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Comprehensive Preparedness Guide (CPG) 101

Comprehensive Preparedness Guide (CPG) 101

Producing Emergency Plans

A Guide for All-Hazard Emergency Operations

Planning for State, Territorial, Local, and Tribal


INTERIM Version 1.0

1 August 2008

(Intentionally Blank)


PREFACE................................................................................................................................ P-1

Acknowledgments............................................................................................................... P-3

1. INTRODUCTION AND OVERVIEW .............................................................................. 1-1

Introduction........................................................................................................................ 1-1

Purpose......................................................................................................................... 1-1

Applicability and Scope................................................................................................ 1-2

Supersession.................................................................................................................. 1-3

Authorities.................................................................................................................... 1-3

How to Use This Guide................................................................................................. 1-3

Recommended Training................................................................................................ 1-5

NIMS Compliance and Integration............................................................................... 1-5

Administrative Information .......................................................................................... 1-5

Revision Process ........................................................................................................... 1-5

2. THE PLANNING PROCESS............................................................................................. 2-1

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

Planning Principles ............................................................................................................. 2-2

Characteristics of Effective Planning Processes................................................................. 2-5

Steps in the Planning Process ............................................................................................. 2-5

Form a Collaborative Planning Team................................................................................. 2-6

Understand the Situation..................................................................................................... 2-14

Conduct Research ......................................................................................................... 2-14

Analyze the Information ............................................................................................... 2-17

Determine Goals and Objectives ........................................................................................ 2-19

Plan Development............................................................................................................... 2-20

Develop and Analyze Courses of Action, Identify Resources...................................... 2-20

Plan Preparation, Review, Approval................................................................................... 2-23

Write the Plan ............................................................................................................... 2-23

Approve and Implement the Plan ................................................................................. 2-24

Plan Refinement and Execution.......................................................................................... 2-25

Exercise the Plan and Evaluate Its Effectiveness ......................................................... 2-25

Review, Revise, and Maintain the Plan ........................................................................ 2-28

3. EMERGENCY OPERATIONS PLAN FORMATS .......................................................... 3-1

Emergency Plans and Procedures ....................................................................................... 3-1

State, Territorial, Local, and Tribal EOPs .................................................................... 3-2

Structuring an EOP ............................................................................................................. 3-4

Traditional Functional Format ...................................................................................... 3-5

Emergency Support Function (ESF) Format ................................................................ 3-7

August 2008 INTERIM - Comprehensive Preparedness Guide 101

Agency/Department-Focused Format........................................................................... 3-9

Using EOP Templates......................................................................................................... 3-11

4. EMERGENCY OPERATIONS PLAN CONTENT........................................................... 4-1

The Basic Plan .................................................................................................................... 4-1

Introductory Material.................................................................................................... 4-1

Purpose, Scope, Situation, and Assumptions................................................................ 4-2

Concept of Operations .................................................................................................. 4-3

Organization and Assignment of Responsibilities........................................................ 4-4

Direction, Control, and Coordination ........................................................................... 4-4

Disaster Intelligence (Information Collection) ............................................................. 4-4

Communications ........................................................................................................... 4-5

Administration, Finance, and Logistics ........................................................................ 4-5

Plan Development and Maintenance ............................................................................ 4-5

Authorities and References........................................................................................... 4-6

Supporting Annexes............................................................................................................ 4-6

Functional, Support, Emergency Phase, or Agency-Focused Annex Content ............. 4-7

Hazard- or Incident-Specific Annexes or Appendices.................................................. 4-9

Annex and/or Appendix Implementing Instructions..................................................... 4-11

Special Preparedness Programs .................................................................................... 4-12


ADDITIONAL TYPES OF PLANS................................................................................... 5-1

General Types of Plans ....................................................................................................... 5-1

Procedural Documents.................................................................................................. 5-2

Determining Whether Response Information Belongs in a Plan

or Procedural Document ............................................................................................... 5-4



TRIBAL PLANS ................................................................................................................ 6-1

Recent Changes to Emergency Planning Requirements..................................................... 6-1

National Incident Management System........................................................................ 6-3

National Response Framework..................................................................................... 6-5

Emergency Management Assistance Compact (EMAC).............................................. 6-6

Relationship between Federal Plans and State EOPs ......................................................... 6-7

The National Response Framework (NRF) .................................................................. 6-7

FEMA Regional Response Plans (RRPs) ..................................................................... 6-8

State Emergency Operations Plan................................................................................. 6-9

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

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


INTEGRATION ASSESSMENT................................................................... C-1

APPENDIX D: EOP DEVELOPMENT GUIDE..................................................................... D-1

Comprehensive Preparedness Guide 101

August 2008

APPENDIX E: SAMPLE HAZARD PROFILE WORKSHEET ............................................ E-1






Comparison of Published Planning Processes .................................................................. 2-1


Traditional Functional EOP Format.................................................................................. 3-6


Emergency Support Function EOP Format....................................................................... 3-8


Agency/Department-Focused EOP Format....................................................................... 3-10


Relationships of National Preparedness Initiatives to State, Territorial, Local,

and Tribal Emergency Planning........................................................................................ 6-2



Potential Members of a Larger Community Planning Team ............................................ 2-9


Sample Hazard List ........................................................................................................... 2-18


Comparison of Potential Functional Annex Structures..................................................... 4-8

August 2008 INTERIM - Comprehensive Preparedness Guide 101

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Comprehensive Preparedness Guide 101 August 2008


This FEMA Comprehensive Preparedness Guide, CPG 101, continues the more

than 50-year effort to provide guidance about emergency operations planning to

State, Local, Territorial, and Tribal Governments. Some predecessor material

can be traced back to the 1960s-era Federal Civil Defense Guide. Long-time

emergency management (EM) practitioners also will recognize the influence of

Civil Preparedness Guide 1-8, Guide for the Development of State and Local

Emergency Operations Plans, and State and Local Guide (SLG) 101, Guide for

All-Hazards Emergency Operations Planning, in this document.

While CPG 101 maintains its link to the past, it also reflects the changed reality of

the current emergency planning environment. Hurricane Hugo and the Loma

Prieta earthquake influenced the development of CPG 1-8. Hurricane Andrew

and the Midwest floods shaped the contents of SLG 101. In a similar way,

CPG 101 reflects the impacts of the September 11, 2001, terrorist attacks and

recent major disasters, such as Hurricanes Katrina and Rita, on the emergency

planning community. CPG 101 integrates concepts from the National Incident

Management System (NIMS) and National Response Framework (NRF), and

it incorporates recommendations from the 2005 Nationwide Plan Review. It also

references the Target Capabilities List (TCL) that outlines the fundamental

capabilities essential to implementing the National Preparedness Guidelines. As

part of a larger planning modernization effort, CPG 101 provides methods for

emergency planners to:

Develop sufficiently trained planners to meet and sustain planning


Identify resource demands and operational options throughout the

planning process;

Link planning, preparedness, and resource and asset management

processes and data in a virtual environment;

Prioritize plans and planning efforts to best support emergency

management and homeland security strategies and allow for their

seamless transition to execution;

Provide parallel and concurrent planning at all levels;

Produce and tailor the full range and menu of combined Federal,

State/Tribal, and Local Government options according to changing

circumstances; and

August 2008 INTERIM - Comprehensive Preparedness Guide 101

Quickly produce plans on demand, with revisions as needed.

This Guide provides emergency managers and other emergency services

personnel with the Federal Emergency Management Agency��s (FEMA��s) best

judgment and recommendations on how to address the entire planning process –

from forming a planning team, through writing and maintaining the plan, to

executing the plan. It also encourages emergency managers to follow a process

that addresses all of the hazards that threaten their jurisdiction through a suite

of plans connected to a single, integrated emergency operations plan (EOP).

Over the past five years, many communities have also been developing multi-

hazard mitigation plans, addressing many of the same hazards as their

emergency operations plan. In fact, the hazard identification and risk assessment

sections of these plans should be the same (although the mitigation plans are

only required to address natural hazards communities are encouraged to

address man-made and technological hazards as well). Communities are

encouraged to coordinate their mitigation and emergency management planning

efforts to reduce duplication of effort.

This Guide should help State and Local Government emergency management

organizations produce EOPs that:

Serve as the basis for effective response to any hazard that threatens

the jurisdiction,

Integrate prevention and mitigation activities with traditional response

and recovery planning, and

Facilitate coordination with the Federal Government during incidents

that require the implementation of the National Response Framework


Additionally, CPG 101 incorporates concepts that come from disaster research

and day-to-day experience:

Effective plans convey the goals and objectives of the response and

the intended actions needed to achieve them.

Successful responses occur when organizations know their roles,

accept them, and understand how they fit into the overall plan.

The process of planning is more important than the document that

results from it.


INTERIM - Comprehensive Preparedness Guide 101 August 2008

Plans are not scripts followed to the letter but are flexible and

adaptable to the actual situation.

This Guide is part of a larger series of emergency planning related CPGs

published by FEMA. CPG 101 discusses the steps used to produce an EOP,

possible EOP structures, and what goes into the basic plan and its annexes.

Follow-on guides will provide detailed information about planning considerations

for different response functions and hazards.

While CPG 101 is the foundation for public sector emergency planning in the

United States, emergency planners in all disciplines and organizations may find

portions of this Guide useful in the development of their emergency response

plans. FEMA-141, Emergency Management Guide for Business and Industry,

provides additional information for developing emergency response plans for

private sector organizations.


