for 2272

responders and volunteers staffing the congregate household pet shelter? 2273

– Does the plan recommend a pre-disaster inspection and development of agreements for each 2274

congregate household pet facility? 2275

– Does the plan provide for the care and maintenance of each facility while in use as a shelter? 2276

– Does the plan identify equipment and supplies that may be needed to operate each congregate 2277

household pet shelter, as well as supplies that household pet owners may bring with them to the 2278

congregate shelter? 2279

– Does the plan provide for the physical security of each congregate household pet facility, 2280

including perimeter controls and security personnel? 2281

– Does the plan provide for acceptance of donated resources (e.g., food, bedding, containers)? 2282

– Does the plan provide for the acquisition, storage, and security of food and water supplies? Does 2283

the plan provide for the diverse dietary needs of household pets? 2284


4-24

• Registration and Animal Intake 2285

– Does the plan establish provisions for the sheltering of unclaimed animals that cannot be 2286

immediately transferred to an animal control shelter? 2287

– Does the plan provide for segregation or seizure of household pets showing signs of abuse? 2288

– Does the plan provide for household pet registration? Does the plan provide for installation and 2289

reading of microchip technology for rapid and accurate identification of household pets? 2290

– Does the plan provide for technical consultation/supervision by a veterinarian or veterinary 2291

technician as official responders? 2292

– Does the plan identify the need for all animals to have a current rabies vaccination? 2293

– Does the plan provide for the case when non-eligible animals are brought to the shelter?9 2294

• Animal Care 2295

– Does the plan provide for the housing of a variety of household pet species (e.g., size of 2296

crate/cage, temperature control, appropriate lighting)? 2297

– Does the plan provide for separation of household pets based on appropriate criteria and 2298

requirements?10 2299

– Does the plan provide for the consultation of a veterinarian or animal care expert with household 2300

pet sheltering experience regarding facility setup and maintenance? 2301

– Does the plan provide for the setup and maintenance of household pet confinement areas (e.g., 2302

crates, cages, pens) for safety, cleanliness, and control of noise level? 2303

– Does the plan recommend the setup of a household pet first aid area inside each shelter? 2304

– Does the plan provide for the control of fleas, ticks, and other pests at each congregate household 2305

pet shelter? 2306

– Does the plan provide criteria for designating and safely segregating aggressive animals? 2307

– Does the plan provide for the segregation or quarantine of household pets to prevent the 2308

transmission of disease? 2309

– Does the plan recommend the relocation of a household pet to an alternate facility (e.g., 2310

veterinary clinic, animal control shelter) due to illness, injury, or aggression? 2311

– Does the plan recommend providing controlled areas (indoor or outdoor) for exercising dogs? 2312

– Does the plan provide for household pet waste and dead animal disposal? 2313

– Does the plan provide for the reunion of rescued animals with their owners? 2314

– Does the plan include mechanisms or processes to address the long-term care, permanent 2315

relocation, or disposal of unclaimed household pets? 2316


– Does the plan provide mechanisms for continually updating public statements on shelter capacity 2318

and availability as people/animals are coming to shelters? 2319

– Does the plan provide for a public education program? 2320

9 According to FEMA Disaster Assistance Policy 9523.19, household pets do not include reptiles (except turtles), amphibians, fish, insects/arachnids, farm animals (including horses), and animals kept for racing purposes. 10 Animal Welfare Publications and Reports. United States Department of Agriculture, Animal and Plant Health Inspection Service. http://www.aphis.usda.gov/animal_welfare/publications_and_reports.shtml.


4-25

– Does the plan provide for the coordination of household pet evacuation and sheltering 2321

information with the jurisdiction’s public information officer or Joint Information Center? 2322

– Does the plan provide for communication of public information regarding shelter-in-place 2323

accommodation of household pets, if available? 2324

• Record Keeping 2325

– Does the plan define the methods of pre- and post-declaration funding for the jurisdiction’s 2326

household pet and service animal preparedness and emergency response program? 2327

– Does the plan describe how to capture eligible costs for reimbursement by the Public Assistance 2328

Program as defined in Disaster Assistance Policy (DAP) 9523.19, Eligible Costs Related to Pet 2329

Evacuations and Sheltering? 2330

– Does the plan describe how to capture eligible donations for volunteer labor and resources as 2331

defined in DAP 9525.2, Donated Resources? 2332

– Does the plan describe how to capture eligible donations for mutual aid resources as defined in 2333

DAP 9523.6, Mutual Aid Agreements for Public Assistance and Fire Management Assistance? 2334

2335

Similar checklists can be developed as appropriate by the jurisdiction to address other critical population 2336

sectors, including populations with diverse languages and culture, populations with economic challenges, 2337

populations that depend on public transportation, and nonresident visitors. 2338

Approve and Disseminate the Plan 2339

Once the plan has been validated, the planner should present the plan to the appropriate elected officials 2340

and obtain official promulgation of the plan. The promulgation process should be based in a specific 2341

statute, law, or ordinance. Obtaining the senior official’s approval through a formal promulgation 2342

documentation process is vital to gaining the widest acceptance possible for the plan. It is also important 2343

to establish the authority required for changes and modifications to the plan. 2344

2345

Once the senior official grants approval, the planner should arrange to distribute the plan and maintain a 2346

record of the people and organizations that received a copy (or copies) of the plan. “Sunshine” laws may 2347

require that a copy of the plan be posted on the jurisdiction’s website or be placed in some other public 2348

accessible location. The plan should be available in alternate formats, upon request, to maintain 2349

compliance with the Americans with Disabilities Act. 2350

Step 6: Plan Implementation and Maintenance 2351

Training 2352

After developing a plan, it must be disseminated and managers must be required to train their personnel 2353

so they have the knowledge, skills, and abilities needed to perform the tasks identified in the plan. 2354

Personnel should also be trained on the organization-specific procedures necessary to support those plan 2355

tasks. 2356

Exercise the Plan 2357

Evaluating the effectiveness of plans involves a combination of training events, exercises, and real-world 2358

incidents to determine whether the goals, objectives, decisions, actions, and timing outlined in the plan 2359

led to a successful response. In this way, homeland security and other emergency preparedness exercise 2360

programs become an integral part of the planning process. Similarly, planners need to be aware of lessons 2361

and practices from other communities. The Lessons Learned Information Sharing website 2362


4-26

(http://www.llis.dhs.gov) provides an excellent forum for evaluating concepts identified in a jurisdiction’s 2363

plan against the experiences of others. 2364

2365

A remedial action process can help a planning team identify, 2366

illuminate, and correct problems with the jurisdiction’s EOP. This 2367

process captures information from exercises, post-disaster critiques, 2368

self-assessments, audits, administrative reviews, or lessons-learned 2369

processes that may indicate that deficiencies exist. Members of the 2370

planning team should reconvene to discuss the problem and to 2371

consider and assign responsibility for generating remedies across all 2372

mission areas. Remedial actions may involve revising planning 2373

assumptions and operational concepts, changing organizational tasks, 2374

or modifying organizational implementing instructions (i.e., the 2375

SOPs/SOGs). Remedial actions may also involve providing refresher 2376

training for an organization’s personnel. 2377

2378

The final component of a remedial action process is a mechanism for 2379

tracking and following up on the assigned actions. As appropriate, 2380

significant issues and problems identified through a remedial action 2381

process and/or the annual review should provide the information 2382

needed to allow the planning team to make the necessary revision(s) 2383

to the plan. 2384

Review, Revise, and Maintain the Plan 2385

This step closes the loop in the planning process. It focuses on adding 2386

the information gained by exercising the plan to the research 2387

collected in Step 2 and starting the planning cycle over again. 2388

Remember, planning is a continuous process that does not stop when 2389

the plan is published. Plans should evolve as lessons are learned, new 2390

information and insights are obtained, and priorities are updated. 2391

2392

Planning teams should establish a process for reviewing and revising the plan. Reviews should be a 2393

recurring activity. Some jurisdictions have found it useful to review and revise portions of their EOPs 2394

every month. Many accomplish their reviews on an annual basis. In no case should any part of the plan go 2395

for more than two years without being reviewed and revised. Teams should also consider reviewing and 2396

updating the plan after the following events: 2397

• A major incident 2398

• A change in operational resources (e.g., policy, personnel, organizational structures, management 2399

processes, facilities, equipment) 2400

• A formal update of planning guidance or standards 2401

• A change in elected officials 2402

• Each activation 2403

• Major exercises 2404

• A change in the jurisdiction’s demographics or hazard or threat profile 2405

• A change in the acceptability of various risks 2406

• The enactment of new or amended laws or ordinances. 2407

“Living” Plans

Plans must not be placed on a

shelf to collect dust!

Whenever possible, training and

exercise must be conducted for

each plan to ensure that current

and new personnel are familiar

with the priorities, goals,

objectives and courses of action.

Plan maintenance is also critical

to the continued utility of the

plans an organization has

developed. A number of

operations have had setbacks

due to old information, ineffective

procedures, incorrect role

assignments, and outdated laws.

Further, the priorities for a

jurisdiction may change over time

as the makeup of the included

communities change, as

resources expand or contract,

and as capabilities evolve.

Routinely Review Your Plans!

A-1

Appendix A: Authorities and 2408

References 2409

Authorities and Directives 2410

Americans with Disabilities Act of 1990 as amended by the Americans with Disabilities Act 2411

Amendments Act of 2008, Public Law 110-325. 2412

Architectural Barriers Act of 1968, 41 U.S.C. 4151 et seq. 2413

Civil Rights Act of 1964, Title VI, Public Law 88-352. 2414

Code of Federal Regulations, Title 44, Chapter 1, Federal Emergency Management Agency, 2415

October 1, 2009. 2416

Consolidated Appropriations Act, 2008, Public Law 110-161. 2417

Disaster Mitigation Act of 2000, Public Law 106-390. 2418

Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency, 2419

August 11, 2000. 2420

Executive Order 13347, Individuals with Disabilities in Emergency Preparedness, July 26, 2004. 2421

Fair Housing Act as amended in 1988, 42 U.S.C 3601. 2422

Homeland Security Act of 2002, 6 U.S.C. 101, et seq., as amended. 2423

Homeland Security Presidential Directive 5, Management of Domestic Incidents, February 28, 2003. 2424

Homeland Security Presidential Directive 7, Critical Infrastructure Identification, Prioritization, 2425

and Protection, December 17, 2003. 2426

Homeland Security Presidential Directive 8, National Preparedness, December 17, 2003. 2427

Homeland Security Presidential Directive 8, Annex I, National Planning, February 2008. 2428

National Security Presidential Directive 51/ Homeland Security Presidential Directive 20, National 2429

Continuity Policy, May 4, 2007. 2430

Pets Evacuation and Transportation Standards Act of 2006, Public Law 109-308. 2431

Post-Katrina Emergency Management Reform Act of 2006, Public Law 109-295. 2432

Rehabilitation Act of 1973, Public Law 93-112. 2433


A-2

Robert T. Stafford Disaster Relief and Emergency Assistance Act of 1988, 42 U.S.C. 5121, et seq., 2434

as amended. 2435

Superfund Amendments and Reauthorization Act of 1986, Public Law 99-149, as amended. 2436

References 2437

Abbott, L. 2002. “Emergency Planning in Local Authorities.” Municipal Engineer. 151(4): pp. 245–247. 2438

Alexander, D. 2002. Principles of Emergency Planning and Management. Oxford University Press. 2439

“Americans with Disabilities Act Best Practices Tool Kit for State and Local Governments.” U.S. 2440

Department of Justice. (http://www.usdoj.gov/crt/ada//pcatoolkit/chap7shelterchk.htm). 2441

“An Americans with Disabilities Act Guide for Local Governments: Making Community Emergency 2442

Preparedness and Response Programs Accessible to People with Disabilities.” U.S. Department of 2443

Justice. (http://www.usdoj.gov/crt/ada/emergencyprep.htm). 2444

Association of State and Territorial Health Officials. 2002. Preparedness Planning for State Health 2445

Officials: An Analysis of State Emergency Operations Plans. Washington, DC: Association of State and 2446

Territorial Health Officials. 2447

Canton, L.G. 2007. Emergency Management: Concepts and Strategies for Effective Programs. Hoboken, 2448

NJ: John Wiley and Sons. 2449

“Disability Preparedness Resource Center.” Disability Preparedness. U.S. Department of Homeland 2450

Security. (http://www.DisabilityPreparedness.gov). 2451

Drabek, T. 1986. Human Systems Response to Disaster: An Inventory of Sociological Findings. 2452

New York, NY: Springer-Verlag. 2453

Drabek, T., H. Tammings, T. Kilijanek, and C. Adams. 1981. Managing Multiorganizational Emergency 2454

Responses. Boulder, CO: University of Colorado. 2455

Dynes, R.R. 1994. “Community Emergency Planning: False Assumptions and Inappropriate Analogies.” 2456

International Journal of Mass Emergencies and Disasters. 12 (2): pp. 141–158 (August). 2457

Dynes, R.R., E.L. Quarantelli, and G.A. Kreps. 1981. A Perspective on Disaster Planning, 3rd ed. Report 2458

Series No. 11. Columbus, OH: Disaster Research Center, The Ohio State University. 2459

Emergency Management Accreditation Program. 2007. Emergency Management Accreditation Program 2460

Standard. Lexington, KY: Emergency Management Accreditation Program. 2461

Emergency Planning and Special Needs Populations. FEMA Emergency Management Institute. 2462

(http://training.fema.gov/index.asp). 2463

Federal Emergency Management Agency (FEMA). 2008. Chemical Stockpile Emergency Preparedness 2464

Program Planning Guidance. Washington, DC: FEMA. 2465

2009. Accommodating Individuals with Disabilities in the Provision of Disaster Mass Care, 2466

Housing, and Human Services. FEMA. (http://www.fema.gov/oer/reference/). 2467

Appendix A: Authorities and References

A-3

Gordon, J.A. 2002. Comprehensive Emergency Management for Local Governments: Demystifying 2468

Emergency Planning. New London, CT: Rothstein Associates, Incorporated. 2469

Hewett, P.L., Jr., J.E. Mitrani, W.C. Metz, and J.J. Vercellone. 2001. “Coordinating, Integrating, and 2470

Synchronizing Disaster Response: Use of an Emergency Response Synchronization Matrix in Emergency 2471

Planning, Exercises, and Operations.” International Journal of Mass Emergencies and Disasters 19(3): 2472

pp. 329–348 (August). 2473

Inman, A. 2005. Planning for the Unplanned. New York, NY: Routledge. 2474

Jablonowski, M. 1999. “Divide and Conquer: A Modular Approach to Contingency Planning.” Disaster 2475

Recovery Journal. Fall: pp. 70–72. 2476

Kamien, D. (Ed.). 2006. The McGraw Hill Homeland Security Handbook. New York, NY: McGraw Hill. 2477

Lindell, M.K., and R.W. Perry. 1992. Behavioral Foundations of Community Emergency Planning. 2478

Washington, DC: Hemisphere Publishing Corporation. 2479

National Fire Protection Association. 2010. National Fire Protection Association 1600: Standard on 2480

Disaster/Emergency Management and Business Continuity Programs. Quincy, MA: National Fire 2481

Protection Association. 2482

National Response Team. 2001. NRT 1: Hazardous Materials Emergency Planning Guide. Washington, 2483

DC: National Response Team. 2484

O’Leary, M. (Ed.). 2004. The First 72 Hours: A Community Approach to Disaster Preparedness. 2485