A working group composed of State, Territorial, Local, and Tribal government

emergency managers and emergency management researchers developed

CPG 101. The group included representatives from:

State and Territorial Governments

Commonwealth of Pennsylvania: Pennsylvania Emergency

Management Agency

State of Arkansas: Arkansas Department of Emergency Management

State of California: Office of Emergency Services

State of Delaware: Delaware Emergency Management Agency

State of Florida: Office of Public Health Preparedness

State of Illinois: Illinois Emergency Management Agency

State of Maryland: Maryland Emergency Management Agency

State of Michigan: Michigan State Police

State of Minnesota: Minnesota Homeland Security and Emergency


State of Mississippi: Mississippi Emergency Management Agency

State of New Jersey: Office of Homeland Security and Preparedness;

Department of Law and Public Safety

State of New Mexico; New Mexico Office of Emergency Management

State of Nevada: Southern Nevada Health District

State of Ohio: Ohio Emergency Management Agency

State of Oklahoma: Department of Emergency Management;

Department of Homeland Security

State of South Carolina: South Carolina Emergency Management

Division; South Carolina Law Enforcement Division

August 2008 INTERIM - Comprehensive Preparedness Guide 101

Local and Tribal Governments

Baltimore County (MD): Office of Homeland Security and Emergency


Chesterfield County (VA): Office of Emergency Management

City of Grapevine (TX): Grapevine Fire Department

City of Milwaukee (WI): Department of Public Works

City of San Francisco (CA): Office of Emergency Services

Clark County (NV): Office of Emergency Management and Homeland


Cobb County (GA): Emergency Management Agency

Cullman County (AL) : Emergency Management Agency

Johnson County (KS): Office of Emergency Management and

Homeland Security

Jones County (MS): Emergency Management Agency

Madison County (AL): Emergency Management Agency

Madison County (OH): Emergency Management Agency

Marion County (AL): Emergency Management Agency

Mobile County (AL): Emergency Management Agency

Overland Park (KS): Overland Park Police Department

Rockingham County (NC): Emergency Services

Professional Associations

International Association of Emergency Managers

National Emergency Management Association

Industry, Research Organizations, and Universities

Argonne National Laboratory: Center for Integrated Emergency


CRA, Incorporated

Innovative Emergency Management, Incorporated

Oklahoma State University: Center for the Study of Disasters and

Extreme Events

Towson University: Center for Homeland Security


INTERIM - Comprehensive Preparedness Guide 101 August 2008





CPG 101 provides general guidelines on developing Emergency Operations

Plans (EOPs). It promotes a common understanding of the fundamentals of

planning and decision making to help emergency planners examine a hazard and

produce integrated, coordinated, and synchronized plans. This Guide helps

emergency managers in State, Territorial, Local, and Tribal governments in their

efforts to develop and maintain a viable all-hazard EOP. Each jurisdiction��s EOP

must reflect what that community will do to protect itself from its unique hazards

with the unique resources it has or can obtain.

The value of planning rests in its proven ability to influence events before

they occur and in its indispensable contribution to unity of effort. Planning

is part of the broad framework of incident management and an essential activity

of homeland security. The President identified emergency planning as a national

security priority, and this prioritization is reflected in the National Preparedness

Guidelines (NPG). Planning must be conducted in an atmosphere of trust and

mutual understanding. Accomplished properly, planning

provides a methodical way to think through the entire

��Let our

life cycle of a potential crisis, determine required


capabilities, and help stakeholders learn and practice


their roles. It directs how we envision and share a


desired outcome, select effective ways to achieve it,

and communicate expected results. Planning is not advanced

formulaic or scripted. No planner can anticipate every thinking and

scenario or foresee every outcome. Planners measure a planning.��

plan��s quality by its effectiveness when used to address

unforeseen events, not by the fact that responders Winston

executed it as scripted. Planning includes the collection


and analysis of intelligence and information and the

development of plans, procedures, mutual aid

agreements, and other publications that comply with the relevant laws, policies,

and guidance needed to perform response missions and tasks.

Comprehensive planning systems involve both deliberative planning and incident

action planning. Deliberative planning is the process of developing strategic and

August 2008 INTERIM - Comprehensive Preparedness Guide 101

operational plans based upon facts or assumptions about the circumstances

involved in a hypothetical situation; in other words, they are created in advance

of events. In incident action planning, we adapt existing deliberative plans during

an incident or when we recognize an event is about to occur. Emergency

planners will find that both are critical to developing a robust planning capability

within and among all stakeholders (including nongovernmental organizations


Planners achieve unity of purpose through horizontal integration and

vertical coordination of emergency plans among all levels and sectors. This

supports the foundational principle that response starts at the Local level and

adds State, Regional, and Federal assets as the affected jurisdiction needs more

resources and capabilities. This means that plans must be coordinated vertically

among levels of government to ensure a common operational focus. Similarly,

emergency planners at each level must ensure that individual department and

agency response plans fit into the jurisdiction��s concept of operations

(CONOPS). This horizontal integration ensures that the department or agency

understands, accepts, and is prepared to execute response missions identified in

the jurisdiction��s EOP. Incorporating both aspects ensures that the sequence and

scope of a planned operation (what should happen, when, and at whose

direction) is synchronized for all responders in purpose, place, and time.

A shared planning system or planning community increases collaboration,

shortens planning cycles, and makes plans easier to maintain. Planning is

an essential homeland security activity. It requires policies, procedures, and tools

that support the decision makers and planners who make up the emergency

planning community. The goal of both the Comprehensive Preparedness Guide

initiative and the broader scope National Preparedness Guidelines is to create a

simple national planning system and develop a national planning community that

can cope with change.


The U.S. Department of Homeland Security recommends that teams responsible

for developing EOPs within State, Territorial, Local, and Tribal governments and

in the private sector use CPG 101 to guide their efforts. It provides a context for

EOPs in light of other existing plans and describes a process to use in any

planning effort. The Guide recognizes that many jurisdictions across the country

have already developed EOPs. Therefore, it establishes no immediate

requirements but suggests that the next iteration of all EOPs generally follow this


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CPG 101 is new. It replaces SLG 101, which is rescinded.


Through the Robert T. Stafford Disaster Relief and Emergency Assistance Act

(the Stafford Act), as amended, 42 U.S.C. 5121, et seq., Congress recognizes

emergency management as a joint responsibility of Federal, State, and Local

governments. For the Federal government, Congress defines a role that includes

providing "necessary direction, coordination, and guidance" (Sec. 601, 42 U.S.C.

5195) for the nation's emergency management system, to include "technical

assistance to the states in developing comprehensive plans and programs for

preparation against disasters" (Sec. 201(b), 42 U.S.C. 5131(b)).

The Stafford Act also provides the legal basis for FEMA's mitigation plan

requirements for State, local, and Indian Tribal governments (44 Code of Federal

Regulations (CFR) Part 201) as a condition of receiving funding for

mitigation grants. This Act provides an opportunity for states and local

governments to take a new and revitalized approach to mitigation planning and

emphasizes the need for state, Tribal, and local entities to closely coordinate

mitigation planning and implementation efforts. The requirement for a State

mitigation plan is continued as a condition of disaster assistance, adding

incentives for increased coordination and integration of mitigation activities at the

State level.

The Post-Katrina Emergency Management Reform Act of 2006 established new

leadership positions and position requirements within the Federal Emergency

Management Agency (FEMA), brought new missions into FEMA, restored some

that had previously been removed, and enhanced the agency��s authority by

directing the FEMA Administrator to undertake a broad range of activities before

and after disasters occur. The Post-Katrina Act contains provisions that set out

new law, amend the Homeland Security Act, and modify the Stafford Act.

Additionally, the regulations governing emergency management and assistance

are promulgated in Chapter 1, Title 44 of the Code of Federal Regulations and

provide procedural, eligibility, and funding requirements for program operations.

State, Territorial, Local, and Tribal governments should use this Guide to

supplement laws, policies, and regulations from their jurisdictions.


CPG 101 is designed to help both novice and experienced planners navigate the

planning process. Chapter 1, in addition to addressing the applicability, authority,

purpose, and scope of CPG 101, suggests minimum training needs for

August 2008 INTERIM - Comprehensive Preparedness Guide 101

emergency planners. It also

CPG 101 Content Summary

discusses NIMS compliance

and informs users about how 1. Introduction

to recommend changes for 2. The Planning Process

future versions. Chapter 2 3. EOP Formats

outlines planning principles

4. EOP Content

and the steps of the planning


Additional Types of Plans

process. It discusses how to


Linking Federal, State, Territorial, Local, and Tribal

produce EOPs as a team,


the importance of research

7. Appendices

and hazard analysis in

producing a plan, and how to A. Authorities and References

determine the roles and B. Glossary and Acronyms

responsibilities of C. NIMS Integration Assessment

participating organizations.

D. EOP Development Guide

Chapter 3 provides some


Hazard Profile Worksheet

practice-based options for


Organization Responsibility Matrix

structuring EOPs. Chapter 4


Department-to-ESF Cross-Reference Matrix

discusses typical content for


Information Collection Matrix

an EOP��s basic plan and

annexes. Chapter 5

summarizes other forms of emergency plans and the relationship between those

plans and an EOP. Chapter 6 explains how Federal and State emergency plans

link to Local plans. The appendices include the following:

A list of source material used in developing the Guide,

A glossary of terms and a list of acronyms used throughout the Guide,

An EOP component assessment derived from National Integration Center

(NIC) materials,

Checklists to help guide EOP development,

A sample hazard profile worksheet,

A sample organizational responsibility matrix,

A sample department-to-ESF (emergency support function) cross-

reference matrix, and

A sample information collection matrix.


INTERIM - Comprehensive Preparedness Guide 101 August 2008


This guide assumes that users have some experience in emergency

management and emergency planning. At a minimum, users should have

completed the following Independent Study courses offered by FEMA��s

Emergency Management Institute:

IS 1: Emergency Manager – An Orientation to the Position

IS 100: Introduction to the Incident Command System I-100

IS 200: ICS for Single Resources and Initial Action Incidents

IS 208: State Disaster Management

IS 230: Principles of Emergency Management (This course will be revised

to reflect CPG101 as the basis for training.)

IS 235: Emergency Planning

IS 292: Disaster Basics

IS 700: National Incident Management System (NIMS), An Introduction

IS-701 Multiagency Coordination Systems

IS-702 NIMS Public Information Systems

IS-703 NIMS Resource Management

IS-706 NIMS Intrastate Mutual Aid – An Introduction

IS 800b: The National Response Framework, An Introduction


In November 2005, the NIC published guides for integrating NIMS concepts into

EOPs. This Guide incorporates the concepts and suggestions found in those



Terms and acronyms in the text emphasized with bold type come from the

FEMA Acronyms, Abbreviations, and Terms (FAAT) or the National Incident

Management System (NIMS). The glossary lists most terms used in CPG 101

that have FAAT or NIMS definitions. Bold and italic type is used for terms or

acronyms first identified in this CPG.


FEMA will revise CPG 101 as needed and issue change pages through the

publication distribution system and on-line through a variety of sources

(e.g., DHSInteractive [https://interactive.dhs.gov/suite/portal/index.jsp] and DHS

Lessons Learned Information Sharing [http://www.llis.dhs.gov]).

August 2008 INTERIM - Comprehensive Preparedness Guide 101

FEMA welcomes recommendations on how to improve this CPG so it better

serves the needs of the emergency management community. You can provide

recommendations for improving this Guide to:


National Preparedness Directorate

Planning and Assistance Branch

800 K Street, NW

Washington, DC 20531

ATTN: CPG Initiative

E-mail: donald.lumpkins@dhs.gov

1-6 INTERIM - Comprehensive Preparedness Guide 101 August 2008



This chapter describes an approach for emergency planning that is consistent

with the process described in the National Incident Management System manual.

When planners use this process consistently during the preparedness phase, its

use during response operations becomes second nature. The goal is to make the

planning process routine across all phases of emergency management.

The process described in this chapter blends concepts from a variety of sources,

including not only the NIMS manual but also previously published FEMA

guidance and National Response Team hazardous materials planning

guidance. Figure 2.1 shows the relationships among the different processes. This

chapter suggests an emergency planning process that planners can apply at all

levels of government to tactical, operational, and strategic planning efforts. This

process also allows private and nongovernmental organizations to integrate and

find synergy with government planning efforts. Although individual planners can

use this process, it is most effective when used by a planning team.

Figure 2.1 Comparison of Published Planning Processes

August 2008 INTERIM - Comprehensive Preparedness Guide 101


The challenge of developing an all-hazards plan for protecting lives, property,

and the environment within is made easier if the emergency planners preparing it

apply the following principles to the planning process:

Planning is an orderly, analytical, problem-solving process. It follows a set

of logical steps from plan initiation to analysis of objectives, to development and

comparison of ways to achieve the objectives, and to selection of the best

solution. Rather than concentrating on every detail of how to achieve the

objective, an effective plan structures thinking and supports insight, creativity,

and initiative in the face of an uncertain and fluid environment. While using a

prescribed planning process cannot guarantee success, inadequate plans and

planning are proven contributors to failure.

Plans guide preparedness activities. They provide a common framework to

guide preparedness by establishing the desired end state and the tasks required

to accomplish it. This process identifies the capabilities required. Capabilities

provide the means to accomplish a mission and achieve desired outcomes by

performing critical tasks, under specified conditions, to target levels of

performance. Exercises provide opportunities to demonstrate and evaluate

performance, while periodic assessments of plans identify lessons learned and

provide the means to share best products and practices.

Planning helps deal with complexity. Homeland security problems are most

often a complex set of interrelated problems. The National Strategy for Homeland

Security attaches special emphasis to planning for catastrophic events with ��the

greatest risk of mass casualties, massive property loss and immense social

disruption.�� Planning provides the opportunity for a jurisdiction or regional

response structure to work through these very complex situations and their

unique set of problems. Planning helps emergency managers understand how

their decisions might affect the ability of their jurisdiction and neighboring

jurisdictions to achieve response goals.

Emergency planning addresses all hazards. The causes of emergencies can

vary greatly, but many of the effects do not. This means planners can address

emergency functions common to all hazards in the basic plan instead of having

unique plans for every type of hazard. For example, floods, wildfires, and

hazardous materials releases may lead a jurisdiction to issue an evacuation

order. Even though each hazard��s characteristics (e.g., speed of onset, size of

the affected area) are different, the general tasks for conducting an evacuation

are the same. Differences in the speed of onset may affect when an evacuation

order is given, but the process of issuing an evacuation order does not change.

All-hazards planning ensures that when we plan for emergency functions, we

identify common tasks and who is responsible for accomplishing those tasks.

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Emergency planning does not need to start from scratch. Planners should

take advantage of others' experience. The State is a valuable resource for the

Local jurisdiction. Many States publish their own standards and guidance for

emergency planning, conduct workshops and training courses, and assign their

planners to work with Local planners. FEMA supports State training efforts

through its National Preparedness Directorate by offering resident, locally

presented, and independent-study emergency planning courses. FEMA also

publishes many documents related to planning for specific functions and

hazards. By reviewing existing emergency or contingency plans, planners can:

Identify applicable authorities and statutes,

Gain insight into community risk perceptions,

• Identify organizational arrangements used in the past,

Identify mutual aid agreements with other jurisdictions, and

Learn how some planning issues were resolved in the past.

Planning depicts the anticipated environment for action. This promotes early

understanding and agreement on planning assumptions and risks, and it

provides the context for interaction. Effective planning identifies clear tasks and

purposes, promotes frequent interaction among stakeholders, guides

preparedness activities, establishes procedures for implementation, provides

measures to synchronize actions, and allocates or reallocates resources. It can

also serve, at least in part, as a substitute for experience. Experience helps us

know intuitively what to expect and what actions to take. In situations where we

lack experience, planning provides the opportunity to anticipate conditions and

systematically think through potential problems and workable solutions. Planners

should review the existing emergency plans for questionable assumptions,

inaccuracies, inconsistencies, omissions, and vagueness. Critiques of recent

emergency operations and exercises in the jurisdiction will help planners develop

a list of topics to address when updating plans.

Planning must involve all partners. Just as a coordinated emergency response

depends on teamwork, good emergency planning requires a team effort. The

most realistic and complete plans are prepared by a team that includes

representatives of the departments, agencies, and private sector and NGOs that

will have to execute the plan. This principle is so important that the first step of

the planning process is forming a planning team. When the plan considers and

incorporates the views of the individuals and organizations assigned tasks in it,

the more likely they are to accept and use it.

Planning assigns tasks, allocates resources, and establishes

accountability. Decision makers must ensure planners have the means to

accomplish the mission. They do so by organizing, staffing, equipping, and

August 2008 INTERIM - Comprehensive Preparedness Guide 101

allocating resources. They ensure planners have clearly established priorities to

make the most efficient use of key resources, and they hold planners and plan

participants accountable for effective planning and performance.

Planning includes senior officials throughout the process to ensure both

understanding and buy-in. Potential planning team members have many day-

to-day concerns. For a team to come together, potential members must be

convinced that emergency planning has a higher priority, and the person to

convince them is the jurisdiction's chief executive. They discipline the process to

meet requirements of time, planning horizons, simplicity, and level of detail. They

ensure plans comply with policy and law, are relevant, and are suitable for

implementation. Planning helps decision makers anticipate and think critically,

reducing time between decisions and actions. The more involved decision

makers are in planning, the better the planning product is. The emergency

manager has to enlist the chief executive's support for and involvement in the

planning effort. The emergency manager must explain to the chief executive

what is at stake in emergency planning by:

Sharing the hazard analysis for the jurisdiction,

Describing what the government body and especially the chief executive

will have to do,

Discussing readiness assessments and exercise critiques, and

Reminding the chief executive that planning is an iterative, dynamic

process that ultimately facilitates his or her job in an emergency.

Planning is influenced by time, uncertainty, risk, and experience. These

factors define the starting point where planners apply appropriate concepts and

methods to create solutions to particular problems. Since this involves judgment

and balancing of competing demands, plans cannot be overly detailed, followed

to the letter, or so general that they provide insufficient direction. This is why

planning is both science and art, and why plans are evolving frameworks.

Those aspects of planning that are quantifiable, measurable, and lend

themselves to analysis – such as how long it takes a team to mobilize and travel

certain distances – are part of the science of planning. Planners gain knowledge

about the science of planning through training and study. Other aspects of

planning, such as the choice of particular options or arrangement of a specific

sequence of actions, are part of the art of planning. Applying the art of planning

requires an understanding of the dynamic relationships between participants and

of the conditions and complexity imposed by the situation. Mastering the art of

planning comes through exercises and operational experience.


INTERIM - Comprehensive Preparedness Guide 101 August 2008

Effective plans not only tell those within the planning community what to

do (the task) and why to do it (the purpose). They also inform those outside

the jurisdiction about how to cooperate and provide support and what to

expect. Plans identify important constraints (what ��must be done��) and restraints

(what ��must not be done��) that affect freedom of action and expectations.

Planning is fundamentally a risk management tool. Uncertainty and risk are

inherent in response planning and operations. Risk management during planning

identifies potential hazards and assesses the probability and severity of each to

mission accomplishment. Decision makers determine and communicate

acceptable levels of risk.


Examples of effective planning processes include the U.S. Department of

Defense��s (DoD��s) Joint Operation Planning and Execution System, DHS��s

National Planning and Execution System, and the National Oil and Hazardous

Substances Pollution Contingency Plan System. These planning systems and

processes share common characteristics. They are:

Constantly occurring;

Attempt to reduce unknowns in the anticipated event, while acknowledging

it is impossible to preplan every aspect of a response;

Aim at evoking appropriate actions;

Are based on what is likely to happen and what people are likely to do;

Are based on facts, including knowledge about people��s typical behavior,

the threat or hazard itself, and required capabilities;

Focus on general principles while maintaining flexibility;

Are partly a training and education activity; and

Are tested.