New York, NY: iUniverse, Incorporated. 2486

Perry, R.W., and M.K. Lindell. 2007. Emergency Planning. Hoboken, NJ: John Wiley and Sons. 2487

Quarantelli, E.L. 1995. Disaster Planning, Emergency Management and Civil Protection: The Historical 2488

Development and Current Characteristics of Organized Efforts to Prevent and Respond to Disasters. 2489

Paper No. 227. Newark, DE: Disaster Research Center, University of Delaware. 2490

1989. “Planning and Management for the Prevention and Mitigation of Natural Disasters, 2491

Especially in a Metropolitan Context: Initial Questions and Issues Which Need to Be Addressed.” 2492

Planning for Crisis Relief: Towards Comprehensive Resource Management and Planning for 2493

Natural Disaster Prevention, Volume 3. Nagoya, Japan: United Nations Centre for Regional 2494

Development. 2495

1988. “Assessing Disaster Preparedness Planning.” Regional Development Dialogue. 9(1): 2496

pp. 48–69 (Spring). 2497

1987. Criteria Which Could Be Used in Assessing Disaster Preparedness Planning and 2498

Managing. Paper No. 122. Newark, DE: Disaster Research Center, University of Delaware. 2499

1985. Organization Behavior in Disasters and Implications for Planning. Report Series No. 18. 2500

Newark, DE: Disaster Research Center, University of Delaware. 2501

“Saving Lives: Including People with Disabilities in Emergency Planning.” National Council on 2502

Disability. (http://www.ncd.gov/newsroom/publications/2005/saving_lives.htm). 2503


A-4

Schwab, A.K., K. Eschelbach, and D.J. Brower. 2007. Hazard Mitigation and Preparedness. Hoboken, 2504

NJ: John Wiley and Sons. 2505

Sylves, R.T., and W. Waugh, Jr. 1996. Disaster Management in the U.S. and Canada: The Politics, 2506

Policymaking, Administration, and Analysis of Emergency Management. Springfield, IL: Charles C. 2507

Thomas Publisher. 2508

U.S. Department of the Army. 2005. Field Manual 5-0: Army Planning and Orders Production. 2509

Washington, DC: U.S. Department of the Army. 2510

U.S. Department of Homeland Security (DHS). 2008. DHS Risk Lexicon. Washington, DC: DHS. 2511

2009. National Infrastructure Protection Plan. Washington, DC: DHS. 2512

2008. National Incident Management System. Washington, DC: DHS. 2513

2008. National Response Framework. Washington, DC: DHS. 2514

2007. Accommodating Individuals with Disabilities in the Provision of Disaster Mass Care, 2515

Housing, and Human Services Reference Guide. Washington, DC: DHS. 2516

2007. Emergency Management Planning Guide for Special Needs Populations. Washington, DC: 2517

DHS. 2518

2007. National Preparedness Guidelines. Washington, DC: DHS. 2519

2007. National Strategy for Information Sharing. Washington, DC: DHS. 2520

2006. Local and Tribal NIMS Integration, Version 1.0. Washington, DC: DHS. 2521

2006. Nationwide Plan Review Phase 2 Report. Washington, DC: DHS. 2522

2006. State NIMS Integration, Version 1.0. Washington, DC: DHS. 2523

2005. National Planning Scenarios. Washington, DC: DHS. 2524

2005. National Preparedness Guidance. Washington, DC: DHS. 2525

Waeckerle, J.F. 1991. “Disaster Planning and Response.” The New England Journal of Medicine. 2526

324(12): pp. 815–821 (March). 2527

Wang, H.M. 2004. “Contingency Planning: Emergency Planning for Terrorist Attacks.” IEEE A&E 2528

Systems Magazine: pp. 21–25 (March). 2529

Waugh, W.L., and K. Tierney (Eds.). 2007. Emergency Management: Principles and Practice for Local 2530

Government, 2nd ed. International City Management Association. 2531

Working Conference on Emergency Management and Individuals with Disabilities and the Elderly. U.S. 2532

Department of Health and Human Services and U.S. Department of Homeland Security. (http://www.add-2533

em-conf.com/index.htm). 2534

B-1

Appendix B: List of 2535

Acronyms and Glossary 2536

List of Acronyms 2537

AAR After-Action Report 2538

CBRNE Chemical, Biological, Radiological, Nuclear, and High-Yield Explosive 2539

CERT Community Emergency Response Team 2540

CIKR Critical Infrastructure and Key Resources 2541

COG Continuity of Government 2542

CONOPS Concept of Operations 2543

COOP Continuity of Operations 2544

CPG Comprehensive Preparedness Guide 2545

DAP Disaster Assistance Policy 2546

DHS U.S. Department of Homeland Security 2547

EAS Emergency Alert System 2548

EMS Emergency Medical Services 2549

EOC Emergency Operations Center 2550

EOP Emergency Operations Plan 2551

ESF Emergency Support Function 2552

FEMA Federal Emergency Management Agency 2553

FOG Field Operations Guide 2554

HAZMAT Hazardous Material(s) 2555

HAZUS-MH Hazards U.S. Multi-Hazard 2556

ICS Incident Command System 2557

JFO Joint Field Office 2558

LEPC Local Emergency Planning Committee 2559

MAA Mutual Aid Agreement 2560

MOA Memorandum of Agreement 2561

MOU Memorandum of Understanding 2562

NIMS National Incident Management System 2563

NRF National Response Framework 2564

P.L. Public Law 2565

SOG Standard Operating Guideline 2566

SOP Standard Operating Procedure 2567

U.S.C. United States Code 2568

Glossary 2569

Access and Functional Needs 2570

Those actions, services, accommodations, and programmatic, architectural, and communication 2571

modifications that a covered entity must undertake or provide to afford individuals with disabilities a full 2572

and equal opportunity to use and enjoy programs, services, activities, goods, facilities, privileges, 2573

advantages, and accommodations in the most integrated setting. These actions are in light of the exigent 2574


B-2

circumstances of the emergency and the legal obligation to undertake advance planning and prepare to 2575

meet the disability-related needs of individuals who have disabilities as defined by the Americans with 2576

Disabilities Act Amendments Act of 2008, P.L. 110-325, and those associated with them. 2577

2578

Access and functional needs may include modifications to programs, policies, procedures, architecture, 2579

equipment, services, supplies, and communication methods. Examples of “access and functional needs” 2580

services may include a reasonable modification of a policy, practice, or procedure or the provision of 2581

auxiliary aids and services to achieve effective communication, including but not limited to: 2582

• An exception for service animals in an emergency shelter where there is a no-pets policy 2583

• The provision of way-finding assistance to someone who is blind to orient to new surroundings 2584

• The transferring and provision of toileting assistance to an individual with a mobility disability 2585

• The provision of an interpreter to someone who is deaf and seeks to fill out paperwork for public 2586

benefits. 2587

American Red Cross 2588

A nongovernmental humanitarian organization led by volunteers that provides relief to victims of 2589

disasters and helps people prevent, prepare for, respond to, and recover from emergencies. The American 2590

Red Cross accomplishes this through services that are consistent with its Congressional Charter and the 2591

Principles of the International Red Cross Movement. 2592

Attack 2593

A hostile action taken against the United States by foreign forces or terrorists, resulting in the destruction 2594

of or damage to military targets, injury or death to the civilian population, or damage to or destruction of 2595

public and private property. 2596

Capabilities-based Planning 2597

Planning, under uncertainty, to provide capabilities suitable for a wide range of threats and hazards while 2598

working within an economic framework that necessitates prioritization and choice. Capabilities-based 2599

planning addresses uncertainty by analyzing a wide range of scenarios to identify required capabilities. 2600

Checklist 2601

Written (or computerized) enumeration of actions to be taken by an individual or organization meant to 2602

aid memory rather than provide detailed instruction. 2603

Citizen Corps 2604

A community-based program, administered by FEMA, which includes Citizen Corps councils and other 2605

programs that bring government and nongovernmental entities together to conduct all-hazards emergency 2606

preparedness and operations. Through its network of state, territorial, tribal and local councils, Citizen 2607

Corps increases community preparedness and response capabilities through collaborative planning, public 2608

education, outreach, training, and volunteer service. Additionally, programs like the Community 2609

Emergency Response Team Program train members of the public in basic disaster response skills, such as 2610

fire safety, light search and rescue, team organization, and disaster medical operations. 2611

Appendix B: List of Acronyms and Glossary

B-3

Community 2612

Community has more than one definition. Each use depends on the context: 2613

• A political or geographical entity that has the authority to adopt and enforce laws and ordinances for 2614

the area under its jurisdiction. In most cases, the community is an incorporated town, city, township, 2615

village, or unincorporated area of a county. However, each state defines its own political subdivisions 2616

and forms of government. 2617

• A group of individuals (community of interest) who have a religion, a lifestyle, activity interests, an 2618

interest in volunteer organizations, or other characteristics in common. These communities may 2619

belong to more than one geographic community. Examples include: faith-based and social 2620

organizations; nongovernmental and volunteer organizations; private service providers; critical 2621

infrastructure operators; and local and regional corporations. 2622

Consequence 2623

An effect of an incident or occurrence. 2624

Dam 2625

A barrier built across a watercourse for the purpose of impounding, controlling, or diverting the flow of 2626

water. 2627

Damage Assessment 2628

The process used to appraise or determine the number of injuries and deaths, damage to public and private 2629

property, and status of key facilities and services (e.g., hospitals and other health care facilities, fire and 2630

police stations, communications networks, water and sanitation systems, utilities, transportation 2631

networks) resulting from a human-caused or natural disaster. 2632

Disability 2633

According to the Americans with Disabilities Act, the term “individual with a disability” refers to “a 2634

person who has a physical or mental impairment that substantially limits one or more major life activities, 2635

a person who has a history or record of such an impairment, or a person who is regarded by others as 2636

having such an impairment.” The term “disability” has the same meaning as that used in the Americans 2637

with Disabilities Act Amendments Act of 2008, P.L. 110-325, as incorporated into the Americans with 2638

Disabilities Act. See http://www.ada.gov/pubs/ada.htm for the definition and specific changes to the text 2639

of the Americans with Disabilities Act. State laws and local ordinances may also include individuals 2640

outside the Federal definition. 2641

Disaster 2642

An occurrence of a natural catastrophe, technological accident, or human-caused incident that has resulted 2643

in severe property damage, deaths, and/or multiple injuries. As used in this Guide, a “large-scale disaster” 2644

is one that exceeds the response capability of the local jurisdiction and requires state, and potentially 2645

Federal, involvement. As used in the Robert T. Stafford Disaster Relief and Emergency Assistance Act 2646

(Stafford Act), a “major disaster” is “any natural catastrophe [...] or, regardless of cause, any fire, flood, 2647

or explosion, in any part of the United States, which in the determination of the President causes damage 2648

of sufficient severity and magnitude to warrant major disaster assistance under [the] Act to supplement 2649

the efforts and available resources of states, local governments, and disaster relief organizations in 2650

alleviating the damage, loss, hardship, or suffering caused thereby” (Stafford Act, Sec. 102(2), 42 U.S.C. 2651

5122(2)). 2652


B-4

Earthquake 2653

The sudden motion or trembling of the ground produced by abrupt displacement of rock masses, usually 2654

within the upper 10 to 20 miles of the earth’s surface. 2655

Emergency 2656

Any incident, whether natural or human-caused, that requires responsive action to protect life or property. 2657

Under the Stafford Act, an emergency “means any occasion or instance for which, in the determination of 2658

the President, Federal assistance is needed to supplement state and local efforts and capabilities to save 2659

lives and to protect property and public health and safety, or to lessen or avert the threat of a catastrophe 2660

in any part of the United States” (Stafford Act, Sec. 102(1), 42 U.S.C. 5122(1)). 2661

Emergency Assistance 2662

According to the National Response Framework, emergency assistance is “[a]ssistance required by 2663

individuals, families, and their communities to ensure that immediate needs beyond the scope of the 2664

traditional ‘mass care’ services provided at the local level are addressed. These services include: support 2665

to evacuations (including registration and tracking of evacuees); reunification of families; provision of aid 2666

and services to special needs populations; evacuation, sheltering, and other emergency services for 2667

household pets and services animals; support to specialized shelters; support to medical shelters; 2668

nonconventional shelter management; coordination of donated goods and services; and coordination of 2669

voluntary agency assistance.” 2670

Emergency Medical Services 2671

Services, including personnel, facilities, and equipment, required to ensure proper medical care for the 2672

sick and injured from the time of injury to the time of final disposition (which includes medical 2673

disposition within a hospital, temporary medical facility, or special care facility; release from the site; or 2674

being declared dead). Further, emergency medical services specifically includes those services 2675

immediately required to ensure proper medical care and specialized treatment for patients in a hospital 2676

and coordination of related hospital services. 2677

Emergency Operations Center 2678

The physical location at which the coordination of information and resources to support incident 2679

management (on-scene operations) activities normally takes place. An Emergency Operations Center may 2680

be a temporary facility or may be located in a more central or permanently established facility, perhaps at 2681

a higher level of organization within a jurisdiction. Emergency Operations Centers may be organized by 2682

major functional disciplines (e.g., fire, law enforcement, medical services), by jurisdiction (e.g., Federal, 2683

state, tribal, regional, city, county), or by some combination thereof. 2684

Emergency Operations Plan 2685

The ongoing plan maintained by various jurisdictional levels for responding to a wide variety of potential 2686

hazards. It describes how people and property will be protected; details who is responsible for carrying 2687

out specific actions; identifies the personnel, equipment, facilities, supplies, and other resources available; 2688

and outlines how all actions will be coordinated. 2689

Emergency Support Function 2690

Used by the Federal Government and many state governments as the primary mechanism at the 2691

operational level to organize and provide assistance. Emergency Support Functions align categories of 2692

resources and provide strategic objectives for their use. Emergency Support Functions use standardized 2693


B-5

resource management concepts such as typing, inventorying, and tracking to facilitate the dispatch, 2694

deployment, and recovery of resources before, during, and after an incident. 2695

Evacuation 2696

The organized, phased, and supervised withdrawal, dispersal, or removal of civilians from dangerous or 2697

potentially dangerous areas, and their reception and care in safe areas. 2698

• A spontaneous evacuation occurs when residents or citizens in the threatened areas observe an 2699

incident or receive unofficial word of an actual or perceived threat and, without receiving instructions 2700

to do so, elect to evacuate the area. Their movement, means, and direction of travel are unorganized 2701

and unsupervised. 2702

• A voluntary evacuation is a warning to persons within a designated area that a threat to life and 2703

property exists or is likely to exist in the immediate future. Individuals issued this type of warning or 2704

order are not required to evacuate; however, it would be to their advantage to do so. 2705

• A mandatory or directed evacuation is a warning to persons within the designated area that an 2706

imminent threat to life and property exists and individuals must evacuate in accordance with the 2707

instructions of local officials. 2708

Evacuees 2709

All persons removed or moving from areas threatened or struck by a disaster. 2710

Federal Coordinating Officer 2711

The official appointed by the President to execute Stafford Act authorities, including the commitment of 2712

FEMA resources and mission assignments of other Federal departments or agencies. In all cases, the 2713

Federal Coordinating Officer represents the FEMA Administrator in the field to discharge all FEMA 2714

responsibilities for the response and recovery efforts underway. For Stafford Act incidents, the Federal 2715