There are many ways to produce an EOP. The planning process that follows has

enough flexibility for each community to adapt it to its unique characteristics and

situation. Small communities can follow just the steps that are appropriate to their

size, known hazards, and available planning resources. The steps of this process

are to:

1. Form a collaborative planning team;

2. Understand the Situation;

a) Conduct research

August 2008 INTERIM - Comprehensive Preparedness Guide 101

b) Analyze the information

3. Determine Goals and Objectives;

4. Plan Development;

a) Develop and analyze courses of action

b) Identify resources

5. Plan Preparation, Review, Approval; and

a) Write the plan

b) Approve and implement the plan

6. Plan Refinement and Execution;

a) Exercise the plan and evaluate its effectiveness

b) Review, revise, and maintain the plan


Experience and lessons

learned indicate that

emergency planning is best

performed by a team. Using a

team or group approach

helps response organizations

define their perception of the

disaster/emergency and the

role they will play. Case

studies and research

reinforce this concept by pointing out that the common thread found in successful

responses is that the responding organizations have understood and accepted

their roles. In addition, members of the planning team should be able to

understand and accept the roles of other departments and agencies. One goal of

using a planning team is to build and expand relationships that help bring

creativity and innovation to planning during emergencies. It helps establish a

planning routine, so that processes followed before an emergency are the same

as those used during an emergency.

2-6 INTERIM - Comprehensive Preparedness Guide 101 August 2008

In most jurisdictions, the

emergency manager is the senior

elected official��s policy advisor for

mitigation, preparedness,

response, and recovery strategies.

In this role, emergency managers

are often responsible for

coordinating and developing the

EOP. In practice, this means that

the emergency manager usually

provides oversight to the planning

team. However, other government

agencies or departments have

statutory authority and

responsibility for implementing

preparedness and response

actions. Two key groups in this

regard are law enforcement and

public health. Law enforcement

often has the lead in addressing

prevention issues, in concert with

other services. Public health in the

modern era continues to address

unique hazards that cross the

bounds between natural and

intentional. Thus, the emergency

manager must ensure that

emergency planning involves the

jurisdiction's entire emergency


Initially, the team should be small,

consisting of planners from the

organizations that usually respond

to an emergency or disaster. They

form the core for all planning

efforts. As the emergency plan

matures, the core team expands to

include other planners.

Jurisdictions that use an agency

and department response

structure might use a core team

consisting of planners from:

Emergency management,

A Small Community Planning Team

A small community (population of 1,500) took

the following approach to forming its planning


Who was involved in the core planning team?

Any department or office that was likely to

be involved in most if not all responses.

Involvement was limited to the 5–7 most

central people – Fire Chief, Police Chief,

Emergency Manager, Emergency Planner,

Head of Public Works.

What did they do?

-Provided information to create a

complete plan draft.

-Answered the questions about the

community for the draft plan.

-Provided additional commentary on

roles and responsibilities.

-Gave information about the

communities�� standard operations.

-Clarified command structures.

-Provided information about resources,

capabilities, threats, and risks.

-Gave writers information for


Who participated in the larger planning team?

Responders and stakeholders who might

become involved in a major incident. In this

case, the community used a 10–20 member

group that included emergency managers

from surrounding communities, business

leaders, secondary responders,

representatives from industry, community

leaders, 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.

August 2008 INTERIM - Comprehensive Preparedness Guide 101

Law enforcement,

Fire services,

Emergency medical services,

Public health,

Hospitals and health care facilities,

Public works,

Social services,

Private sector, and

NGOs (including those that address special needs issues).

A jurisdiction might want to base the core planning team��s membership on the

EOP structure it uses. For example, locations using an Emergency Support

Function (ESF) EOP structure might form a core team composed of planners

from the lead agency or department for ESF-4 (Fire), ESF-5 (Emergency

Management), ESF-6 (Mass Care), ESF-8 (Public Health and Medical Services),

and ESF-13 (Public Safety).

No matter how a jurisdiction structures its core planning team, it needs the

involvement of executives from the member departments or agencies. Their

participation indicates support for the planning function. They are able to speak

with authority on policy, provide subject matter expertise, and provide

accountability as it relates to their agency or department.

FEMA encourages the establishment of state and local Citizen Corps Councils

(CCCs) to bring government and nongovernment community leaders together to

facilitate continuous integrated community all-hazard emergency planning. Local

government-sponsored CCCs can be a valuable resource for including multi-

sector representation in developing and updating government EOPs and

coordinating and integrating with nongovernmental plans.

Table 2.1 identifies potential members of the larger planning community and their

areas of expertise upon which the core planning team can draw. The list is not

all-inclusive. The emergency manager must constantly bring planners or subject

matter experts who have experience and insights that are appropriate for the task

into the planning process.

2-8 INTERIM - Comprehensive Preparedness Guide 101 August 2008

Table 2.1 Potential Members of a Larger Community Planning Team

Individuals/Organizations What They Bring to the Planning Team

Senior Official (SO, elected or .

Support for the emergency planning process

appointed) or designee




Government intent by identifying planning goals and

essential tasks

Policy guidance and decision-making capability

Authority to commit the jurisdiction��s resources

Emergency Manager or designee .




Knowledge about all-hazard planning techniques

Knowledge about the interaction of the tactical,

operational, and strategic response levels

Knowledge about the preparedness, response, recovery,

and mitigation strategies for the jurisdiction

Knowledge about existing mitigation, emergency,

continuity, and recovery plans

Fire Services Chief or designee .



Knowledge about fire department procedures, on-scene

safety requirements, hazardous materials response

requirements, and search-and-rescue techniques

Knowledge about the jurisdiction��s fire-related risks

Specialized personnel and equipment resources

Law Enforcement Chief or designee .


Knowledge about police department procedures, on-scene

safety requirements, local laws and ordinances, explosive

ordnance disposal methods, and specialized response

requirements, such as perimeter control and evacuation


Specialized personnel and equipment resources

Public Works Director or designee .


Knowledge about the jurisdiction��s road and utility


Specialized personnel and equipment resources

August 2008 INTERIM - Comprehensive Preparedness Guide 101

Table 2.1 (cont.)

Individuals/Organizations What They Bring to the Planning Team

Emergency Medical Services (EMS)

Director or designee





Knowledge about emergency medical treatment

requirements for a variety of situations

Knowledge about treatment facility capabilities

Specialized personnel and equipment resources

Knowledge about how EMS interacts with the Emergency

Operations Center (EOC) and incident command

Healthcare Facility Manager or






Knowledge about the jurisdiction��s surge capacity

Knowledge about medical treatment requirements for a

variety of situations

Knowledge about interactions among EMS, hospitals, and

health departments

Knowledge about historic syndromic surveillance

Public Health Officer or designee .





Records of morbidity and mortality

Knowledge about the jurisdiction��s surge capacity

Understanding of the special medical needs of the


Knowledge about historic infectious disease and

syndromic surveillance

Knowledge about infectious disease sampling procedures

Hazardous Materials Coordinator .


Knowledge about hazardous materials that are produced,

stored, or transported in or through the community

Knowledge about U.S. Environmental Protection Agency

(EPA), Occupational Safety and Health Administration

(OSHA), and U.S. Department of Transportation (DOT)

requirements for producing, storing, and transporting

hazardous materials and responding to hazardous

materials incidents

Mutual Aid Partners .

Knowledge about specialized personnel and equipment

resources available within their jurisdiction

2-10 INTERIM - Comprehensive Preparedness Guide 101 August 2008

Table 2.1 (cont.)

Individuals/Organizations What They Bring to the Planning Team

Transportation Director or designee .




Knowledge about the jurisdiction��s road infrastructure

Knowledge about the area��s transportation resources

Familiarity with the key local transportation providers

Specialized personnel resources

Agriculture Extension Service .

Knowledge about the area��s agricultural sector and

associated risks (e.g., fertilizer storage, hay and grain

storage, fertilizer and/or excrement runoff)

Tax Assessor .

Records of all properties in the community and their value

Building Inspector .



Knowledge about the types of construction used in the


Knowledge about land use and land-use restrictions

Records of planned development

School Superintendent or designee .



Knowledge about school facilities

Knowledge about the hazards that directly affect schools

Specialized personnel and equipment resources

(e.g., buses)

Nongovernment Organizations .

Knowledge about specialized resources that can be

(includes participants in Volunteer brought to bear in an emergency

Organizations Active in Disaster

[VOAD]), and other private, not-for.

Lists of shelters, feeding centers, and distribution centers

profit, faith-based, and community

organizations .

Knowledge about special-needs populations

Citizen Corps Councils .


Knowledge about integrating government and

nongovernmental plans

Assistance in identifying, developing, and integrating

nongovernmental resources to fill gaps identified by


August 2008 INTERIM - Comprehensive Preparedness Guide 101

Table 2.1 (cont.)

Individuals/Organizations What They Bring to the Planning Team

Local business and industry





Knowledge about hazardous materials that are produced,

stored, and/or transported in or through the community

Facility response plans (to be integrated with the

jurisdiction��s EOP)

Knowledge about specialized facilities, personnel, and

equipment resources that could be used in an emergency

Amateur Radio Emergency Service .

List of ARES/RACES resources that can be used in an

(ARES)/Radio Amateur Civil emergency

Emergency Services (RACES)


Media representatives .

Knowledge about community media infrastructure and


Social services agencies



Knowledge about special-needs populations

Utility representatives .


Knowledge about utility infrastructures

Knowledge about specialized personnel and equipment

resources that could be used in an emergency

Veterinarians/animal shelter



Knowledge about the special response needs for animals,

including livestock

Local Federal asset representatives .



Knowledge about specialized personnel and equipment

resources that could be used in an emergency

Facility response plans (to be integrated with the

jurisdiction��s EOP)

Knowledge about potential hazards at Federal facilities

(e.g., research laboratories, military installations)

2-12 INTERIM - Comprehensive Preparedness Guide 101 August 2008

Planners must persuade these leaders and/or their designees to take an active

interest in emergency planning. Although scheduling meetings with so many

participants may prove difficult, it is critical that everyone participates in the

planning process and takes ownership of the plan. This objective can be

accomplished by involving leaders and managers from the beginning. Their

expertise and knowledge of their organizations�� resources are crucial to

developing a plan that considers the entire jurisdiction��s needs and the resources

that are available in an emergency.

A community benefits from the active participation of all stakeholders. Some tips

for gathering the team together include the following:

Plan ahead. The planning team should receive plenty of notice about

where and when the planning meeting

will be held. If time permits, ask the team

One way to overcome

members to identify the time(s) and

place(s) that will work for the group. scheduling issues is to

use planning tools

Provide information about team

expectations. Planners should explain

that support on-line

why participating on the planning team is

collaboration. Many

important to the participants�� agencies

and to the community itself, showing the

of the tools available

participants how their contributions will

lead to a more effective emergency allow for

response. In addition, budget and other

coordination, version

project management concerns should be

outlined early in the process.

control, and plan

Ask the senior elected or appointed implementation

official (SO) or designee to sign the

during a crisis.

meeting announcement. A directive from

the executive office will carry the

authority of the SO and sends a clear

signal that the participants are expected to attend and that emergency

planning is important to the community.

Allow flexibility in scheduling after the first meeting. Not all team members

will need to attend all meetings. In some cases, task forces or

subcommittees can complete the work. When the planning team chooses

to use this option, it should provide project guidance (e.g., timeframes and

milestones) but let the subcommittee members determine when it is most

convenient to meet.

August 2008 INTERIM - Comprehensive Preparedness Guide 101

Consider using external facilitators. Third-party facilitators can perform a

vital function by keeping the process focused and mediating


The key to planning in a group setting is to allow open and frank discussion

during the process. A lot of interaction among planners can help elicit a common

operational understanding. Individual group members must be encouraged to

express objections or doubts. If a planner disagrees with a proposed solution,

that planner must also identify what needs to be fixed.



This step and Step 2b

(Analyze the Information)

start the problem solving

process. Hazards are the

general problems that

emergency managers face.

Researching and analyzing

information about potential

hazards a jurisdiction may

face brings specificity to the planning process. If hazards are viewed as problems

and emergency plans are the solution, then hazard identification and analysis are

key steps in the planning process.

Gathering information about the jurisdiction's planning framework, potential

hazards, resource base, and geographic or topological characteristics that could

affect emergency operations is the first step of research. Planners need two

types of information: facts and assumptions.

Facts are verifiable pieces of information, such as laws, regulations,

floodplain maps, and resource inventories.

Assumptions consist of information accepted by planners as being true in

the absence of facts in order to provide a framework or set conditions for

variables so that planning can proceed. Assumptions are used as facts

only if they are considered valid (likely to be true) and are necessary for

solving the problem. Emergency managers change assumptions to facts

when they implement a plan. For example, when one plans for dealing

with a flood, the location of the water overflow, size of the flood hazard

area, and speed of the rise in water may be assumed. When the plan is

put into effect, these assumptions are replaced by the facts of the


INTERIM - Comprehensive Preparedness Guide 101 August 2008

situation, and the plan is modified

accordingly. Use assumptions

sparingly – put great effort into doing

research and acquiring facts.

A variety of information sources are available

to planners. The Universal Task List (UTL),

Target Capabilities List (TCL), Resource

Typing List, National Planning Scenarios

(NPS), and other recently published

documents can help define response issues,

roles, and tasks. Hazard maps are available

in compilations of hazard information made

by FEMA and State emergency management

agencies, the U.S. Geological Survey

(USGS) and State geological surveys, and

the National Weather Service (NWS) and its

local offices. For more localized hazards,

maps from the Federal Insurance

Administration (FIA), maps of 10- and 50-mile

emergency planning zones (EPZs) around

nuclear power plants, and any maps of

hazardous materials (HAZMAT) sites

prepared by Local Emergency Planning

Committees (LEPCs) may be useful.

Jurisdictional geographic information system

(GIS) data and raw data collected for

disasters (such as global positioning system

[GPS] locations and depth of flood at the site)

may also be available for use.

For historical investigations, Federal and

State analyses provide tabulated data about

historical occurrences of hazards by

jurisdiction. Local organizations (e.g., the

local chapter of the American Red Cross

[ARC]), utilities, other businesses, and

members of the planning team can provide

records about their experiences in previous

disasters. Avoid limiting the number of

sources and encourage long-time community

residents to contribute to the process.

The sources for ��expert opinions�� on hazard

Gathering Data on the



To properly plan for the

entire community,

governments must have an

informed estimate of the

number and type of special-

needs individuals in the

population. Emergency

planners should base their

assessments on lists and

information collected from

multiple sources, including


U.S. Census data

Social services listings

(dialysis centers,

Meals on Wheels,


Para-transit providers

Health departments

Utility providers

Job access services

Congregate settings


County emergency

alert list serves



Day care centers (for

children or senior


Places of worship

The key to getting good

information is to cultivate

good relationships with the

service agencies. Data on the

special-needs population

needs updating at least once

a year.

potential are similar: Federal, State, and Local agencies; academic, industrial,

and public interest group researchers; private consultants specializing in hazard

August 2008 INTERIM - Comprehensive Preparedness Guide 101

analysis; and professional associations concerned with the hazards on a

planner��s list. Sources for information on the community and possible

consequences from hazards vary. To determine the potential consequences of

certain facility-based hazards, planners might check with the facility or the

agency (Local, State, Regional, or Federal) that regulates that kind of facility. For

demographic data, Census data are available, as are off-the-shelf computer

products that organize such data by zip code.

The planning team should also make extensive use of the information about the

jurisdiction that both government organizations and NGOs develop for their own

purposes. For example, the local planning and zoning commission or department

may have extensive demographic, land use, building stock, and similar data. The

tax assessor and/or local realtors' association can often provide information on

the numbers, types, and values of buildings. Building inspection offices maintain

data on the structural integrity of buildings, codes in effect at time of construction,

and the hazard effects that a code addresses. Local public works (or civil

engineering) departments and utilities are sources for information on potential

damage to and restoration time for the critical infrastructures threatened by

hazard effects. The Chamber of Commerce may offer a perspective on damage

to businesses and general economic loss. Other sources of information

mentioned previously – emergency service logs and reports, universities,

professional associations, etc. – also apply.

It is also important to involve civic leaders, members of the public, and

representatives of community-based organizations in the planning process. They

may serve as an important resource for validating assumptions about public

needs, capabilities, and reactions. Since many planning assumptions and

response activities will directly impact the public-at-large, it is critical to involve

these representatives during the planning phase and to ensure their inclusion

during validation and implementation. Potential roles include support to planning

teams, public outreach, and establishing Community Emergency Response

Teams (CERTs). Planners can obtain assistance for including the community

sectors in the planning process from State or Local CCCs.

The second step of research is organizing the information into a format that is

usable by the planning team. One effective method for organizing hazard

information is to use a matrix based on disaster dimensions used during the

hazard analysis process:

1. Probability or frequency of occurrence,

2. Magnitude – the physical force associated with the hazard,

3. Intensity/severity – the impact or damage expected,

4. Time available to warn,

2-16 INTERIM - Comprehensive Preparedness Guide 101 August 2008

5. Location of the event – a specific or indeterminate site or facility,

6. Potential size of the disaster area,

7. Speed of onset – how fast the hazard can impact the public, and

8. Duration – how long the hazard will be active.

Depending on the kinds of decisions and analyses the information is meant to

support, planners might use other categories for data organization. For example,

the decision that one hazard poses more of a threat than another may require

only a qualitative estimate (e.g., high versus medium), whereas planning how to

deal with health and medical needs caused by a particular hazard may require

estimates of likely fatalities and injuries.


Hazard analysis is the basis

for mitigation and infrastructure

protection efforts and EOP

development. From an

emergency planning

perspective, hazard analysis

helps a planning team decide

what hazards merit special

attention, what actions must be

planned for, and what

resources are likely to be

needed. FEMA Publication 386-2, Understanding Your Risks: Identifying Hazards

and Estimating Loss, provides a detailed method for conducting hazard and risk

assessments for many hazards. Planners can also obtain the Hazards U.S. Multi-

Hazard (HAZUS-MH) model from FEMA. HAZUS-MH is a nationally applicable

and standardized methodology and software program that estimates potential

losses from earthquakes, floods, and hurricane winds.

In addition, FEMA has several resources available for the analysis of human-

caused events, primarily terrorism. These resources include the National

Planning Scenarios, Fusion Center Technical Assistance, and Transit Risk

Assessment Module/Maritime Assessment Strategy Toolkit. Hazard analysis

requires that the planning team knows the kinds of emergencies that have

occurred or could occur in the jurisdiction. The process should begin with a list of

the hazards that concern emergency managers in the planners�� jurisdiction,

developed from research conducted earlier in the planning process. A list of

concerns might include those listed in Table 2.2.

August 2008 INTERIM - Comprehensive Preparedness Guide 101

Planners must remember to keep in mind that hazard lists pose two problems.

The first is the possibility of exclusion or omission. There is always a potential for

new and unexpected hazards (part of the reason why maintaining an all-hazards

capability is important). The second is that such lists involve groupings, which

can affect subsequent analysis. A list may give the impression that hazards are

independent of one another, when in fact they are often related (e.g., an

earthquake might give rise to dam failure). Lists may group very different causes

or sequences of events that require different types of responses under one

category. For example, "Flood" might include dam failure, cloudbursts, or heavy

rain upstream. Lists also may group a whole range of consequences under the

category of a single hazard. "Terrorism," for example, could include use of

conventional explosives against people or critical infrastructure; nuclear

detonation; or release of lethal chemical, biological, or radiological material.

Table 2.2 Sample Hazard List

Natural Hazards Technological Hazards Human-Caused


- Avalanche

- Drought

- Earthquake

- Epidemic

- Flood

- Hurricane

- Landslide

- Tornado

- Tsunami

- Volcanic eruption

- Wildfire

- Winter storm

- Airplane crash

- Dam failure

- HAZMAT release

- Power failure

- Radiological release

- Train derailment

- Urban conflagration

- Civil disturbance

- School violence

- Terrorist act

- Sabotage

The planning team must compare and prioritize risks to determine which hazards

merit special attention in planning (and other emergency management efforts). It

also must consider the frequency of the hazard and the likelihood or severity

potential of its consequences in order to develop a single indicator of the threat.