Coordinating Officer is the primary Federal representative with whom the State Coordinating Officer and 2716

other response officials interface to determine the most urgent needs and to set objectives for an effective 2717

response in collaboration with the Unified Coordination Group. 2718

Flood 2719

A general and temporary condition of partial or complete inundation of normally dry land areas from 2720

overflow of inland or tidal waters, unusual or rapid accumulation or runoff of surface waters, or 2721

mudslides/mudflows caused by accumulation of water. 2722

Governor’s Authorized Representative 2723

An individual empowered by a Governor to: (1) execute all necessary documents for disaster assistance 2724

on behalf of the state, including certification of applications for public assistance; (2) represent the 2725

Governor of the impacted state in the Unified Coordination Group, when required; (3) coordinate and 2726

supervise the state disaster assistance program to include serving as its grant administrator; and (4) 2727

identify, in coordination with the State Coordinating Officer, the state’s critical information needs for 2728

incorporation into a list of Essential Elements of Information. 2729

Hazard 2730

A natural, technological, or human-caused source or cause of harm or difficulty. 2731


B-6

Hazardous Material 2732

Any substance or material that, when involved in an accident and released in sufficient quantities, poses a 2733

risk to people’s health, safety, and/or property. These substances and materials include explosives, 2734

radioactive materials, flammable liquids or solids, combustible liquids or solids, poisons, oxidizers, 2735

toxins, and corrosive materials. 2736

Household Pet 2737

According to FEMA Disaster Assistance Policy 9253.19, “[a] domesticated animal, such as a dog, cat, 2738

bird, rabbit, rodent, or turtle, that is traditionally kept in the home for pleasure rather than for commercial 2739

purposes, can travel in commercial carriers, and be housed in temporary facilities. Household pets do not 2740

include reptiles (except turtles), amphibians, fish, insects/arachnids, farm animals (including horses), and 2741

animals kept for racing purposes.” This definition is used by FEMA to determine assistance that FEMA 2742

will reimburse and is the definition used in the production of this Guide. Individual jurisdictions may 2743

have different definitions based on other criteria. 2744

Hurricane 2745

A tropical cyclone, formed in the atmosphere over warm ocean areas, in which wind speeds reach 74 2746

miles per hour or more and blow in a large spiral around a relatively calm center or eye. Circulation is 2747

counter-clockwise in the Northern Hemisphere and clockwise in the Southern Hemisphere. 2748

Incident 2749

An occurrence or event—natural, technological, or human-caused—that requires a response to protect 2750

life, property, or the environment (e.g., major disasters, emergencies, terrorist attacks, terrorist threats, 2751

civil unrest, wildland and urban fires, floods, hazardous materials spills, nuclear accidents, aircraft 2752

accidents, earthquakes, hurricanes, tornadoes, tropical storms, tsunamis, war-related disasters, public 2753

health and medical emergencies, other occurrences requiring an emergency response). 2754

Incident Command System 2755

A standardized on-scene emergency management construct specifically designed to provide an integrated 2756

organizational structure that reflects the complexity and demands of single or multiple incidents, without 2757

being hindered by jurisdictional boundaries. The Incident Command System is the combination of 2758

facilities, equipment, personnel, procedures, and communications operating within a common 2759

organizational structure and designed to aid in the management of resources during incidents. It is used 2760

for all kinds of emergencies and is applicable to small, as well as large and complex, incidents. The 2761

Incident Command System is used by various jurisdictions and functional agencies, both public and 2762

private, to organize field-level incident management operations. 2763

Incident Management Assistance Team 2764

A national-based or regional-based team composed of SMEs and incident management professionals, 2765

usually composed of personnel from multiple Federal departments and agencies, which provide incident 2766

management support during a major incident. 2767

Joint Field Office 2768

The primary Federal incident management field structure. The Joint Field Office is a temporary Federal 2769

facility that provides a central location for the coordination of Federal, state, territorial, tribal, and local 2770

governments and private sector and nongovernmental organizations with primary responsibility for 2771

response and recovery. The Joint Field Office structure is organized, staffed, and managed in a manner 2772


B-7

consistent with National Incident Management System principles and is led by the Unified Coordination 2773

Group. Although the Joint Field Office uses an Incident Command System structure, the Joint Field 2774

Office does not manage on-scene operations. Instead, the Joint Field Office focuses on providing support 2775

to on-scene efforts and conducting broader support operations that may extend beyond the incident site. 2776

Joint Information Center 2777

A facility established to coordinate all incident-related public information activities. It is the central point 2778

of contact for all news media. Public information officials from all participating agencies should co-locate 2779

at the Joint Information Center. 2780

Jurisdiction 2781

Jurisdiction has more than one definition. Each use depends on the context: 2782

• A range or sphere of authority. Public agencies have jurisdiction at an incident related to their legal 2783

responsibilities and authority. Jurisdictional authority at an incident can be political or geographical 2784

(e.g., city, county, tribal, state, or Federal boundary lines) or functional (e.g., law enforcement, public 2785

health). 2786

• A political subdivision (e.g., Federal, state, county, parish, municipality) with the responsibility for 2787

ensuring public safety, health, and welfare within its legal authorities and geographic boundaries. 2788

Likelihood 2789

Estimate of the potential for an incident’s occurrence. 2790

Limited English Proficiency 2791

Persons who do not speak English as their primary language and who have a limited ability to read, speak, 2792

write, or understand English. 2793

Mass Care 2794

The actions that are taken to protect evacuees and other disaster victims from the effects of the disaster. 2795

Activities include mass evacuation, mass sheltering, mass feeding, access and functional needs support, 2796

and household pet and service animal coordination. 2797

Mitigation 2798

Activities providing a critical foundation in the effort to reduce the loss of life and property from natural 2799

and/or human-caused disasters by avoiding or lessening the impact of a disaster and providing value to 2800

the public by creating safer communities. Mitigation seeks to fix the cycle of disaster damage, 2801

reconstruction, and repeated damage. These activities or actions, in most cases, will have a long-term 2802

sustained effect. 2803

National Incident Management System 2804

A set of principles that provides a systematic, proactive approach guiding government agencies at all 2805

levels, nongovernmental organizations, and the private sector to work seamlessly to prevent, protect 2806

against, respond to, recover from, and mitigate the effects of incidents, regardless of cause, size, location, 2807

or complexity, in order to reduce the loss of life or property and harm to the environment. 2808


B-8

National Response Framework 2809

This document establishes a comprehensive, national, all-hazards approach to domestic incident response. 2810

It serves as a guide to enable responders at all levels of government and beyond to provide a unified 2811

national response to a disaster. It defines the key principles, roles, and structures that organize the way 2812

U.S. jurisdictions plan and respond. 2813

Nongovernmental Organization 2814

An entity with an association that is based on the interests of its members, individuals, or institutions. It is 2815

not created by a government, but it may work cooperatively with government. Such organizations serve a 2816

public purpose and are not for private benefit. Examples of nongovernmental organizations include faith-2817

based charity organizations and the American Red Cross. 2818

Planning Assumptions 2819

Parameters that are expected and used as a context, basis, or requirement for the development of response 2820

and recovery plans, processes, and procedures. If a planning assumption is not valid for a specific 2821

incident’s circumstances, the plan may not be adequate to ensure response success. Alternative methods 2822

may be needed. For example, if a decontamination capability is based on the planning assumption that the 2823

facility is not within the zone of release, this assumption must be verified at the beginning of the response. 2824

Preparedness 2825

Actions that involve a combination of planning, resources, training, exercising, and organizing to build, 2826

sustain, and improve operational capabilities. Preparedness is the process of identifying the personnel, 2827

training, and equipment needed for a wide range of potential incidents, and developing jurisdiction-2828

specific plans for delivering capabilities when needed for an incident. 2829

Prevention 2830

Actions to avoid an incident or to intervene to stop an incident from occurring. Prevention involves 2831

actions to protect lives and property. It involves applying intelligence and other information to a range of 2832

activities that may include such countermeasures as deterrence operations; heightened inspections; 2833

improved surveillance and security operations; investigations to determine the full nature and source of 2834

the threat; public health and agricultural surveillance and testing processes; immunizations, isolation, or 2835

quarantine; and, as appropriate, specific law enforcement operations aimed at deterring, preempting, 2836

interdicting, or disrupting illegal activity and apprehending potential perpetrators and bringing them to 2837

justice. 2838

Protected Group 2839

A group of people qualified for special protection by a law, policy, or similar authority. For example, 2840

Title VI of the Civil Rights Act of 1964 protects against discrimination on the grounds of race, color, or 2841

national origin. 2842

Protection 2843

Actions to reduce or eliminate a threat to people, property, and the environment. Primarily focused on 2844

adversarial incidents, the protection of critical infrastructure and key resources is vital to local 2845

jurisdictions, national security, public health and safety, and economic vitality. Protective actions may 2846

occur before, during, or after an incident and prevent, minimize, or contain the impact of an incident. 2847


B-9

Recovery 2848

The development, coordination, and execution of service and site restoration plans; the reconstitution of 2849

government operations and services; individual, private sector, nongovernmental, and public assistance 2850

programs to provide housing and to promote restoration; long-term care and treatment of affected 2851

persons; additional measures for social, political, environmental, and economic restoration; evaluation of 2852

the incident to identify lessons learned; post-incident reporting; and development of initiatives to mitigate 2853

the effects of future incidents. 2854

Resource Management 2855

A system for identifying available resources at all jurisdictional levels to enable timely, efficient, and 2856

unimpeded access to resources needed to prepare for, respond to, or recover from an incident. Resource 2857

management under the National Incident Management System includes mutual aid and assistance 2858

agreements; the use of special Federal, state, territorial, tribal, and local teams; and resource mobilization 2859

protocols. 2860

Response 2861

Immediate actions to save and sustain lives, protect property and the environment, and meet basic human 2862

needs. Response also includes the execution of plans and actions to support short-term recovery. 2863

Risk 2864

The potential for an unwanted outcome resulting from an incident or occurrence, as determined by its 2865

likelihood and the associated consequences. 2866

Risk Analysis 2867

A systematic examination of the components and characteristics of risk. 2868

Risk Assessment 2869

A product or process that collects information and assigns values to risks for the purpose of informing 2870

priorities, developing or comparing courses of action, and informing decision making. 2871

Risk Identification 2872

The process of finding, recognizing, and describing potential risks. 2873

Risk Management 2874

The process of identifying, analyzing, assessing, and communicating risk and accepting, avoiding, 2875

transferring, or controlling it to an acceptable level at an acceptable cost. 2876

Scenario 2877

Hypothetical situation composed of a hazard, an entity impacted by that hazard, and associated conditions 2878

including consequences when appropriate. 2879

Scenario-based Planning 2880

A planning approach that uses a hazard vulnerability assessment to assess the hazard’s impact on an 2881

organization on the basis of various threats that the organization could encounter. These threats (e.g., 2882

hurricane, terrorist attack) become the basis of the scenario. 2883


B-10

Senior Official 2884

The elected or appointed official who, by statute, is charged with implementing and administering laws, 2885

ordinances, and regulations for a jurisdiction. He or she may be a mayor, city manager, etc. 2886

Service Animal 2887

Any guide dog, signal dog, or other animal individually trained to assist an individual with a disability. 2888

Service animals’ jobs include, but are not limited to: 2889

• Guiding individuals with impaired vision 2890

• Alerting individuals with impaired hearing (to intruders or sounds such as a baby’s cry, the doorbell, 2891

and fire alarms) 2892

• Pulling a wheelchair 2893

• Retrieving dropped items 2894

• Alerting people of impending seizures 2895

• Assisting people who have mobility disabilities with balance or stability. 2896

Standard Operating Procedure/Guideline 2897

A reference document or operations manual that provides the purpose, authorities, duration, and details 2898

for the preferred method of performing a single function or a number of interrelated functions in a 2899

uniform manner. 2900

State Coordinating Officer 2901

The individual appointed by the Governor to coordinate state disaster assistance efforts with those of the 2902

Federal Government. The State Coordinating Officer plays a critical role in managing the state response 2903

and recovery operations following Stafford Act declarations. The Governor of the affected state appoints 2904

the State Coordinating Officer, and lines of authority flow from the Governor to the State Coordinating 2905

Officer, following the state’s policies and laws. 2906

Storm Surge 2907

A dome of sea water created by strong winds and low barometric pressure in a hurricane that causes 2908

severe coastal flooding as the hurricane strikes land. 2909

Terrorism 2910

Activity that involves an act that is dangerous to human life or potentially destructive of critical 2911

infrastructure or key resources; is a violation of the criminal laws of the United States or of any state or 2912

other subdivision of the United States; and appears to be intended to intimidate or coerce a civilian 2913

population, to influence the policy of a government by intimidation or coercion, or to affect the conduct 2914

of a government by mass destruction, assassination, or kidnapping. 2915

Tornado 2916

A local atmospheric storm, generally of short duration, formed by winds rotating at very high speeds, 2917

usually in a counter-clockwise direction. The vortex, up to several hundred yards wide, is visible to the 2918

observer as a whirlpool-like column of winds rotating about a hollow cavity or funnel. Winds can be as 2919

low as 65 miles per hour, but may reach 300 miles per hour or higher. 2920


B-11

Tsunami 2921

Sea waves produced by an undersea earthquake. Such sea waves can reach a significant height resulting 2922

in damage or devastation to coastal cities and low-lying coastal areas. 2923

Uncertainty 2924

The degree to which a calculated, estimated, or observed value may deviate from the true value. 2925

Vulnerability 2926

A physical feature or operational attribute that renders an entity open to exploitation or susceptible to a 2927

given hazard. 2928

Warning 2929

The alerting of emergency response personnel and the public to the threat of extraordinary danger and the 2930

related effects that specific hazards may cause. 2931

2932


B-12

2933


C-1

Appendix C: Emergency 2935

Operations Plan Development 2936

Guide 2937

This appendix provides a pull-out guide that applies the planning process described in Chapter 4 and 2938

provides content guidance for various elements of an emergency operations plan (EOP). It includes a list 2939

of key planning elements that should be included in the basic plan and its annexes. It is not all-inclusive 2940

or intended to prescribe any particular plan format, and it is not meant to indicate that all items are 2941

appropriate to every level of government. Statutes may assign authority to perform various functions. A 2942

brief reference should be made to these statutes in the plan where applicable. 2943

Steps in the Planning Process 2944

Step 1: Form a Collaborative Planning Team. Planners must ensure that operational planning not only 2945

involves the jurisdiction’s entire emergency management and homeland security team, but also actively 2946

engages the whole community in the planning process. Planning must also be community-based, 2947

integrating the needs of the entire community. This includes addressing the critical planning requirements 2948

of children, individuals with disabilities, others with access and functional needs, and individuals with 2949

limited English proficiency. Using a team or group approach helps organizations define their perception 2950

of the role they will play during an operation. Involvement of the private sector is especially critical in 2951

this process. Initially, the team should be small, consisting of planners from the organizations that usually 2952

participate in emergency or homeland security operations. They form the core for all planning efforts. 2953

2954

Disasters begin and end locally. When the response is over, it is the local community that has to live with 2955

the decisions made during the incident. Therefore, communities should have a say in how a disaster 2956

response occurs. They should also shoulder responsibility for building their community’s resilience and 2957

enhancing its recovery before, during, and after a disaster. The community can bring capabilities and 2958

resources to an incident that may not exist in the volume needed or at all within the traditional 2959

government structure. Engaging the whole community as part of the planning team is critical for 2960

resilience. Figure 4.2 provides methods for engaging the community in the planning process. 2961