This effort allows for comparisons and the setting of priorities. While a

mathematical approach is possible, it may be easier to manipulate qualitative

ratings (e.g., high, medium, low) or index numbers (e.g., reducing quantitative

information to a 1-to-3, 1-to-5, or 1-to-10 scale based on defined thresholds) for

different categories of information used in the ranking scheme. Some

approaches involve the consideration of only two categories – frequency and

consequences – and treat them as equally important. In other approaches,

potential consequences receive more weight than frequency. While it is important

to have a sense of the magnitude involved (whether in regard to the single

indicator used to rank hazards or to estimate the numbers of people affected),

2-18 INTERIM - Comprehensive Preparedness Guide 101 August 2008

these indicators are static. Some hazards may pose a threat to the community

that is so limited that additional analysis is not necessary. A sample hazard

profile worksheet is provided in Appendix E.


By using information from the

hazard profile developed as

part of the analysis process,

the planning team thinks

about how the hazard would

evolve in the jurisdiction and

what defines a successful

response. Starting with a

given intensity for the hazard,

the team imagines the

hazard's development from initial warning (if available) to its impact on the

jurisdiction (as identified through analysis) and its generation of specific

consequences (e.g., collapsed buildings, loss of critical services or infrastructure,

death, injury, or displacement). These scenarios should be realistic and created

on the basis of the jurisdiction��s hazard and risk data. Planners may use the

event or events that have the greatest impact on the jurisdiction (worst-case),

those that are most likely to occur, or an event constructed from the impacts of a

variety of hazards. During this process of building a hazard scenario, the

planning team identifies the needs and demands that determine response

actions and resources. Planners are looking for hazard-, response-, and

constraint-generated needs and demands.

Hazard-generated needs and demands are caused by the nature of the

hazard. They lead to response functions like public protection, population

warning, and search and rescue.

Response-generated needs and demands are caused by actions taken in

response to a hazard-generated problem. These tend to be common to all

disasters. An example is the potential need for emergency refueling during

a large-scale evacuation. Subsets could include the needs to find a site for

refueling, identify a fuel supplier, identify a fuel pumping method, control

traffic, and collect stalled vehicles.

Constraint-generated demands are caused by things planners must do,

are prohibited from doing, or are not able to do. The constraint may be

caused by a law, regulation, or management directive or by some physical

characteristic (e.g., terrain and road networks that make east-west

evacuations impossible).

August 2008 INTERIM - Comprehensive Preparedness Guide 101

Once the needs and demands are identified, the planning team restates them as

operational priorities, goals, and objectives. Written properly, they tell responding

organizations what to accomplish and by when. Operational priorities indicate a

desired end-state for the response. Goals are broad, general statements that

indicate the intended solution to problems identified by planners during the

previous step. They are what personnel and equipment resources are supposed

to achieve. They help identify when major elements of the response are complete

and when the response is successful. Objectives are more specific and

identifiable actions carried out during the response. They lead to achieving

response goals. They are the things that responders have to accomplish – the

things that translate into activities, implementing procedures, or operating

procedures by responsible organizations. The following callout box shows the

relationships among operational priorities, goals, and objectives. As goals and

objectives are set, planners may identity more needs and demands.

Relationships among Operational Priorities, Goals, and Objectives

Operational priority: Protect the public from hurricane weather and storm surge.

Response goal: Complete evacuation before arrival of tropical storm (TS) winds.

Intermediate objective: Complete tourist evacuation 72 hours before arrival of TS winds.

Intermediate objective: Complete medical evacuations 24 hours before arrival of TS winds.



This step is a process of

generating and comparing

possible solutions for

achieving the goals and

objectives identified in

Step 3. The same scenarios

used during problem

identification are used to

develop potential courses of

action. Planners consider the

needs and demands, goals,

and objectives to develop several response alternatives. The art and science of

planning will help determine how many solutions or alternatives to consider;

however, at least two options should always be considered. Although developing

only one solution may speed the planning process, it will most likely provide an

2-20 INTERIM - Comprehensive Preparedness Guide 101 August 2008

inappropriate response, leading to

more damaging effects on the

affected population or environment.

The process of developing courses

of action is often referred to as

either game planning or war

gaming. It combines aspects of

scenario-based, functional, and

capabilities-based planning. At

its core, game planning is a form of

brainstorming. It depicts how the

response unfolds by using a

process of building relationships

among the hazard action, decision

points, and response actions.

Game planning helps planners

determine what tasks occur

immediately at event initiation,

tasks that are more mid-event

focused, and tasks that affect long-

term operations. The planning team

should work through this process

by using tools that help members

visualize response flow, such as a

white board, ��yellow sticky chart,��

or some type of project

management or special planning

software. Game planning follows

these steps:


Establish the timeline.

Supporting Planning Concepts

Scenario-Based Planning: As the name

implies, this planning process starts with

building a scenario. The impact of the

scenario is analyzed to determine

appropriate response strategies.

Functional Planning: This planning

process identifies the common tasks that

the community must perform during

emergencies. It is the basis for the all-

hazards approach to planning described

in SLG 101. It identifies lead and

supporting agencies for response tasks.

Capabilities-Based Planning: A capability

is the ability to take a course of action.

Capability-based planning answers the

question, ��Do I have the right mix of

TOPPLEF (training, organizations, plans,

people, leadership and management,

equipment, and facilities) elements to

perform required response tasks?�� The

Target Capabilities List provides a

definition; an outcome; and preparedness

and performance activities, tasks, and

measures for a predetermined set of

capabilities. It combines aspects of

scenario and functional based planning

and uses the planning process described

in CPG 101.

Planners typically use the speed of hazard onset to establish the timeline.

The timeline may also change by phases. For example, a hurricane��s

speed of onset is typically days, while a major HAZMAT incident��s speed

of onset is minutes. The timeline for a hurricane might be in hours and

days, particularly during the pre- and post-impact phases. The timeline for

the HAZMAT incident would most likely be in minutes and hours. For a

multijurisdictional or layered plan, the timeline for a particular scenario is

the same at all participating levels of government. Placement of decision

points and response actions on the timeline depicts how soon the different

government entities enter the plan.


Depict the scenario. Planners use the scenario information developed in

Step 4 (Determine Goals and Objectives) and place the hazard

information on the timeline.

August 2008 INTERIM - Comprehensive Preparedness Guide 101


Identify and depict decision points. Decision points indicate the place in

time, as hazard events unfold, when leaders anticipate making decisions

about a course of action. They indicate where and when decisions are

required to provide the best chance of achieving an intermediate objective

or response goal (the desired end state). They also help planners

determine how much time is available or needed to complete a sequence

of actions.


Identify and depict response actions. For each response action depicted,

some basic information is needed. Developing this information during

game planning helps planners incorporate the task into the plan when they

are writing it. A response action is correctly identified when planners can

answer the following questions about it:

What is the action?

Who does it?

When do they do it?

How long does it take/how much time is actually available to do it?

What has to happen before it?

What happens after it?

What resources does it need?






Identify resources. Initially, the planning team identifies resources needed

to accomplish response tasks in an unlimited manner. The object is to

identify the resources needed to make the response work. Once the

planning team identifies all the needs and demands, they begin matching

available resources to requirements. By tracking obligations and

assignments, the planning team determines resource shortfalls and

develops a list of needs that private suppliers or other jurisdictions might

fill. The resource base also should include a list of facilities vital to

emergency operations, and the list should indicate how individual hazards


INTERIM - Comprehensive Preparedness Guide 101 August 2008

might affect the facilities. Whenever possible, resources should be

matched with other geographical/regional needs so that multiple demands

for the same or similar resources can be identified and conflicts resolved.

The EOP should account for unsolvable resource shortfalls so they are not

just ��assumed away.��


Identify information needs. Another outcome from the game planning effort

is a ��list�� of the information needs for each of the response participants.

Planners need to identify the information they need and the time they

need it by to drive decisions and trigger critical actions.


Assess progress. When game planning, the process should be

periodically ��frozen�� so the planning team can:

Identify progress made toward the end state,

Identify goals and objectives met and new needs or demands,

Identify ��single point failures�� (i.e., tasks that, if not completed, would

cause the response to fall apart),

Check for omissions or gaps,

Check for inconsistencies in organizational relationships, and

Check for mismatches between the jurisdiction��s plan and plans from

other jurisdictions with which they are interacting.



This step turns the results of

game planning into an

emergency plan. The

planning team develops a

rough draft of the base plan,

functional or hazard or

annexes, or other parts of

the plan as appropriate. The

recorded results of the game

planning process used in the

previous step provide an

outline for the rough draft. As the planning team works through successive drafts,

they add necessary tables, charts, and other graphics. A final draft is prepared

August 2008 INTERIM - Comprehensive Preparedness Guide 101

and circulated to organizations that have responsibilities for implementing the

plan for their comments. (See Chapter 3 for more information on plan formats.)

Following these simple rules for writing plans and procedures will help ensure

that readers and users understand their content:

Keep the language simple and clear by writing in plain English.

Summarize important information with checklists and visual aids such as

maps and flowcharts.

Avoid using jargon.

Use short sentences and the active voice. Qualifiers and vague words

only add to confusion.

Provide enough detail to convey an easily understood concept of

operations. The less certain a situation, the less detail can be put into the

plan. Those parts of a plan that would be most affected by the hazard��s

effects should have the least amount of detail. Conversely, those that

would be least affected by the hazard effects should have the most

amount of detail. The amount of detail a plan should provide depends on

the target audience and the amount of certainty about the situation.

Similarly, plans written for a jurisdiction or organization with high staff

turnover might require more detail.

Format the plan and present its content so that its readers can quickly find

solutions and options. Focus on providing mission guidance and not on

discussing policy and regulations. Plans should provide guidance for

carrying out common tasks as well as enough insight into intent and vision

so that responders can handle unexpected events. However, when writing

a plan, ��stay out of the weeds.�� Procedural documents (e.g., standard

operating procedures) should provide the fine details.