2962

Step 2: Understand the Situation. Planners should begin the problem-solving process by conducting 2963

research and analysis on the jurisdiction’s threats, hazards, and resources. Giving consideration to the 2964

potential risks a jurisdiction may face brings specificity to the planning process. If risks are viewed as 2965

problems and operational plans are the solution, then hazard and threat identification and analysis are key 2966

steps in the planning process. 2967

2968

The first step of research focuses on gathering information about the jurisdiction’s planning framework, 2969

potential risks, resource base, demographics, household pet and service animal population, and 2970

geographic characteristics that could affect emergency operations. There are many existing resources 2971

available to support planners in this step, including threat assessments, mitigation plans, local 2972

organizations (e.g., businesses, nongovernmental entities, utilities), Federal and state analyses that include 2973

data about historical incidents, and registries for population demographics. 2974


C-2

2975

The second step of the threat and hazard identification process is to organize the information into a format 2976

that is usable by the planning team. One effective method for organizing hazard or threat information is to 2977

use a matrix based on dimensions used during the risk analysis process, including the (1) probability or 2978

frequency of occurrence; (2) magnitude (i.e., the physical force associated with the hazard or threat); (3) 2979

intensity/severity (i.e., the impact or damage expected); (4) time available to warn; (5) location of the 2980

incident (i.e., an area of interest or a specific or indeterminate site or facility); (6) potential size of the 2981

affected area; (7) speed of onset (i.e., how fast the hazard or threat can impact the public); (8) duration 2982

(i.e., how long the hazard or threat will be active); and (9) cascading effects. 2983

2984

The risk assessment is the basis for EOP development. The assessment helps a planning team decide what 2985

hazards or threats merit special attention, what actions must be planned for, and what resources are likely 2986

to be needed. In order to set planning priorities, the planning team must consider the frequency of the 2987

hazard or threat and the likelihood or potential severity of its consequences in order to develop a single 2988

indicator of the risk to the jurisdiction. This can be done using a mathematical approach, qualitative 2989

ratings, or index numbers. While a mathematical approach is possible, it may be easier to manipulate 2990

qualitative ratings (e.g., high, medium, low) or index numbers (e.g., reducing quantitative information to a 2991

1-to-3, 1-to-5, or 1-to-10 scale based on defined thresholds) for different categories of information used in 2992

the ranking scheme. Some approaches involve the consideration of only two categories—frequency and 2993

consequences—and treat them as equally important. In other approaches, potential consequences receive 2994

more weight than frequency. While it is important to have a sense of the magnitude involved (i.e., 2995

whether in regard to the single indicator used to rank hazards or to estimate the numbers of people 2996

affected), these indicators are static. Some hazards or threats may pose a limited risk to the community; 2997

therefore, additional analysis is not necessary. 2998

2999

Step 3: Determine Goals and Objectives. Using information 3000

from the hazard profile developed as part of the analysis process, 3001

the planning team should think about how the hazard or threat 3002

would evolve in the jurisdiction and what defines a successful 3003

operation. During this process, the planning team identifies 3004

requirements that determine actions and resources, including the 3005

following: 3006

• Agent requirements are caused by the nature of the hazard or 3007

threat. 3008

• Response requirements are caused by actions taken in response 3009

to an incident-generated problem. 3010

• Constraint/restraint demands are caused by things planners 3011

must do, are prohibited from doing, 3012

and/or are not able to do. 3013

3014

Once the planning team identifies requirements, they restate them 3015

as priorities, goals, and objectives. Priorities indicate a desired 3016

end-state for the operation. A critical source for these priorities is 3017

the vision and desired end-state communicated by senior officials. 3018

Goals are broad, general statements that indicate the intended 3019

methods for achieving the mission and priorities, specifying 3020

desired results. Objectives are more specific and identifiable 3021

actions carried out during the operation. Clear definition of goals 3022

and objectives enables unity of effort and consistency of purpose 3023

among the multiple groups and activities involved in executing the plan. 3024

Example: Relationships among the

Mission, Operational Priorities,

Goals, and Objectives

Plan Mission: Effectively coordinate

and direct available resources to

protect the public and property from

hazards or threats.

Operational Priority: Protect the

public from hurricane weather and

storm surge.

Goal: Complete evacuation before

arrival of tropical storm winds.

Desired result: all self- and assisted

evacuees are safely outside of the

expected impact area prior to impact.

Objective: Complete tourist

evacuation 72 hours before arrival of

tropical storm winds.

Desired result: tourist segment of

public protected prior to hazard onset,

allowing resources to be redirected to

accomplishing other objectives in

support of this goal or other goals.

Appendix C: Emergency Operations Plan Development Guide

C-3

3025

Step 4: Plan Development. First, develop and analyze courses of action. This is a process of generating 3026

and comparing possible solutions for achieving the goals and objectives identified in Step 3. Use a 3027

process that combines aspects of scenario-based, functional, and capabilities-based planning. Depict how 3028

the operation unfolds by using a visual process that shows relationships among the incident’s actions, 3029

decision points, and participant activities that allow the planner to anticipate challenges. Typically, such a 3030

process follows these steps: 3031

• Establish the timeline. Planners typically use the speed of an incident’s onset to establish the 3032

timeline. Placement of decision points and response actions on the timeline depicts how soon the 3033

different entities enter the plan. 3034

• Depict the scenario. Planners use the scenario information developed in Step 3 and place the incident 3035

information on the timeline. 3036

• Identify and depict decision points. Decision points indicate the place in time, as incidents unfold, 3037

when leaders anticipate making decisions about a course of action. They indicate where and when 3038

decisions are required to provide the best chance of achieving an intermediate objective or response 3039

goal (i.e., the desired end-state). They also help planners determine how much time is available or 3040

needed to complete a sequence of actions. 3041

• Identify and depict operational tasks. For each operational task depicted, some basic information is 3042

needed. 3043

– What is the action? 3044

– Who is responsible for the action? 3045

– When should the action take place? 3046

– How long should the action take and how much time is actually available? 3047

– What has to happen before? 3048

– What happens after? 3049

– What resources does the person/entity performing the action need? 3050

• Select courses of action. Planners must compare the costs and benefits of each proposed course of 3051

action against the mission, goals, and objectives. Based on this comparison, planners then select the 3052

preferred courses of action to move forward in the planning process. To the extent possible and 3053

appropriate, senior officials should approve course of action decisions during plan development. 3054

• Identify resources. Initially, the planning team identifies resources needed to accomplish operational 3055

tasks in an unlimited manner. Once the planning team identifies all the requirements, they begin 3056

matching available resources to requirements. The EOP should account for unsolvable resource 3057

shortfalls so they are not just “assumed away.” 3058

• Identify information needs. Planners identify a “list” of the information needs for each of the 3059

response participants, including the time they need it, to drive decisions and trigger critical actions. 3060

• Assess progress. This process should be periodically “frozen” so the planning team can: 3061

– Identify progress made toward the end-state 3062

– Identify goals and objectives met and new needs or demands 3063

– Identify “single point failures” (i.e., tasks that, if not completed, would cause the operation 3064

to fall apart) 3065

3066


C-4

– Check for omissions or gaps 3067

– Check for inconsistencies in organizational relationships. 3068

3069

The planning team should work through this process by using tools that help members visualize 3070

operational flow, such as a white board, “sticky note” chart, or some type of project management or 3071

planning software. 3072

3073

Step 5: Plan Preparation, Review, and Approval. This step turns the results of the course of action 3074

development performed in Step 4 into an EOP. The planning team develops a rough draft of the basic 3075

plan or annexes. As the planning team works through successive drafts, they add necessary tables, charts, 3076

and other graphics. The team prepares a final draft and circulates it for comment to organizations that 3077

have responsibilities for implementing the plan. The written plan should be checked for its conformity to 3078

applicable regulatory requirements and the standards of Federal or state agencies (as appropriate) and for 3079

its usefulness in practice. Once validated, the planning team presents the plan to the appropriate officials 3080

for signature and promulgation. The promulgation process should be based on specific statute, law, or 3081

ordinance. Once approved, the planner should arrange to distribute the plan to stakeholders who have 3082

roles in implementing the plan. 3083

3084

Step 6: Plan Implementation and Maintenance. Evaluating the effectiveness of plans involves a 3085

combination of training events, exercises, and real-world incidents to determine whether the goals, 3086

objectives, decisions, actions, and timing outlined in the plan led to a successful response. Commonly 3087

used criteria can help decision makers determine the effectiveness and efficiency of plans. These 3088

measures include adequacy, feasibility, acceptability, completeness, and compliance with guidance or 3089

doctrine. When evaluating the plan, planners should ask the following questions: 3090

• Did an action, process, decision, or the operational timing identified in the plan make the situation 3091

worse or better? 3092

• Were new alternate courses of action identified? 3093

• Were the requirements of children, individuals with disabilities, and others with access and functional 3094

needs fully addressed and integrated into all appropriate aspects of the plan? 3095

• What aspects of the action, process, decision, or operational timing make it something to keep in the 3096

plan? 3097

• What aspects of the action, process, decision, or operational timing make it something to avoid or 3098

remove from the plan? 3099

• What specific changes to plans and procedures, personnel, organizational structures, leadership or 3100

management processes, facilities, or equipment can improve operational performance? 3101

3102

Planning teams should establish a recurring process for reviewing and revising the plan. For example, 3103

each component of the plan is reviewed and revised at a minimum of once every two years. Teams should 3104

also consider reviewing and updating the plan after the following events: 3105

• A change in operational resources 3106

• A formal update of planning guidance or standards 3107

• A change in elected or appointed officials 3108

• A plan activation or major exercise 3109


C-5

• A change in the jurisdiction’s demographics or hazard or threat profile 3110

• The enactment of new or amended laws or ordinances. 3111

3112

Figure 4.1 (page 4-1) depicts the process for planners to use when moving through the planning steps. 3113

Basic Plan Content Guide 3114

The basic plan provides an overview of the jurisdiction’s emergency management/response program and 3115

its ability to prepare for, respond to, and recover from disasters/emergencies. 3116

Promulgation Document/Signature Page 3117

This document/page is a signed statement formally recognizing and adopting the plan as the jurisdiction’s 3118

all-hazards EOP. 3119

• Include a Promulgation Statement signed by the jurisdiction’s senior elected or appointed official(s). 3120

(Note: This statement must be updated each time a new senior elected or appointed official takes 3121

office.) 3122

Approval and Implementation 3123

This page introduces the plan, outlines its applicability, and indicates that it supersedes all previous plans. 3124

• Include a delegation of authority for specific modifications that can be made to the plan and by whom 3125

they can be made without the senior official’s signature. 3126

• Include a date and ensure that the page is signed by the senior official(s) (e.g., governor, tribal 3127

leader[s], mayor, county judge, commissioner[s]). 3128

Record of Changes 3129

The record of changes, usually in table format, contains, at a minimum, a change number, the date of the 3130

change, the name of the person who made the change, and a summary of the change. Other relevant 3131

information could be considered. 3132

Record of Distribution 3133

The record of distribution is usually a table with fields that indicate the title and the name of the person 3134

receiving the plan, the agency to which the receiver belongs, the date of delivery, and the number of 3135

copies delivered. 3136

Table of Contents 3137

This item outlines the plan’s format, key sections, attachments, charts, etc. and identifies the major 3138

sections/chapters and/or key elements within the EOP. 3139

Purpose, Scope, Situation, Assumptions 3140

This section explains the plan’s intent, who is involved, and why it was developed. 3141

Purpose 3142

This section describes the purpose for developing and maintaining an EOP (e.g., coordinate local agency 3143

SOPs/SOGs, define disaster-specific procedures, outline roles and limitations). 3144


C-6

Scope 3145

This section describes at what times or under what conditions this plan would be activated (e.g., major 3146

county disaster versus minor local emergency; major state-wide disaster; terrorist attack within the local 3147

community, county, or state). 3148

Situation Overview 3149

This section provides an overview of the steps taken by the jurisdiction to prepare for disasters. 3150

3151

Hazard and Threat Analysis Summary. This section summarizes the major findings identified from a 3152

completed hazard and threat analysis of the hazards or threats likely to impact the jurisdiction and how 3153

the jurisdiction expects to receive (or provide) assistance within its regional response structures. Note: 3154

The hazard and threat analysis information can be presented as a tab to the EOP or maintained as a part of 3155

the local mitigation plan.11 3156

• Summarize/identify the hazards that pose a unique risk to the jurisdiction and would result in the need 3157

to activate this plan (e.g., threatened or actual natural disasters, acts of terrorism, other human-caused 3158

disasters). 3159

• Summarize/identify the probable high-risk areas (i.e., population, infrastructure, and environmental) 3160

that are likely to be impacted by the defined hazards (e.g., hospitals, congregate care facilities, 3161

wildlife refuges, types/numbers of homes/businesses in floodplains, areas around chemical facilities). 3162

• Summarize/identify the defined risks that have occurred and the likelihood they will continue to occur 3163

within the jurisdiction (e.g., historical frequency, probable future risk, national security threat 3164

assessments). 3165

• Describe how the intelligence from threat analysis via state/local fusion centers, joint terrorism task 3166

forces, national intelligence organizations, etc. has been incorporated into the jurisdiction’s hazard 3167

and threat analysis. 3168

• Describe how critical infrastructure and key resources (CIKR) protection activities have been 3169

incorporated into the vulnerability and impact analysis. 3170

• Describe how agricultural security; food supply security; cyber security; chemical, biological, 3171

radiological, nuclear, and high-yield explosive (CBRNE) incidents; and pandemics (those 3172

located/originating in the jurisdiction, as well as a nonlocal, nationwide, or global incident) have been 3173

assessed and incorporated. 3174

• Describe the assumptions made and the methods used to complete the jurisdiction’s hazard and threat 3175

analysis, including what tools or methodologies were used to complete the analysis (e.g., a state’s 3176

hazard analysis and risk assessment manual, mitigation plan guidance, vulnerability assessment 3177

criteria, consequence analysis criteria). 3178

• Include maps that show the high-risk areas that are likely to be impacted by the identified risks 3179

(e.g., residential/commercial areas within defined floodplains, earthquake fault zones, vulnerable 3180

zones for hazardous materials [HAZMAT] facilities/routes, areas within ingestion zones for nuclear 3181

power plants, critical infrastructure). 3182

• Describe/identify the risks that could originate in a neighboring jurisdiction and could create 3183

hazardous conditions in this jurisdiction (e.g., critical infrastructure loss, watershed runoff, chemical 3184

incident, riot/terrorist act). 3185

11 A hazard is defined as a natural, technological, or human-caused source or cause of harm or difficulty. Risk is defined as the potential for an unwanted outcome resulting from an incident or occurrence, as determined by its likelihood and the associated consequences.


C-7

• Describe/identify the unique time variables that may influence the hazard and threat analysis and 3186

preplanning for the emergency (e.g., rush hours, annual festivals, seasonal events, how quickly the 3187

incident occurs, the time of day that the incident occurs). 3188

3189

Capability Assessment. Describe the process used by the jurisdiction to determine its capabilities and 3190

limits in order to prepare for and respond to the defined hazards. Note: The jurisdiction may wish to 3191

address this topic as part of the hazard-specific annexes. This decision would allow the jurisdiction to 3192

address the unique readiness issues and limitations for each specific hazard. In this case, this section 3193

should provide an overview of the jurisdiction’s abilities and then refer the reader to the hazard-specific 3194

annexes for more detailed information. 3195

• Summarize the jurisdiction’s prevention, protection, response, and recovery capabilities involving the 3196

defined hazards. 3197

• Describe the jurisdiction’s limitations on the basis of training, equipment, or personnel. 3198

Planning Assumptions 3199

This section identifies what the planning team assumes to be facts for planning purposes in order 3200

to make it possible to execute the EOP. 3201

Concept of Operations 3202

This CONOPS section explains in broad terms the decision 3203

maker’s or leader’s intent with regard to an operation. This 3204

section is designed to give an overall picture of how the 3205

response organization accomplishes a mission or set of 3206

objectives in order to reach a desired end-state. Ideally it 3207

offers clear methodology to realize the goals and objectives 3208

to execute the plan. This may include a brief discussion of 3209

the activation levels identified by the jurisdiction for its 3210

operations center. It may touch on direction and control, 3211

alert and warning, and continuity matters that may be dealt with more fully in annexes. 3212

• Describe who has the authority to activate the plan (e.g., emergency management agency, senior 3213

official, state official, fire/police chief). 3214

• Describe the process, templates, and individuals involved in issuing a declaration of emergency for a 3215

given hazard and how the declaration will be coordinated with neighboring jurisdictions and the state. 3216

• Describe how legal questions/issues are resolved as a result of preparedness, response, or recovery 3217

actions, including what liability protection is available to responders. 3218

• Describe the process by which the emergency management agency coordinates with all appropriate 3219

agencies, boards, or divisions within the jurisdiction. 3220

• Describe how plans take into account the essential needs of children. 3221

• Describe how plans take into account the physical, programmatic, and communications needs of 3222

individuals with disabilities and others with access and functional needs. 3223

• Describe how plans take into account the essential needs of household pets and service animals. 3224

• Identify other response/support agency plans that directly support the implementation of this plan 3225

(e.g., hospital, school emergency, facility plans). 3226

Plans must comply with the Americans with

Disabilities Act, which requires that

emergency policies be modified to enable

people with disabilities to evacuate, use

emergency transportation, stay in shelters,

and participate in all emergency and

disaster-related programs together with their

service animals.


C-8

Organization and Assignment of Responsibilities 3227

This section provides an overview of the key functions that state or local agencies will accomplish during 3228

an emergency, including the roles that Federal, state, territorial, tribal, local, regional, and private sector 3229

agencies will take to support local operations. 3230

• Identify/outline the responsibilities assigned to each organization that has a mission assignment 3231

defined in the plan, including (but not limited to) the following: 3232

– Local senior elected or appointed officials (e.g., governor, mayor, commissioner, administrative 3233

judge, council, executive director) 3234

– Local departments and agencies (e.g., fire, law enforcement, emergency medical services [EMS], 3235

public health, emergency management, social services, animal control) 3236

– State agencies most often and/or likely to be used to support local operations (e.g., Department of 3237

Transportation, State Police/Highway Patrol, Department of Agriculture, Department of Natural 3238

Resources, Environmental Protection/Quality, Emergency Management, Homeland Security, 3239

Department of Health/Public Health, National Guard) 3240

– Regional organizations or groups most often and/or likely to be used to support local operations 3241

– Federal agencies most often and/or likely to be used to support local operations (e.g., FEMA, 3242

U.S. Coast Guard, U.S. Department of Justice, Federal Bureau of Investigation, Federal Aviation 3243

Administration, National Transportation Safety Board, U.S. Department of Defense, U.S. 3244

Department of Transportation, U.S. Department of Agriculture) 3245

– Government-sponsored volunteer resources (e.g., Community Emergency Response Teams, Fire 3246

Corps and/or Medical Reserve Corps, Volunteers in Police Service, Auxiliary Police) 3247

– Private sector and voluntary organizations (e.g., organizations that assist with sheltering, feeding, 3248

services for persons with disabilities, animal response, social services, health-related needs, 3249

community and faith-based organizations, animal welfare and/or humane organizations, 3250

independent living centers, disability advocacy groups, business and industry participation). 3251

• Describe how prevention roles and responsibilities will be addressed, including linkages with fusion 3252

centers where applicable. 3253

• Describe how roles and responsibilities for CIKR protection and restoration are managed within the 3254

jurisdiction. 3255

• Describe how roles and responsibilities will be determined for unaffiliated volunteers and how to 3256

incorporate these individuals into the emergency operation. 3257

• Describe/identify what mutual aid agreements (MAA) are in place for the quick activation and 3258

sharing of resources during an emergency. Examples of agreements that may exist include the 3259

following: 3260

– Agreements between response groups (e.g., fire, police, EMS) 3261

– Agreements for additional resources/assistance between neighboring jurisdictions’ response 3262

forces (e.g., fire, police, EMS) 3263

– Agreements for providing and receiving additional resources through the Emergency 3264

Management Assistance Compact 3265

– Agreements for alert and notification and dissemination of emergency public information 3266

– Resource agreements (e.g., outside assistance, personnel, equipment) 3267


C-9

– Agreements between medical facilities inside and outside the jurisdiction (e.g., for using 3268

facilities, accepting patients) 3269

– Agreements between water and wastewater utilities inside and outside the jurisdiction 3270

– Evacuation agreements (e.g., use of buildings, restaurants, and homes as shelters/lodging; 3271

relocation centers; transportation support), including agreements between jurisdictions for the 3272

acceptance of evacuees. 3273

• Describe how the jurisdiction maintains a current list of available NIMS typed resources and 3274

credentialed personnel. 3275

• Describe how all tasked organizations maintain current notification rosters, SOPs/SOGs, and 3276

checklists to carry out their assigned tasks. 3277

• Provide a matrix that summarizes which tasked organizations have the primary lead versus a 3278

secondary support role for each defined response function. 3279

• Describe the jurisdiction’s policies regarding public safety enforcement actions required to maintain 3280

the public order during a crisis response, including teams of enforcement officers needed to handle 3281

persons who are disrupting the public order, violating laws, requiring quarantine, etc. 3282

Direction, Control, and Coordination 3283

This section describes the framework for all direction, control, and coordination activities. 3284

• Identify who has tactical and operational control of response assets. 3285

• Discuss multijurisdictional coordination systems and processes used during an emergency. 3286

Information Collection, Analysis, and Dissemination 3287

This section describes the required critical or essential information common to all operations identified 3288

during the planning process. 3289

• Identify intelligence position (e.g., fusion center liaison) requirements for the emergency operations 3290

center’s (EOC) Planning Section. 3291

• Describe plans for coordination between the Planning Section and the jurisdiction’s fusion center. 3292

• Describe information dissemination methods (e.g., verbal, electronic, graphics) and protocols. 3293

• Describe critical information needs and collection priorities. 3294

• Describe long-term information collection, analysis, and dissemination strategies. 3295

• Describe collaboration with the general public, to include sector-specific watch programs. 3296

Communications 3297

This section describes the communication and coordination protocols used between response 3298

organizations during an incident. 3299

• Describe the framework for delivering communications support and how the jurisdiction’s 3300

communications integrate into the regional or national disaster communications network. 3301

• Identify and summarize separate interoperable communications plans. 3302


C-10

Administration, Finance, and Logistics 3303

Administration 3304

This section describes administrative protocols used during an emergency operation. 3305

3306

Documentation is an administrative process used by a jurisdiction to document the response to and 3307

recovery from a disaster. Note: This information can also be discussed for each emergency response 3308

function or for the specific hazards. 3309

• Describe the process and agencies used to document the actions taken during and after the emergency 3310

(e.g., incident and damage assessment, incident command logs, cost recovery). 3311

• Describe/summarize the reasons for documenting the actions taken during both the response and 3312

recovery phases of the disaster (e.g., create historical records, recover costs, address insurance needs, 3313

develop mitigation strategies). 3314

• Include copies of the reports that are required (e.g., cost recovery, damage assessment, incident 3315

critique, historical record). 3316

• Describe the agencies and methods used to create a permanent historical record of the incident (after-3317

action report) and include information identifying the actions taken, resources expended, economic 3318

and human impacts, and lessons learned as a result of the disaster. 3319

3320

The after-action report (AAR) results from an administrative process used by the jurisdiction to review 3321

and discuss the response in order to identify strengths and weaknesses in the emergency management and 3322

response program. The AAR should: 3323

• Describe the reasons and need to conduct an AAR (e.g., review actions taken, identify equipment 3324

shortcomings, improve operational readiness, highlight strengths/initiatives) 3325

• Describe the methods and agencies used to organize and conduct a review of the disaster, including 3326

how recommendations are documented to improve local readiness (e.g., change plans/procedures, 3327

acquire new or replace outdated resources, retrain personnel) 3328

• Describe the links and connections between the processes used to critique the response to an 3329

emergency/disaster and the processes used to document recommendations for the jurisdiction’s 3330

exercise program 3331

• Describe how the jurisdiction ensures that the deficiencies and recommendations identified in the 3332

AAR are corrected/completed. 3333

Finance 3334

This section describes finance protocols used to recover the costs incurred during an emergency 3335

operation. 3336

• Describe/identify the various programs that allow local political jurisdictions and their 3337

response/support agencies to recover their costs (e.g., Small Business Administration, Public 3338

Assistance Program). 3339

• Identify and describe the actions that will be taken to document the costs incurred during response 3340

and recovery operations (e.g., personnel overtime, equipment used/expended, contracts initiated). 3341

• Describe/identify the programs and how the jurisdiction assists the general public to recover their 3342

costs and begin rebuilding (e.g., Small Business Administration, unemployment, worker’s 3343

compensation). 3344


C-11

• Describe the methods used to educate responders and local officials about the cost recovery process. 3345

• Describe the impact and role that insurance has in recovering costs (e.g., self-insured, participation in 3346

the National Flood Insurance Program, homeowner policies). 3347

• Describe the methods of pre- and post-declaration funding for the jurisdiction’s household pets and 3348

service animals preparedness and emergency response program, including how to capture eligible 3349

costs for reimbursement by the Public Assistance Program, eligible donations for volunteer labor and 3350

resources, and eligible donations for mutual aid resources (as defined in Disaster Assistance Policy 3351

[DAP] 9523.19). 3352

Logistics 3353

This section describes the logistics and resource management mechanisms used to identify and acquire 3354

resources in advance of and during emergency operations, especially to overcome gaps possibly identified 3355

in a capability assessment. 3356

• Describe/identify the methods and agencies involved in using the existing risk analysis and capability 3357

assessment to identify what resources are needed for a response to a defined hazard, including using 3358

past incident critiques to identify/procure additional resources. 3359

• Describe/identify the steps taken to overcome the jurisdiction’s identified resource shortfalls, 3360

including identifying the resources that are only available outside the jurisdiction (e.g., HAZMAT, 3361

water rescue, search and rescue teams, CBRNE) and the process to request those resources. 3362

• Provide a brief summary statement about specialized equipment, facilities, personnel, and emergency 3363

response organizations currently available to respond to the defined hazards. Note: A tab to the plan 3364

or a separate resource manual should be used to list the types of resources available, amounts on 3365

hand, locations maintained, and any restrictions on use. 3366

• Provide information about specialized equipment, facilities, personnel, and emergency response 3367

organizations currently available to support children, individuals with disabilities, and others with 3368

access and functional needs. 3369

• Describe the process used to identify private agencies/contractors that will support resource 3370

management issues (e.g., waste haulers, spill contractors, landfill operators). Identify existing 3371

memorandums of agreement (MOA)/memorandums of understanding (MOU) and contingency 3372

contracts with these organizations. 3373

Plan Development and Maintenance 3374

This section describes the process used to regularly review and update the EOP. 3375

• Describe how this plan was coordinated with the EOPs from adjoining/intra-state regional 3376

jurisdictions to include local political subdivisions that develop their own EOPs in accordance with 3377

state statute. 3378

• Describe the process used to review and revise the plan each year or—if changes in the jurisdiction 3379

warrant (e.g., changes in administration or procedures, newly added resources/training, revised phone 3380

contacts or numbers)—more often. 3381

• Describe the responsibility of each organization/agency (governmental, nongovernmental, and private 3382

sector) to review and submit changes to its respective portion(s) of the plan. 3383

• Identify/summarize to whom the plan is distributed, including whether it is shared with other 3384

jurisdictions. Include a plan distribution list. Note: This list can be included as a tab to the plan. 3385

• Describe/identify how or where the plan is made available to the public. 3386


C-12

• Summarize the process used to submit the plan for review, coordination, and/or evaluation by other 3387

jurisdictions/organizations. 3388

• Include a page to document when the changes are received and entered into the plan. 3389

Authorities and References 3390

This section provides the legal basis for emergency operations and activities. 3391

• Identify/describe the Federal, state, and local laws that specifically apply to the development and 3392

implementation of this plan, including (but not limited to) the following: 3393

– Local and regional ordinances and statutes 3394

– State laws or revised code sections that apply to emergency management and homeland security 3395

– State administrative code sections that define roles, responsibilities, and operational procedures 3396

– State Attorney General opinions 3397

– Federal laws, regulations, and standards (e.g., Stafford Act, FEMA Policy, Patriot Act, Americans 3398

with Disabilities Act). 3399

• Identify/describe the reference manuals used to develop the plan and/or help prepare for and respond 3400

to disasters or emergencies, including (but not limited to) the following: 3401

– General planning tools 3402

– Technical references 3403

– Computer software. 3404

• Identify/define the words, phrases, acronyms, and abbreviations that have special meaning with 3405

regard to emergency management and are used repeatedly in the plan. 3406

Functional Annexes Content Guide 3407

These annexes contain detailed descriptions of the methods that government agencies and departments 3408

follow for critical operational functions during emergency operations. Functional annexes support the 3409

EOP as they do hazard-specific annexes. There are core functional support activities that should be 3410

incorporated, and specific functional support activities that support incident response. The essence of 3411

these support functions should be incorporated into plans, rather than be stand-alone. The checklists in 3412

this section can be used for either functional annexes or emergency support function annexes. 3413

Transportation (ESF #1) 3414

• Describe/identify the process for monitoring and reporting the status of, and damage to, the 3415

transportation system and infrastructure as a result of an incident. 3416

• Describe alternative transportation solutions that can be implemented when systems or infrastructure 3417

are damaged, unavailable, or overwhelmed. 3418

• Describe the methods by which appropriate aviation, maritime, surface, railroad, and pipeline incident 3419

management measures will be implemented. 3420

• Describe the method of coordinating the restoration and recovery of the transportation systems and 3421

infrastructure. 3422


C-13

Communications (ESF #2) 3423

• Identify and describe the actions that will be taken to manage communications between the on-scene 3424

personnel/agencies (e.g., radio frequencies/tactical channels, cell phones, data links, command post 3425

liaisons, communications vehicle/van) in order to establish and maintain a common operating picture 3426

of the incident. 3427

• Identify and describe the actions that will be taken to identify and overcome communications 3428

shortfalls (e.g., personnel with incompatible equipment) with the use of alternative methods (e.g., 3429

Amateur Radio Emergency Services/Radio Amateur Civil Emergency Service at the command 3430

post/off-site locations, CB radios). 3431

• Identify and describe the actions that will be taken to manage communications between the on-scene 3432

and off-site personnel/agencies (e.g., shelters, hospitals, emergency management agency). 3433

• Identify and describe the actions that will be taken by 911/dispatch centers to support/coordinate 3434

communications for the on-scene personnel/agencies, including alternate methods of service if 3435

911/dispatch is out of operation (e.g., resource mobilization, documentation, backup). 3436

• Describe the arrangements that exist to protect emergency circuits with telecommunications service 3437

priority for prompt restoration/provisioning. 3438

• Describe how communications are made accessible to individuals with communication disabilities 3439

working in emergency operations, in accordance with the Americans with Disabilities Act. 3440