The written plan should be

checked for its conformity to

applicable regulatory

requirements and the

standards of Federal or State

agencies (as appropriate)

and for its usefulness in

practice. Planners should

consult the next level of

government about its

emergency plan review


INTERIM - Comprehensive Preparedness Guide 101 August 2008

cycle. Reviews of plans allow other agencies with emergency responsibilities to

suggest improvements to a plan based on their accumulated experience. States

may review local plans; FEMA regional offices may assist States in the review of

emergency plans, upon request. Hazard-specific Federal programs (such as the

Radiological Emergency Preparedness Program [REPP]) require periodic review

of certain sections of the all-hazards plan and may require review of associated

standard operating procedures (SOPs). Conducting a tabletop exercise

involving the key representatives of each tasked organization may serve as a

practical and useful means to help validate the plan.

Use of the TCL to validate the plan is another method of review. At a minimum,

the plan should address all TCL Phase I capabilities. However, the jurisdiction

does not have to provide all of the resources needed to meet a capability. For

example, many jurisdictions do not have the bomb squads or Urban Search and

Rescue teams required to meet certain capabilities.

Neighboring jurisdictions can provide those resources (or capability elements)

through mutual aid agreements, memorandums of agreement or understanding,

regional compacts, or some other formal request process.

Once the plan validation is completed, the emergency manager should present

the plan to the appropriate elected officials and obtain official promulgation of the

plan. The promulgation process should be based in specific statute, law, or

ordinance. Obtaining the senior official's approval through a formal promulgation

documentation process is vital to gaining the widest acceptance possible for the

plan. It is also important to establish the authority required for changes and

modifications to the plan.

Once approved, the emergency manager should arrange to distribute the plan

and maintain a record of the people and organizations that received a copy (or

copies) of the plan. ��Sunshine�� laws may require a copy of the plan be posted on

the jurisdiction��s web-site or be placed in some other public accessible location.





Exercising the plan and

evaluating its effectiveness

involve using training and

exercises and evaluating

actual events to determine

August 2008 INTERIM - Comprehensive Preparedness Guide 101

whether the goals, objectives, decisions, actions, and timing outlined in the plan

led to a successful response. In this way, homeland security and other

emergency preparedness exercise programs (e.g., Homeland Security Exercise

and Evaluation Program [HSEEP], REPP, and Chemical Stockpile Emergency

Preparedness Program [CSEPP]) become an integral part of the planning

process. Similarly, planners need to be aware of lessons and practices from

other communities. The Lessons Learned Information Sharing Web site

(http://www.llis.dhs.gov) provides an excellent forum for evaluating concepts

identified in a jurisdiction��s plan against the experiences of others.

Commonly used criteria can help decision makers determine the effectiveness

and efficiency of plans. These measures include adequacy, feasibility,

acceptability, completeness, and compliance with guidance or doctrine. Decision

makers directly involved in planning can employ these criteria, along with their

understanding of plan requirements, not only to determine a plan��s effectiveness

and efficiency but also to assess risks and define costs. Some types of analysis,

such as a determination of acceptability, are largely intuitive. In this case,

decision makers apply their experience, judgment, intuition, situational

awareness, and discretion. Other analyses, such as a determination of feasibility,

should be rigorous and standardized to minimize subjectivity and preclude


Adequacy. A plan is adequate if the scope and concept of planned

response operations identify and address critical tasks effectively; the plan

can accomplish the assigned mission while complying with guidance; and

the plan��s assumptions are valid, reasonable, and comply with guidance.

Feasibility. When determining a plan��s feasibility, planners assess

whether their organization can accomplish the assigned mission and

critical tasks by using available resources within the time contemplated by

the plan. They allocate available resources to tasks and track the

resources by status (assigned, out of service, etc.). Available resources

include internal assets and those available through mutual aid or through

existing State, Regional compact, or Federal assistance agreement.

Acceptability. A plan is acceptable if it meets the needs and demands

driven by the event, meets decision maker and public cost and time

limitations, and is consistent with the law. The plan can be justified in

terms of the cost of resources and if its scale is proportional to mission

requirements. Planners use both acceptability and feasibility tests to

ensure that the mission can be accomplished with available resources,

without incurring excessive risk regarding personnel, equipment, materiel,

or time. They also verify that risk management procedures have identified,

assessed, and applied control measures to mitigate operational risk (risk

of achieving operational objectives).


INTERIM - Comprehensive Preparedness Guide 101 August 2008

Completeness. Planners must determine whether the plan:


Incorporates all tasks to be accomplished,


Includes all required capabilities,


Provides a complete picture of the sequence and scope of the planned

response operation (i.e., what should happen, when, and at whose



Makes time estimates for achieving objectives, and


Identifies success criteria and a desired end state.

Compliance with Guidance and Doctrine. The plan needs to comply

with guidance and doctrine to the maximum extent possible, since they

provide a baseline that facilitates both planning and execution.

When using these criteria, planners should ask the following questions:

Did an action, a process, a decision, or the response timing identified in

the plan make the situation worse or better?

Were new alternate courses of action identified?

What aspects of the action, process, decision, or response timing make it

something to keep in the plan?

What aspects of the action, process, decision, or response timing make it

something to avoid or remove from the plan?

What specific changes to plans and procedures, personnel, organizational

structures, leadership or management processes, facilities, or equipment

can improve response performance?

A remedial action process can help a planning team identify, illuminate, and

correct problems with the jurisdiction��s EOP. This process captures information

from exercises, post-disaster critiques, self-assessments, audits, administrative

reviews or lessons-learned processes that may indicate that deficiencies exist. It

then brings members of the planning team together again to discuss the problem

and to consider and assign responsibility for generating remedies. Remedial

actions may involve revising planning assumptions and operational concepts,

changing organizational tasks, or modifying organizational implementing

instructions (i.e., the SOPs). Remedial actions also may involve providing

refresher training on performing tasks assigned by the EOP to an organization��s

personnel. The final component of a remedial action process is a mechanism for

tracking and following up on the assigned actions. As appropriate, significant

issues and problems identified through a remedial action process and/or the

annual review should provide the information needed to allow the planning team

to make the necessary revision(s) to the plan.

August 2008 INTERIM - Comprehensive Preparedness Guide 101


This step closes the loop in

the planning process. It is

really all about adding the

information gained in Step 6a

to the research collected in

Step 2a and starting the

planning cycle over again.

Remember, emergency

planning is a continuous

process that does not stop

when the plan is published.

Planning teams should establish a process for reviewing and revising the EOP.

Reviews should be a recurring activity. Some jurisdictions have found it useful to

review and revise portions of the EOP every month. Many accomplish their

reviews on an annual basis. In no case should any part of the plan go for more

than two years (24 months) without being reviewed and revised. Teams should

also consider reviewing and updating the plan after the following events:

A change in response resources (policy, personnel, organizational

structures, or leadership or management processes, facilities, or


A formal update of planning guidance or standards,

A change in elected officials,

Each activation,

Major exercises,

A change in the jurisdiction��s demographics or hazard profile, or

The enactment of new or amended laws or ordinances.

The planning process is all about response stakeholders bringing their strengths

to the table to develop and reinforce a jurisdiction��s emergency management

program. Properly developed, supported, and executed emergency plans are a

direct result of an active and evolving program.


INTERIM - Comprehensive Preparedness Guide 101 August 2008




The centerpiece of comprehensive emergency management is the emergency

operations plan (EOP). Each jurisdiction develops an EOP that defines the scope

of preparedness and incident management activities necessary for that

jurisdiction. A jurisdiction's EOP is a document that:

Assigns responsibility to organizations and individuals for carrying out

specific actions at projected times and places during an emergency that

exceeds the capability or routine responsibility of any one agency;

Sets forth lines of authority and organizational relationships and shows

how all actions will be coordinated;

Describes how people and property are protected in emergencies and


Identifies personnel, equipment, facilities, supplies, and other resources

available – within the jurisdiction or by agreement with other jurisdictions –

for use during response and recovery operations;

Reconciles requirements with other jurisdictions; and

Identifies steps to address mitigation concerns during response and

recovery activities.

As a public document, an EOP also cites its legal basis, states its objectives, and

acknowledges assumptions.

An EOP is flexible enough for use in all emergencies. A complete EOP describes


Purpose of the plan,



August 2008 INTERIM - Comprehensive Preparedness Guide 101

Concept of Operations (CONOPS),

Organization and assignment of responsibilities,

Administration and logistics,

Plan development and maintenance, and

Authorities and references.

The EOP contains annexes and appendices appropriate to the jurisdiction��s

organization and operations. EOPs predesignate jurisdictional and/or functional

area representatives to the Incident Command, Unified Command, or

multiagency coordination entity whenever possible to facilitate responsive and

collaborative incident management.

An EOP also defines the scope of preparedness activities necessary to make the

EOP more than a mere paper plan. This is because the EOP defines the

requirements to effectively manage response. These requirements are used to

set training and exercise goals. Training helps emergency personnel become

familiar with their responsibilities and acquire the skills necessary to perform

assigned tasks. Exercises provide a means to validate plans, checklists, and

response procedures and evaluate the skills of personnel. Adjusting an EOP

after conducting training or exercises or responding to events also makes it


The EOP facilitates response and short-term recovery (which set the stage for

successful long-term recovery). Response actions are time-sensitive. Some post-

disaster recovery issues, such as the rebuilding and placement of temporary

housing facilities, also must be addressed quickly. Advance planning makes

performing this task easier, especially when a changing environment requires

��mid-course corrections.�� The EOP helps drive decisions on long-term

prevention, recovery, and mitigation efforts or risk-based preparedness

measures directed at specific hazards. Jurisdictions (especially those with known

severe hazards and vulnerabilities) should consider planning for housing and

overall community recovery and to link those plans to the EOP.