• Identify and describe the actions that will be taken by an EOC to support and coordinate 3441

communications between the on- and off-scene personnel and agencies. 3442

• Describe/identify the interoperable communications plan and compatible frequencies used by 3443

agencies during a response (e.g., who can talk to whom, including contiguous jurisdictions and 3444

private agencies). 3445

• Identify and describe the actions that will be taken to notify neighboring jurisdictions when an 3446

incident occurs. 3447

• Describe how 24-hour communications are provided and maintained. 3448

Public Works and Engineering (ESF #3)/Critical Infrastructure and Key Resources 3449

Restoration 3450

• Identify and describe the actions that will be taken to determine qualified contractors offering 3451

recovery/restoration services. 3452

• Identify and describe the actions that will be taken to coordinate credentialing protocols so personnel 3453

have access to critical sites following an incident. 3454

• Identify and describe the actions that will be taken to identify, prioritize, and coordinate the work to 3455

repair/restore local roads, bridges, and culverts (e.g., along city, county, township, state, interstate, 3456

and U.S. routes). 3457

• Identify and describe the actions that will be taken to repair/restore local water and wastewater 3458

systems (e.g., water/waste treatment plants, water/sewer lines, public/private wells), including 3459

providing temporary water distribution and wastewater collection systems until normal operations 3460

resume. 3461

3462


C-14

• Identify and describe the actions that will be taken to prioritize and coordinate the repair/restoration 3463

of services (e.g., gas, electric, phone), including conducting safety inspections before the general 3464

public is allowed to return to the impacted area. 3465

• Identify and describe the actions that will be taken to incorporate and coordinate assistance from 3466

Federal, state, and private organizations (e.g., Federal Highway Administration, state building 3467

inspectors/contractors, state/local historical preservation office, private contractors). 3468

• Describe/identify the likely types of energy and utility problems that will be created as a result of the 3469

emergency (e.g., downed power lines, wastewater discharges, ruptured underground storage tanks). 3470

• Identify and describe the actions that will be taken to identify, prioritize, and coordinate energy and 3471

utility problems that will result from the disaster (e.g., shut off gas/electricity to flooded areas, restore 3472

critical systems, control underground water/gas main breaks). 3473

• Identify and describe the actions that will be taken to determine, prioritize, and coordinate the 3474

removal of debris from roadways to ensure access for local responders (e.g., snow/debris removal, 3475

clearance of debris/ice from streams), including coordinating road closures and establishing alternate 3476

routes of access. 3477

• Identify and describe the actions that will be taken to protect affected populations during a disaster 3478

when there are periods of extreme temperature and/or shortages of energy, including how the 3479

jurisdiction coordinates with energy-providing companies during outages. 3480

• Describe the methods by which the reestablishment of critical human services for children and their 3481

families, as well as individuals with disabilities and others with access and functional needs, will be 3482

accomplished. 3483

Damage Assessment 3484

• Identify and describe the actions that will be taken to conduct and coordinate damage assessments on 3485

private property (e.g., home owners, businesses, renters). 3486

• Identify and describe the actions that will be taken to conduct and coordinate damage assessments on 3487

public property (e.g., government, private, not-for-profit). 3488

• Identify and describe the actions that will be taken to collect, organize, and report damage 3489

information to other county, state, or Federal operations centers within the first 12 to 36 hours of the 3490

disaster/emergency. 3491

• Identify and describe the actions that will be taken to request supplemental state/Federal assistance 3492

through the state emergency management agency. 3493

• Include copies of the damage assessment forms used locally (e.g., state-adopted or state-3494

recommended emergency management agency’s damage and needs assessment form or a county 3495

equivalent). Note: These may be attached as a tab to the plan. 3496

Debris Management 3497

Note: Planners should see if their state has developed specific planning guidance on how to develop a 3498

debris management program and subsequent plans. 3499

• Identify and describe the actions that will be taken to coordinate the debris collection and removal 3500

process (e.g., gather and recycle materials, establish temporary storage sites, sort/haul debris). 3501

• Identify and describe the actions that will be taken to communicate debris management instructions to 3502

the general public (e.g., separation/sorting of debris, scheduled pickup times, drop-off sites for 3503

different materials), including a process for issuing routine updates. 3504


C-15

• Identify and describe the actions that will be taken to assess and resolve potential health issues related 3505

to the debris removal process (e.g., mosquito/fly infestation, hazardous and infectious wastes). 3506

• Identify critical locations (e.g., water and wastewater facilities) that need to be cleared of debris 3507

immediately to provide effective emergency services. 3508

• Identify and describe the actions that will be taken to inspect and arrange for the inspection and 3509

subsequent disposal of contaminated food supplies (e.g., from restaurants, grocery stores). 3510

• Identify the agencies likely to be used to provide technical assistance on the debris removal process 3511

(e.g., state environmental protection agency, state department of health, state department of 3512

agriculture, local and surrounding county health departments). 3513

• Identify and describe the actions that will be taken to condemn, demolish, and dispose of structures 3514

that present a safety hazard to the public. 3515

• Pre-identify potential trash collection and temporary storage sites, including final landfill sites for 3516

specific waste categories (e.g., vegetation, food, dead animals, hazardous and infectious wastes, 3517

construction debris, tires/vehicles). 3518

Firefighting (ESF #4) 3519

• Describe the process used to detect and suppress wildland, rural, and urban fires resulting from, or 3520

occurring coincidentally with, an incident response. 3521

• Describe existing interstate and intrastate firefighting assistance agreements. 3522

• Describe the methods by which situation and damage assessment information will be transmitted 3523

through established channels. 3524

Emergency Management (ESF #5)/Direction, Control, and Coordination 3525

Initial Notification 3526

• Identify and describe the actions that will be taken to receive and document the initial notification that 3527

an emergency has occurred. 3528

• Identify and describe the actions that will be taken to coordinate, manage, and disseminate 3529

notifications effectively to alert/dispatch response and support agencies (e.g., 911 centers, individual 3530

fire/police dispatch offices, call trees) under all hazards and conditions. 3531

• Identify and describe the actions that will be taken to notify and coordinate with adjacent 3532

jurisdiction(s) about a local emergency that may pose a risk (e.g., flash flood, chemical release, 3533

terrorist act). 3534

• Describe the use of Emergency Condition/Action Levels in the initial notification process (e.g., Snow 3535

Emergency Levels 1–3, Chemical Levels 1–3, Crisis Stages 1–4) where defined by statute, authority, 3536

or other guidance. 3537

Incident Assessment 3538

• Identify and describe the actions that will be taken to gather essential information and assess the 3539

immediate risks posed by the emergency. 3540

• Describe how the initial assessment is disseminated/shared in order to make protective action 3541

decisions and establish response priorities, including the need to declare a state of emergency. 3542


C-16

• Identify and describe the actions that will be taken to monitor the movement and future effects that 3543

may result from the emergency. 3544

Incident Command 3545

• Identify and describe the actions that will be taken to implement the Incident Command System (ICS) 3546

and coordinate response operations, including identifying the key positions used to staff the ICS (e.g., 3547

Operations, Agency Liaisons, Safety) and using FEMA ICS forms.12 3548

• Describe how/where an incident command post will be established (e.g., chief’s car, command bus, 3549

nearest enclosed structure) and how it will be identified during the emergency (e.g., green light, flag, 3550

radio call). 3551

• Describe the process used to coordinate activities between the incident command post and an 3552

activated EOC, including how/when an Incident Commander can request the activation of an EOC. 3553

• Identify and describe the actions that will be taken to coordinate direct communications between the 3554

on-scene responders, as well as with the off-scene agencies that have a response role (e.g., hospital, 3555

American Red Cross). 3556

• Describe the process the Incident Commander will use to secure additional resources/support when 3557

local assets are exhausted or become limited, including planned state, Federal, and private assets. 3558

• Describe the process the Incident Commander will use to coordinate and integrate the unplanned 3559

arrival of individuals and volunteer groups into the response system and to clarify their limits on 3560

liability protection. 3561

Emergency Operations Center 3562

Note: EOC functions may be addressed in an SOP/SOG. If a separate SOP/SOG is used, it should be 3563

identified in the EOP. 3564

• Describe the purpose and functions of an EOC during an emergency or declared disaster. 3565

• Describe/identify under what conditions the jurisdiction will activate a primary and/or alternate EOC 3566

and who makes this determination. 3567

• Identify the primary and alternate sites that will likely be used as an EOC for the jurisdiction 3568

(e.g., city hall, fire department, emergency management agency, dedicated facility). 3569

• Describe the process used to activate the primary or alternate EOC (e.g., staff notification, equipment 3570

setup), including the process for moving from one EOC to another. 3571

• Identify who is in charge of the EOC (e.g., emergency management agency director, senior official, 3572

fire/police chief, department/agency director), and describe how operations will be managed in the 3573

EOC. 3574

• Describe/identify the EOC staff and equipment requirements necessary for an EOC (e.g., first 3575

response liaisons, elected or appointed officials, support agencies, communications, administrative 3576

support). 3577

• Identify and describe the actions that will be taken to gather and share pertinent information between 3578

the scene, outside agencies, and the EOC (e.g., damage observations, response priorities, resource 3579

needs), including sharing information between neighboring and state EOCs. 3580

3581

12 More information may be found at http://www.training.fema.gov/EMIWeb/IS/ICSResource/index.htm.


C-17

• Describe the EOC’s ability to manage an emergency response that lasts longer than 24 hours 3582

(e.g., staffing needs, shift changes, resource needs, feeding, alternate power). 3583

• Identify and describe the actions that will be taken to transition from response to recovery operations. 3584

• Describe the process used to deactivate/close the EOC (e.g., staff releases, equipment cleanup, 3585

documentation). 3586

• Identify the lead official and at least two alternates responsible for staffing each key position at the 3587

primary EOC, as well as the alternates (if different) to be consistent with NIMS. 3588

• Identify and describe the actions that will be taken to routinely brief senior officials not present in the 3589

EOC on the emergency situation (e.g., governor, commissioner, administrative judge, mayor, city 3590

council, trustees) and to authorize emergency actions (e.g., declare an emergency, request state and 3591

Federal assistance, purchase resources). 3592

• Identify and describe the actions that will be taken to manage public information. 3593

• Provide a diagram of the primary and alternate EOCs (e.g., locations, floor plans, displays) and 3594

identify and describe the critical communications equipment available/needed (e.g., phone numbers, 3595

radio frequencies, faxes). 3596

• Provide copies of specific forms or logs to be used by EOC personnel. 3597

Mass Care, Emergency Assistance, Housing, and Human Services (ESF #6) 3598

• Identify and describe the actions that will be taken to identify, open, and staff emergency shelters, 3599

including temporarily using reception centers while waiting for shelters to open officially. 3600

• Describe the agencies and methods used to provide essential care (e.g., food, water) to promote the 3601

well-being of evacuees throughout the entire process (including household pets and service animals). 3602

• Describe the partnership between the jurisdiction’s emergency management agency, the animal 3603

control authority, the mass care provider(s), and the owner of each proposed congregate household 3604

pet sheltering facility. 3605

• Describe the agencies and methods used to provide care and support for institutionalized populations 3606

(e.g., long-term care and assisted living facilities, group homes), individuals with disabilities, and 3607

others with access and functional needs (e.g., medical and prescription support, personal assistance 3608

services, durable medical equipment, consumable medical supplies, childcare, transportation 3609

[including accessible transportation], foreign language interpreters), including their caregivers. 3610

• Describe how the jurisdiction will ensure physical and programmatic accessibility of shelter facilities, 3611

effective communication using multiple methods, full access to emergency services, and reasonable 3612

modification of programs or policies where needed. 3613

• Identify and describe the actions that will be taken to ensure that the Americans with Disabilities Act 3614

Accessibility Guidelines govern shelter site selection and operation. 3615

• Describe the method for ensuring adequate shelter space allocation is provided for children, as well as 3616

individuals with disabilities and others with access and functional needs who may need additional 3617

space for assistive devices (e.g., wheelchairs, walkers). 3618

• Identify and describe the actions that will be taken to provide alternate shelter accommodations for 3619

evacuees from domestic violence shelters. 3620

• Describe how shelters coordinate their operations with on-scene and other off-site support agencies 3621

(e.g., expected numbers evacuated, emergency medical support). 3622


C-18

• Describe how shelters keep evacuees informed about the status of the disaster, including information 3623

about actions evacuees may need to take when returning home. 3624

• Describe the method by which necessary developmentally appropriate supplies (e.g., diapers, 3625

formula, age appropriate foods), staff, medicines, durable medical equipment, and supplies that would 3626

be needed during an emergency for children with disabilities and other special health care needs will 3627

be addressed. 3628

• Identify and describe the actions that will be taken to care for household pets and service animals 3629

brought to shelters by evacuees. 3630

• Identify and describe the actions that will be taken to notify or inform the public about the status of 3631

injured or missing relatives. 3632

• Describe the methods used to identify, screen, and handle evacuees exposed to the hazards posed by 3633

the disaster (e.g., infectious waste, polluted floodwaters, chemical hazards) and the methods used to 3634

keep the shelter free of contamination. 3635

• Describe arrangements in place with other jurisdictions for receiving their assistance in sheltering, 3636

including providing shelters when it is not practical locally (e.g., there are no available shelters or 3637

staff support). 3638

• Describe the agencies/organizations and methods for providing feeding services both within the 3639

shelter facilities and at other identified feeding sites or mobile feeding operations. 3640

• Describe the plans, methods, and agencies/organizations responsible for the distribution of emergency 3641

relief items (e.g., hygiene kits, cleanup items, infant care supplies). 3642

• Identify and describe the actions that will be taken to identify and address the general public’s “unmet 3643

needs” during the disaster. 3644

• Describe the mechanisms or processes for provision of emergency childcare services. 3645

• Describe the mechanisms or processes for handling and providing for unaccompanied minors in 3646

shelters. 3647

• Describe the provisions for the sheltering of unclaimed animals that cannot be immediately 3648

transferred to an animal control shelter or when non-eligible animals are brought to a shelter. 3649

• Identify and describe the actions that will be taken to segregate or seize household pets showing signs 3650

of abuse. 3651

• Describe the method for household pet registration (including identification of a current rabies 3652

vaccination for all animals). 3653

• Describe the method to provide guidance to human shelter operators on the admission and treatment 3654

of service animals. 3655

• Describe the criteria that can be used to expeditiously identify congregate household pet shelters and 3656

alternate facilities. 3657

• Describe the method for utility provisions, such as running water, adequate lighting, proper 3658

ventilation, electricity, and backup power, at congregate household pet shelters. 3659

• Identify and describe the actions that will be taken to address the risk of injury by an aggressive or 3660

frightened animal, the possibility of disease transmission, and other health risks for responders and 3661

volunteers staffing the congregate household pet shelter. 3662


C-19

• Identify and describe the actions that will be taken for pre-disaster inspections and development of 3663

agreements for each congregate household pet facility. 3664

• Describe the method of care and maintenance of each facility while in use as a shelter. 3665

• Describe the method for identifying equipment and supplies that may be needed to operate each 3666

congregate household pet shelter, as well as supplies that household pet owners may bring with them 3667

to the congregate shelter. 3668

• Describe the method for physical security of each congregate household pet facility, including 3669

perimeter controls and security personnel. 3670

• Describe the method for providing for the housing of a variety of household pet species (e.g., size of 3671

crate/cage, temperature control, appropriate lighting). 3672

• Describe the method for providing for the separation of household pets based on appropriate criteria 3673

and requirements.13 3674

• Describe the method for providing for the setup and maintenance of household pet confinement areas 3675

(e.g., crates, cages, pens) for safety, cleanliness, and control of noise level, as well as a household pet 3676

first aid area inside each shelter. 3677

• Describe the method for control of fleas, ticks, and other pests at each congregate household pet 3678

shelter. 3679

• Describe the criteria for designating and safely segregating aggressive animals. 3680

• Describe the method for segregation of household pets to prevent the transmission of disease. 3681

• Identify and describe the actions that will be taken for the relocation of a household pet due to illness, 3682

injury, or aggression to an alternate facility (e.g., veterinary clinic, animal control shelter). 3683

• Describe the method for providing controlled areas (indoor or outdoor) for exercising household pets. 3684

• Describe the method for household pet waste and dead animal disposal. 3685

• Describe the method for the reunion of rescued animals with their owners. 3686

• Identify and describe the actions that will be taken to address the long-term care, permanent 3687

relocation, or disposal of unclaimed pets. 3688

Logistics Management and Resource Support (ESF #7) 3689

• Identify and describe the actions that will be taken for resource management in accordance with the 3690

NIMS resource typing and include the pre-positioning of resources to efficiently and effectively 3691

respond to an incident. 3692

• Describe the process used to identify, deploy, use, support, dismiss, and demobilize affiliated and 3693

spontaneous unaffiliated volunteers. 3694

• Describe the process used to manage unsolicited donations. 3695

• Describe plans for establishing logistical staging areas for internal and external response personnel, 3696

equipment, and supplies. 3697

• Describe plans for establishing points of distribution across the jurisdiction. 3698

3699

13 Animal Welfare Publications and Reports. United States Department of Agriculture, Animal and Plant Health Inspection Service. http://www.aphis.usda.gov/animal_welfare/publications_and_reports.shtml.


C-20

• Describe plans for providing support for a larger, regional incident. 3700

• Describe strategies for transporting materials through restricted areas, quarantine lines, law 3701

enforcement checkpoints, and so forth that are agreed upon by all affected parties. 3702

Public Health and Medical Services (ESF #8) 3703

Public Health 3704

• Describe the agencies and methods used to maintain efficient surveillance systems supported by 3705

information systems to facilitate early detection, reporting, mitigation, and evaluation of expected and 3706

unexpected public health conditions. 3707

• Describe the agencies and methods used to identify the public health issues created by the disaster 3708

(e.g., food/water safety, biological concerns) and to prioritize how the issues will be managed, 3709

including how this process is coordinated with the incident command post/EOC (e.g., issue 3710

vaccinations, establish quarantines). 3711

• Describe the agencies and alternate methods used to provide potable water, bulk water, and temporary 3712

water distribution systems to the jurisdiction when the water systems are not functioning (e.g., private 3713

sources, boil orders, private wells). 3714

• Describe the agencies and methods used to provide alternate sources for human waste disposal (e.g., 3715

arrange portable latrines, encourage sharing with those who have their own septic systems). 3716

• Identify the lead agency for providing health and medical support to individuals with disabilities and 3717

others with access and functional needs. 3718

• Describe the mechanisms or processes to effectively identify children and families who will need 3719

additional assistance, as well as individuals with disabilities and others with access and functional 3720

needs, with their specific health-related needs in advance of, during, and following an emergency. 3721

• Identify and describe the actions that will be taken to secure medical records to enable children with 3722

disabilities and/or other special health care needs, as well as individuals with disabilities and others 3723

with access and functional needs, to receive health care and sustained rehabilitation in advance of, 3724

during, and following an emergency. 3725

• Identify and describe the actions that will be taken to assess and provide mental health services for the 3726

general public (including individuals with disabilities and others with access and functional needs) 3727

impacted by the disaster. 3728

• Identify and describe the actions that will be taken to assess and provide vector control services (e.g., 3729

insect and rodent controls, biological wastes/contamination, use of pesticides). 3730

• Identify and describe the actions that will be taken to assess and provide food production and 3731

agricultural safety services (e.g., conducting a coordinated investigation of food and agricultural 3732

events or agricultural or animal disease outbreaks). 3733

• Describe the use and coordination of health professionals, incident commanders, and public 3734

information officers to issue public health media releases and alert the media. 3735

• Identify and describe the actions that will be taken to initiate, maintain, and demobilize medical surge 3736

capacity, including MAAs for medical facilities and equipment. 3737

• Identify and describe the actions that will be taken to assess and provide animal care services (e.g., 3738

remove and dispose of carcasses, rescue/recover displaced household pets/livestock, provide 3739

emergency veterinary care, treat endangered wildlife) and the individuals/agencies used in this 3740

process (e.g., veterinarians, animal hospitals, Humane Society, state department of natural resources). 3741


C-21

• Identify and describe the actions that will be taken to identify and respond to gravesites/cemeteries 3742

that are impacted by the disaster (e.g., recover and replace unearthed/floating/missing coffins, review 3743

records to confirm identification, manage closed/historical gravesites). 3744

• Describe the use and coordination of health professionals from outside agencies to support local 3745

response needs (e.g., poison control centers, state/local departments of health, Centers for Disease 3746

Control and Prevention, Funeral Directors Association, U.S. Department of Agriculture, Food and 3747

Drug Administration, Medical Reserve Corps). 3748

• Identify potential sources for medical and general health supplies that will be needed during a disaster 3749

(e.g., medical equipment, pharmaceutical supplies, laboratories, toxicologists). Note: This 3750

information could be maintained under a separate tab or as part of a comprehensive resource manual. 3751

Medical/Patient Care/Mass Casualty/Mass Fatality 3752

• Identify and describe the actions that will be taken by emergency medical personnel to contain and 3753

stabilize a disaster (e.g., set up triage, provide initial treatment, identify access and functional needs, 3754

conduct/coordinate transport). 3755

• Identify and describe the actions that will be taken to track patients from the incident scene through 3756

their courses of care. 3757

• Describe how emergency system patient transport and tracking systems are interoperable with 3758

national and U.S. Department of Defense systems. 3759

• Identify and describe the actions that will be taken to coordinate with private agencies to support on-3760

scene medical operations (e.g., air ambulance, private EMS), including the process of staging and 3761

integrating those assets at the scene. 3762

• Identify and describe the actions that will be taken to manage on-scene functions of mass 3763

casualty/fatality incidents (e.g., identification of bodies, expansion of mortuary services, notification 3764

of next of kin). 3765

• Identify and describe the process for using hospitals, nursing homes, and/or other facilities as 3766

emergency treatment centers or as mass casualty collection points. 3767

• Identify and describe the process for identifying shortfalls in medical supplies (e.g., backboards, 3768

medicines) and then acquiring those additional resources either locally or from external sources. 3769

• Identify and describe the process for identifying shortfalls in durable medical equipment. 3770

• Identify and describe the actions that hospitals, within or outside of the jurisdiction, will take to assist 3771

medical operations with on-scene personnel (e.g., prioritize patient arrival, divert patients to other 3772

sites when current site is full/less capable, provide triage team support). 3773

• Identify and describe the actions that will be taken to decontaminate patients, individuals with access 3774

and functional needs, children, and household pets and service animals for exposure to chemical, 3775

biological, nuclear, and radiological hazards both at the scene of the incident and at treatment 3776

facilities. 3777

• Identify and describe the actions the Coroner will take during a disaster (e.g., victim identification, 3778

morgue expansion, mortuary services, Disaster Mortuary Operational Response Team activation) and 3779

how they will be coordinated with responders (e.g., EMS officer, incident command post/EOC, local 3780

hospitals). 3781

3782


C-22

• Describe plans for recovering human remains, transferring them to the mortuary facility, establishing 3783

a family assistance center, assisting with personal effects recovery, conducting autopsies, identifying 3784

victims, and returning remains to the victims’ families for final disposition. 3785

• Identify and describe the actions that health department personnel will take to support on-scene 3786

medical and local hospitals in obtaining additional resources when local supplies are likely to be 3787

exhausted. 3788

Search and Rescue (ESF #9) 3789

• Identify and describe the actions that will be taken to conduct structural collapse (urban) search and 3790

rescue, waterborne search and rescue, inland/wilderness search and rescue, and aeronautical search 3791

and rescue operations. 3792

• Identify and describe the actions that will be taken to monitor distress, communications, location of 3793

distressed personnel, coordination, and execution of rescue operations including extrication or 3794

evacuation along with the provisioning of medical assistance and civilian services through the use of 3795

public and private resources to assist persons and property in potential or actual distress. 3796

Oil and Hazardous Materials Response (ESF #10) 3797

• Describe the actions to prevent, minimize, or mitigate an oil or hazardous materials release. 3798

• Describe the methods to detect and assess the extent of contamination (including sampling and 3799

analysis and environmental monitoring). 3800

• Describe the methods to stabilize a release and prevent the spread of contamination. 3801

• Describe the options for environmental cleanup and waste disposition; implementation of 3802

environmental cleanup; and storage, treatment, and disposal of oil and hazardous materials. 3803

Agriculture and Natural Resources (ESF #11) 3804

• Describe the process to determine nutrition assistance needs, obtain appropriate food supplies, and 3805

arrange for delivery of the supplies. 3806

• Describe the plan to respond to animal and plant diseases and pests, including an outbreak of a highly 3807

contagious or economically devastating animal/zoonotic disease or an outbreak of a harmful or 3808

economically significant plant pest or disease. 3809

• Describe the methods to ensure the safety and security of the food supply. 3810

• Describe the response actions to preserve, conserve, rehabilitate, recover, and restore natural and 3811

cultural resources and historic properties. 3812

Energy (ESF #12) 3813

• Describe the process to address significant disruptions in energy supplies for any reason, whether 3814

caused by physical disruption of energy transmission and distribution systems, unexpected 3815

operational failure of such systems, or unusual economic or international political events. 3816

• Describe the process to address the impact that damage to an energy system in one geographic region 3817

may have on energy supplies, systems, and components in other regions relying on the same system. 3818

• Describe/identify the energy-centric critical assets and infrastructures, as well as the method to 3819

monitor those resources to identify and mitigate vulnerabilities to energy facilities. 3820


C-23

Public Safety and Security (ESF #13) 3821

• Describe the method by which public safety and security resources will be provided to support 3822

incident operations, including threat or pre-incident and post-incident situations. 3823

• Describe the process to determine public safety and security requirements and to determine resource 3824

priorities. 3825

• Describe the process to maintain communication with supporting agencies to determine capabilities, 3826

assess the availability of resources, and track resources. 3827

Long-Term Community Recovery (ESF #14) 3828

• Describe the coordination mechanisms and requirements for post-incident assessments, plans, and 3829

activities. 3830

• Describe the methods of identifying long-term recovery needs of special needs populations and 3831

incorporating these needs into recovery strategies. 3832

• Describe the methods of identifying long-term environmental restoration issues. 3833

• Describe the method of coordination with animal welfare and agricultural stakeholders and service 3834

providers in long-term community recovery efforts. 3835

External Affairs (ESF #15)/Emergency Public Information 3836

• Identify and describe the actions that will be taken to provide continuous and accessible public 3837

information about the disaster (e.g., media briefings, press releases, cable interruptions, EAS, text 3838

messages, door-to-door warnings), secondary effects, and recovery activities. 3839

• Identify and describe the actions that will be taken to ensure that information provided by all sources 3840

includes the content necessary to enable reviewers to determine its authenticity and potential validity. 3841

• Identify and describe plans, programs, and systems to control rumors by correcting misinformation 3842

rapidly. 3843

• Identify and describe the actions that will be taken to inform individuals with sensory, intellectual, or 3844

cognitive disabilities; individuals with limited English proficiency; and others with access and 3845

functional needs in the workplace, public venues, and in their homes. 3846

• Describe the role of a public information officer and the actions this person will take to coordinate 3847

public information releases (e.g., working with media at the scene, using a Joint Information Center, 3848

coordinating information among agencies/elected and appointed officials), including household pet 3849

evacuation and sheltering information. 3850

• Describe how responders/local officials will use and work with the media during an emergency 3851

(e.g., schedule press briefings; establish media centers on-scene; control access to the scene, 3852

responders, and victims). 3853

• Include prepared public instructions for identified hazards, including materials for managers of 3854

congregate care facilities, such as childcare centers, group homes, assisted living centers, and nursing 3855

homes. 3856

• Identify and describe the actions that will be taken to manage rumor control on- and off-scene 3857

(e.g., monitoring AM/FM radio and television broadcasts). 3858


C-24

• Describe how public statements on shelter capacity and availability will be updated as people/animals 3859

are coming to shelters. 3860

• List the local media contacts and describe their abilities to provide warnings. 3861

Population Protection 3862

• Identify and describe the actions that will be taken to coordinate evacuations and sheltering-in-place 3863

for all segments of the population, including children, individuals with disabilities, and others with 3864

access and functional needs. 3865

• Describe the protocols and criteria used to decide when to recommend evacuation or sheltering-in-3866

place. 3867

• Describe the conditions necessary to initiate an evacuation or sheltering-in-place and identify who has 3868

the authority to initiate such action. 3869

• Identify and describe the actions that will be taken to conduct the evacuation (e.g., of high-density 3870

areas, neighborhoods, high-rise buildings, subways, airports, schools, special events venues, areas 3871

with a high concentration of children and individuals with disabilities) and to provide security for the 3872

evacuation area. 3873

• Identify and describe the actions that will be taken to perform advanced/early evacuation, which is 3874

often necessary to accommodate children and others with mobility issues. 3875

• Identify and describe the actions that will be taken to provide safe evacuation/transportation 3876

assistance to unaccompanied minors. 3877

• Identify and describe the actions that will be taken to track unaccompanied minors and to reunite 3878

children with their families. 3879

• Identify and describe the actions that will be taken to protect target at-risk groups and/or facilities 3880

(e.g., racial, ethnic, religious) in the event of a terrorism alert. 3881

• Describe the plan for receiving those evacuated as a result of hazards in neighboring jurisdictions, 3882

including household pets and service animals. 3883

• Describe the methods used to keep children and others with disabilities with their caregivers, mobility 3884

devices, other durable medical equipment, and/or service animals during an evacuation. 3885

• Identify and describe the actions that will be taken to exchange registration and tracking information 3886

between and among the evacuating jurisdiction, the receiving jurisdiction(s), and the jurisdictions that 3887

evacuees will pass through. 3888

• Describe the coordination strategies for managing and possibly relocating incarcerated persons during 3889

a crisis response. 3890

• Describe how and when the public is notified (including individuals with sensory disabilities and 3891

individuals with limited English proficiency), explaining the actions they may be advised to follow 3892

during an evacuation, while sheltering-in-place, upon the decision to terminate sheltering-in-place, 3893

and throughout the incident. 3894

• Describe the protocols and criteria the jurisdiction will use to recommend termination of sheltering-3895

in-place. 3896

• Identify and describe the actions that will be taken to identify and assist moving evacuees, including 3897

assisting individuals with disabilities and others with access and functional needs. 3898


C-25

• Identify and describe the actions that will be taken to provide for the care of the evacuees’ household 3899

pets and service animals or to instruct evacuees on how to manage their household pets and service 3900

animals during an evacuation and in returning home when permitted. 3901

• Describe how agencies coordinate the decision to return evacuees to their homes, including informing 3902

evacuees about any health or physical access concerns or actions they should take when returning to 3903

homes/businesses. 3904

• Identify and describe the actions that will be taken to identify and assist the return of evacuees to their 3905

homes/communities, including individuals with disabilities and others with access and functional 3906

needs. 3907

• Identify and describe the actions that will be taken when the general public refuses to evacuate (e.g., 3908

implement forced removal, contact next of kin, place unique markings on homes, take no action). 3909

• Identify and describe the actions that will be taken to ensure the availability of sufficient and timely 3910

accessible transportation to evacuate children and other individuals with access and functional needs 3911

whose families do not have their own transportation resources. 3912

• Describe the means and methods by which evacuation transportation requests from schools, 3913

individuals with disabilities, and others with access and functional needs are collected and 3914

consolidated. 3915

• Describe the means by which incoming transportation requests will be tracked, recorded, and 3916

monitored as they are fulfilled. 3917

• Describe how accessible transportation resources (including paratransit service vehicles, school 3918

buses, municipal surface transit vehicles, drivers, and/or trained attendants) that can provide needed 3919

services during an evacuation are identified. 3920

• Describe the evacuation and transportation of household pets from their homes or by their owners or 3921

those household pets rescued by responders to congregate household pet shelters. 3922

• Describe how household pet owners will determine where congregate household pet shelters are 3923

located and which shelter to use. 3924

• Describe methods of transportation for household pets or service animals whose owners are 3925

dependent on public transportation. 3926

• Describe how household pets that are provided with evacuation assistance are registered, 3927

documented, tracked, and reunited with their owners if they are separated during assisted evacuations. 3928

Continuity of Government/Operations 3929

Note: Continuity of government (COG)/continuity of operations (COOP) may have a separate plan from 3930

the EOP. If a separate COG/COOP plan is used, it should be identified in the EOP. 3931

• Describe essential functions, such as providing vital services, exercising civil authority, maintaining 3932

the safety and well-being of the populace, and sustaining the industrial/economic base in an 3933

emergency. 3934

• Describe plans for establishing recovery time objectives, recovery point objectives, or recovery 3935

priorities for each essential function. 3936

• Identify personnel and/or teams needed to perform essential functions. 3937

• Describe orders of succession and delegations of authority. 3938

• Describe continuity/alternate facilities and continuity communications methods. 3939


C-26

• Describe plans for vital records and human capital management. 3940

• Describe plans for devolution or direction and control. 3941

• Describe plans for reconstitution of operations. 3942

• Identify applicable training and exercise programs. 3943

• Describe the processes for evaluations, AARs, and lessons learned. 3944

• Describe the process and criteria for corrective action plans. 3945

Warning 3946

• Identify and describe the actions that will be taken to initiate/disseminate the initial notification that a 3947

disaster or threat is imminent or has occurred (e.g., Emergency Alert System [EAS] activation, door-3948

to-door warnings, sirens, cable/TV messages). 3949

• Describe the use of emergency condition levels in the public notification process (e.g., snow 3950

emergencies, HAZMAT incidents, nuclear power plant incidents). 3951

• Identify and describe the actions that will be taken to alert individuals with sensory or cognitive 3952

disabilities and others with access and functional needs in the workplace, public venues, and in their 3953

homes. 3954

• Include pre-scripted EAS messages for identified hazards. 3955

Financial Management 3956

• Identify and describe the actions that will be taken to ensure that funds are provided expeditiously and 3957

that financial operations are conducted in accordance with established law, policies, regulations, and 3958

standards. 3959

Mutual Aid/Multijurisdictional Coordination 3960

• Describe the processes to establish and execute mutual aid agreements and multijurisdictional 3961

coordination in support of incident response. 3962

Private Sector Coordination 3963

• Describe the processes to ensure effective coordination and integration with the private sector, both 3964

for-profit and not-for-profit, engaged in incident response and recovery activities. 3965

• Describe the processes to ensure a shared situational awareness across sectors and between the 3966

jurisdiction and the private sector as a whole. 3967

Volunteer and Donations Management 3968

• Describe the method by which unaffiliated volunteers and unaffiliated organizations will be managed 3969

and their resources applied to incident response and recovery activities. 3970

• Identify and describe the actions that will be taken to establish and staff donation management 3971

functions (e.g., set up toll-free hotlines, create databases, appoint a donations liaison/office, use 3972

support organizations). 3973

• Identify and describe the actions that will be taken to verify and/or vet voluntary organizations and/or 3974

organizations operating relief funds. 3975


C-27

• Identify and describe the actions that will be taken to collect, sort, manage, and distribute in-kind 3976

contributions, including methods for disposing of or refusing goods that are not acceptable. 3977

• Identify and describe the actions that will be taken to coordinate donation management issues with 3978

neighboring districts and the state’s donations management system. 3979

• Describe the process used to tell the general public about the donations program (e.g., instructions on 3980

items to bring and not bring, scheduled drop-off sites and times, the way to send monies), including a 3981

process for issuing routine updates. 3982

• Identify and describe the actions that will be taken to handle the spontaneous influx of volunteers. 3983

• Identify and describe the actions that will be taken to receive, manage, and distribute cash 3984

contributions. 3985

• Pre-identify sites that will likely be used to sort and manage in-kind contributions (e.g., private 3986

warehouses, government facilities). 3987

Worker Safety and Health 3988

• Describe the processes to ensure response and recovery worker safety and health during incident 3989

response and recovery. 3990

Prevention and Protection Activities 3991

This annex describes the methods to be followed to conduct basic prevention and protection activities. 3992

Prevention Activities 3993

This process is used to identify prevention activities designed to reduce the risk of terrorism. 3994

• Describe the process for managing and ensuring operational and threat awareness among government 3995

organizations and sectors. 3996

• Describe the process for sharing information between the fusion center(s) and the EOC(s). 3997

• Describe the integration of prevention activities in support of response and recovery operations. 3998

Protection Activities 3999

This process is used to identify protection activities designed to reduce the risk of terrorism. 4000

• Describe the process for managing the CIKR identification and protection efforts involving all threats 4001

and hazards. 4002

• Describe the integration of protection activities in support of response and recovery operations. 4003

Hazard- or Threat-Specific Annexes Content Guide 4004

These annexes describe emergency response strategies that apply to a specific hazard. Future CPGs will 4005

provide greater detail on developing these annexes. 4006

4007

Local communities may integrate hazard-specific information into functional annexes if they believe such 4008

integration would make the plan easier to read and use. Conversely, the unique functional needs generated 4009

by the hazard should be addressed in the hazard/threat annex. 4010

4011


C-28

Local communities may find it appropriate to address specific hazards or threats in completely separate 4012

and stand-alone plans. In this case, the EOP must specifically reference those plans and provide a brief 4013

summary of how the EOP is to be coordinated with the stand-alone plans. 4014

4015

Some hazards have unique planning requirements directed by specific state and Federal laws. The local 4016

emergency management agency must review those requirements and determine how the EOP can best 4017

address and meet those legal requirements. 4018

Human-Caused Hazards 4019

These are disasters created by man, either intentionally or by accident. 4020

Civil Unrest 4021

This section of the annex should address the hazard-specific methods the jurisdiction uses to prepare for 4022

and respond to civil unrest emergencies/disasters. The section should also identify and describe the 4023

jurisdiction’s specific concerns, capabilities, training, agencies, and resources that will be used to mitigate 4024

against, prepare for, respond to, and recover from civil unrest emergencies (e.g., riots, school shootings). 4025

Terrorism 4026

This section of the annex should identify and describe the jurisdiction’s specific concerns, capabilities, 4027

training, agencies, and resources that will be used to prevent, protect against, prepare for, respond to, and 4028

recover from terrorist acts. The attacks covered should include, but not be limited to, attacks involving 4029

weapons of mass destruction, such as CBRNE incidents. Note: Some state emergency management 4030

agencies or homeland security offices have developed specific guidance for this planning element. 4031

Specific planning criteria are established in that guidance, and it must be reviewed in order to develop the 4032

terrorism plan. Planners should ensure that the EOP is compliant with any state, territorial, or tribal 4033

terrorism planning criteria. 4034

Natural Hazards 4035

Biological Incidents 4036


training, agencies, and resources that will be used to mitigate against, prepare for, respond to, and recover 4038

from epidemic diseases and biological incidents (e.g., West Nile virus, hoof and mouth disease, 4039

smallpox). Include a hazard analysis summary that discusses where/how biological incidents are likely to 4040

impact the community. 4041

Droughts 4042



from droughts (e.g., water conservation, public water outages, and wildfire issues). Include a hazard 4045

analysis summary that discusses where/how droughts are likely to impact the jurisdiction. 4046

Earthquakes 4047



from earthquakes. Include a hazard analysis summary that discusses where/how earthquakes are likely to 4050

impact the jurisdiction. 4051


C-29

Flood/Dam Failures 4052



from flood/dam emergencies/disasters (e.g., flash floods, inundation floods, floods resulting from dam 4055

failures or ice jams). Include a hazard summary that discusses where (e.g., 100-year and common 4056

floodplains) and how floods are likely to impact the jurisdiction. 4057

Hurricanes/Severe Storms 4058



from hurricanes/severe storms. Include a hazard analysis summary that discusses where/how 4061

hurricanes/severe storms are likely to impact the jurisdiction. 4062

Tornadoes 4063



from tornadoes. Include a hazard analysis summary that discusses where/how tornadoes are likely to 4066

impact the jurisdiction (e.g., historical/seasonal trends, damage levels F1 through F5). 4067

Winter Storms 4068



from winter storms (e.g., blizzards, ice jams, ice storms). Include a hazard analysis summary that 4071

discusses where/how winter storms are likely to impact the jurisdiction. 4072

Technological Hazards 4073

These incidents involve materials created by man and that pose a unique hazard to the general public and 4074

environment. The jurisdiction needs to consider incidents that are caused by accident (e.g., mechanical 4075

failure, human mistake), result from an emergency caused by another hazard (e.g., flood, storm), or are 4076

caused intentionally. 4077

Hazardous Materials 4078

This section of the annex should address the hazard-specific procedures and methods used to prepare for 4079

and respond to releases that involve HAZMAT that is manufactured, stored, or used at fixed facilities or 4080

in transport (if not addressed in a functional annex, such as ESF #10). This section may include materials 4081

that exhibit incendiary or explosive properties when released. Note: Some states have laws that require 4082

each Local Emergency Planning Committee (LEPC) to develop a Chemical Emergency Preparedness and 4083

Response Plan on this topic. Some states have laws requiring the local emergency management agency to 4084

incorporate the LEPC’s plan into the emergency management agency’s planning and preparedness 4085

activities. Specific planning criteria established by a State Emergency Response Commission must be 4086

reviewed and addressed in order to develop the LEPC plan. 4087

• For LEPCs that complete a stand-alone plan, describe how the jurisdiction coordinates that plan with 4088

the EOP. 4089

• For LEPC plans that are part of the EOP, describe how the planning team used and adhered to the 4090

State Emergency Response Commission criteria in order to be in compliance with those requirements 4091

and the EOP requirements discussed previously. 4092


C-30

Lethal Chemical Agents and Munitions 4093


training, agencies, and resources used to mitigate against, prepare for, respond to, and recover from lethal 4095

chemical agent and munitions incidents (e.g., sarin, mustard, and VX). Include a hazard analysis summary 4096

that discusses where/how chemical agent incidents are likely to impact the community. 4097

Radiological Incidents 4098

This section of the annex should address the hazard-specific methods to prepare for and respond to 4099

releases that involve radiological materials that are at licensed facilities or in transport. 4100

• Describe/identify the jurisdiction’s specific concerns, capabilities, training, agencies, and resources 4101

that will be used to mitigate against, prepare for, respond to, and recover from radiological hazards. 4102

Include a hazard analysis summary that discusses where/how radiological materials are likely to 4103

impact the jurisdiction, including incidents that occur at fixed facilities, along transportation routes, or 4104

as fallout from a nuclear weapon. 4105

• If applicable, address the requirements of FEMA/U.S. Nuclear Regulatory Commission NUREG-4106

0654 and Code of Federal Regulations Part 44, Section 350 as it applies to the jurisdiction’s planning 4107

for emergencies/disasters involving regulated nuclear power plants. 4108

Additional Hazards (as Applicable) 4109

Add additional annexes to include other hazards identified through the jurisdiction’s hazard analysis 4110

(e.g., mass casualty, plane crash, train crash/derailment, school emergencies). 4111

• Describe/identify the jurisdiction’s specific concerns, capabilities, training, agencies, and resources 4112

that will be used to mitigate against, prepare for, respond to, and recover from other hazards as 4113

defined in the jurisdiction’s hazard analysis. 4114

D-1

Appendix D: Suggested 4115

Training 4116

At a minimum, the Federal Emergency Management Agency (FEMA) suggests completing the following 4117

independent study courses offered by FEMA’s Emergency Management Institute 4118

(http://training.fema.gov/IS/): 4119

• IS-1: Emergency Manager: An Orientation to the Position 4120

• IS-10: Animals in Disaster, Module A – Awareness and Preparedness 4121

• IS-11: Animals in Disaster, Module B – Community Planning 4122

• IS-100.a: Introduction to Incident Command System 4123

• IS-120.a: An Introduction to Exercises 4124

• IS-130: Exercise Evaluation and Improvement Planning 4125

• IS-197.EM: Special Needs Planning Considerations – Emergency Management 4126

• IS-200.a: ICS for Single Resources and Initial Action Incidents 4127

• IS-208.a: State Disaster Management 4128

• IS-230.a: Fundamentals of Emergency Management 4129

• IS-235: Emergency Planning 4130

• IS-288: The Role of Voluntary Agencies in Emergency Management 4131

• IS-366: Planning for the Needs of Children in Disasters 4132

• IS-547.a: Introduction to Continuity of Operations 4133

• IS-650.a: Building Partnerships with Tribal Governments 4134

• IS-700.a: NIMS – An Introduction 4135

• IS-701.a: NIMS Multiagency Coordination Systems 4136

• IS-702.a: NIMS Public Information Systems 4137

• IS-703.a: NIMS Resource Management 4138

• IS-704: NIMS Communications and Information Management 4139

• IS-706: NIMS Intrastate Mutual Aid – An Introduction 4140

• IS-800.b: National Response Framework, An Introduction 4141

• IS-860.a: National Infrastructure Protection Plan 4142

• Additional Training Sources: 4143

– Center for Domestic Preparedness (http://cdp.dhs.gov) 4144


D-2

– Counter Terrorism Operations Support Program (http://www.ctosnnsa.org/index.html) 4145

– Emergency Management Institute (http://training.fema.gov/EMICourses) 4146

– Emergency Management Institute Courses Conducted by States 4147

(http://training.fema.gov/EMIWeb/STCourses) 4148

– Energetic Materials Research and Testing Center at New Mexico Institute of Mining and 4149

Technology (http://www.emrtc.nmt.edu) 4150

– Learn About Risk (http://www.learnaboutrisk.com) 4151

– National Center for Biomedical Research and Training at Louisiana State University 4152

(http://www.ncbrt.lsu.edu) 4153

– National Incident Management System 4154

(http://www.fema.gov/emergency/nims/NIMSTrainingCourses.shtm) 4155

– National Training and Education Division (https://www.firstrespondertraining.gov) 4156

– Office of the Director of National Intelligence’s Program Manager – Information Sharing 4157

Environment (http://www.ise.gov/training/awareness/sco1.aspx) 4158

– Texas Engineering Extension Service at Texas A&M University (http://teexweb.tamu.edu) 4159

4160


D-2