In our country's system of emergency management, the Local government must

act first to attend to the public��s emergency needs. Depending on the nature and

size of the emergency, State, Territorial, regional compact organizations (such as

the National Capital Region), and Federal assistance may be provided to the

Local or Tribal jurisdiction. The focus of Local and Tribal EOPs is on the

emergency measures that are essential for protecting the public. At the minimum,

these include warning, emergency public information, evacuation, and shelter.

3-2 INTERIM - Comprehensive Preparedness Guide 101 August 2008

States, Territories, and regional compact organizations play three roles: They

assist Local jurisdictions whose capabilities must be augmented or are

overwhelmed by an emergency; they themselves respond first to certain

emergencies; and they work with the Federal Government when Federal

assistance is necessary. The State/Territorial EOP is the framework within which

Local EOPs are created and through which the Federal Government becomes

involved. As such, the State/Territorial EOP ensures that all levels of government

are able to mobilize as a unified emergency organization to safeguard the wellbeing

of their citizens. The State/Territorial EOP should serve to synchronize and

integrate Local, Tribal, and Regional plans. Regional compact organization

operations plans serve a similar purpose.

Emergency management involves several kinds of plans, just as it involves

several kinds of actions. While the EOP is considered the centerpiece of a

jurisdiction��s emergency management effort, it is not the only plan that addresses

that effort. Other types of plans support and supplement the EOP. (See

Chapter 5 for a further discussion of these plans.)

A planning team's main concern is to include all essential information and

instructions in the EOP. Poor organization of that information can limit the EOP's

effectiveness. FEMA does not mandate a particular format for EOPs. In the final

analysis, an EOP's format is "good" if its users understand it, are comfortable

with it, and can extract the information they need. When an EOP cannot pass

that test – in training, exercises, actual response, plan review and coordination

meetings, and the like -- some change of format may be necessary. In designing

a format for an all-hazard EOP and in reviewing the draft, the planning team

should consider the following:

Organization. Do the EOP sections and subsections help users find what

they need, or must users sift through information that is not relevant? Can

single subdivisions be revised without forcing a substantial rewrite of the

entire EOP?

Progression. In any one section of the EOP, does each element seem to

follow from the previous one, or are some items strikingly out of place?

Can the reader grasp the rationale for the sequence and scan for the

information he or she needs?

Consistency. Does each section of the EOP use the same logical

progression of elements, or must the reader reorient himself or herself in

each section?

Adaptability. Does the EOP��s organization make its information easy to

use during unanticipated situations?

August 2008 INTERIM - Comprehensive Preparedness Guide 101

Compatibility. Does the EOP format promote or hinder coordination with

other jurisdictions, including the State and/or Federal Government? Can

reformatting the EOP or making a chart of the coordination relationships

(i.e., a "crosswalk") solve problems in this area?


While the causes of emergencies vary greatly, their potential effects do not. This

means that jurisdictions can plan to deal with effects common to several hazards

rather than develop separate plans for each hazard. For example, earthquakes,

floods, and hurricanes can all force people from their homes. The jurisdiction can

develop a plan organized around the task of finding shelter and food for the

displaced. If desired, the EOP planners can make minor adjustments to reflect

differences in the speed of onset, duration, and intensity of the hazards.

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

participating organizations must perform. Then it must assign responsibility for

accomplishing each of those functions. Finally, the emergency manager must

work with the heads of tasked organizations to ensure that they prepare SOPs

detailing how they will carry out critical tasks associated with the emergency

management strategy. Because the jurisdiction's goal is a coordinated and

integrated response, all EOP styles should flow from a basic plan that outlines

the jurisdiction's overall emergency organization and its policies.

This section outlines a variety of formats that a jurisdiction could use for an EOP,

to include a Functional format, an Emergency Support Function format, and an

Agency / Department-Focused format. These format options come from EOPs

used by State, Territorial, Local, and Tribal governments across the nation. No

matter the source, these formats are, at best, suggestions for new planners on

where to start when developing an EOP. Seasoned planners can use these

formats to validate the effectiveness of their EOP��s organization.

As the planning team begins to develop a new EOP, members must discuss

what format is the most effective and easiest to use by their jurisdiction.

Population size, the jurisdiction��s style of government, or the results of a

vulnerability assessment may help the team decide which format to use. For

example, in a sprawling metropolitan county that contains several municipalities,

county emergency operations may take on more of a coordination-and-support

flavor. Thus, an ESF approach may be optimal for the county EOP. In contrast, a

small rural community whose EOC may also be a command post or Area

Command location providing a central node for tactical command and control as

well as strategic decision making may get more utility out of a functional EOP. In

short, "form follows function" in the sense that operational needs should help

determine the EOP format a jurisdiction uses.


INTERIM - Comprehensive Preparedness Guide 101 August 2008

The planning team may modify any of these formats to make the EOP fit the

jurisdiction��s emergency management strategy, policy, resources, and

capabilities. Note, however, that some States prescribe an EOP format for their

Local governments.


The traditional functional structure is probably the most commonly used EOP

format. This is the format found in both FEMA CPG 1-8 and SLG-101, both of

which were used by many jurisdictions to draft their EOPs in the 1980s and

1990s. Its format has three major sections: the Basic Plan, Functional

Annexes, and Hazard-Specific Appendices (Figure 3.1).

The Basic Plan provides an overview of the jurisdiction��s preparedness and

response strategies. It describes expected hazards, outlines agency roles and

responsibilities, and explains how the jurisdiction keeps the plan current.

The Functional Annexes are individual chapters that focus on specific response

and recovery missions, such as Communications and Damage Assessment.

These annexes describe the actions, roles, and responsibilities that participating

organizations have for completing tasks for a function. They discuss how the

jurisdiction manages the function before, during, and after the emergency and

identify the agencies that implement that function. However, each Functional

Annex addresses only general strategies used for any emergency.

The Hazard-Specific Appendices describe strategies for managing

preparedness and response missions for a specific hazard. Attached to the end

of each functional annex, they explain the procedures that are unique to that

annex for a hazard type. For example, the Direction and Control Annex may have

an appendix that discusses how local law enforcement��s command post will

coordinate its functions with the Federal Bureau of Investigation��s (FBI��s)

on-scene operations center during a terrorist response. These appendices may

be short or long, depending on the details needed to explain the actions, roles,

and responsibilities. Strategies already outlined in a Functional Annex should not

be repeated in a Hazard-Specific Appendix.

If the planning team notes that it has an appendix in every annex for the same

hazard, it could consider combining these appendices into one larger appendix to

the base plan. For example, chemical or radiological emergencies often drive

similar strategies for each annex. In this case, the planning team may want to

merge those strategies into one chemical or radiological appendix to the EOP.

The traditional format also uses a specific outline to define the elements of each

annex or appendix. When the format is followed, EOP users can find information

in the plan easier because the same type of information is in the same location.

The traditional EOP format is flexible enough to accommodate all jurisdictional

August 2008 INTERIM - Comprehensive Preparedness Guide 101



Basic Plan

i) Promulgation Document/Signature Page

ii) Approval and Implementation

iii) Record of Changes

iv) Record of Distribution

v) Table of Contents


Purpose, Scope, Situations, and Assumptions

i) Purpose

ii) Scope

iii) Situation Overview

(a) Hazard Analysis Summary

(b) Capability Assessment

(c) Mitigation Overview

iv) Planning Assumptions

b) Concept of Operations

c) Organization and Assignment of Responsibilities

d) Direction, Control, and Coordination

e) Disaster Intelligence

f) Communications

g) Administration, Finance, and Logistics

h) Plan Development and Maintenance

i) Authorities and References


Functional Annexes

a) Direction and Control

b) Continuity of Government/Operations

c) Communications

d) Warning

e) Emergency Public Information

f) Evacuation

g) Mass Care

h) Health and Medical

i) Resource Management


Hazard-Specific Appendices (Note: This is not a complete list. Planning teams must

define the annexes on the basis of their hazard analysis.)

a) Earthquake

b) Flood/Dam Failure

c) Hazardous Materials

d) Hurricane/Severe Storm

e) Lethal Chemical Agents and Munitions

f) Radiological Incident

g) Terrorism

h) Tornado



INTERIM - Comprehensive Preparedness Guide 101 August 2008

preparedness and response strategies. The planning team can add annexes or

appendices to include a new response function or newly identified hazard.

Similarly, the team can separate an operational issue (e.g., Mass Care) into two

separate annexes (e.g., Emergency Sheltering and Life Support).


The ESF format is the plan structure used in the NRF. Many State-level EOPS

also use this format. It begins with a Basic Plan, includes unique Appendices

that support the whole plan, addresses individual Emergency Support Function

(ESF) Annexes, and then attaches separate Support or Incident Annexes

(Figure 3.2).

The Basic Plan provides an overview of the jurisdiction��s emergency

management system. It briefly explains the hazards faced, capabilities, needs

and demands, and the jurisdiction��s emergency management structure. It also

reviews expected mission execution for each emergency phase and identifies the

agencies that have the lead for a given ESF. The Basic Plan then outlines the

ESFs activated during an emergency.

Appendices provide relevant information not already addressed in the Basic

Plan. Typically, this includes common information such as a list of terms and

definitions, guidelines for EOP revision, or an EOP exercise program. It may also

include forms used for managing most emergencies.

The ESF Annexes identify the ESF coordinator and the primary and support

agencies for each ESF. ESFs with multiple primary agencies should designate

an ESF coordinator to coordinate pre-incident planning. An ESF Annex describes

expected mission execution for each emergency phase and identifies tasks

assigned to members of the ESF.

The Support Annexes describe the framework through which a jurisdiction��s

departments and agencies, the private sector, not for profit and volunteer

organizations, and other NGOs coordinate and execute the common emergency

management strategies. The actions described in the Support Annexes apply to

nearly every type of emergency. Each Support Annex identifies a coordinating

agency and cooperating agencies. In some instances, two departments or

agencies share coordinating agency responsibilities.

The Incident Annexes describe the policies, situation, CONOPS, and

responsibilities for particular hazards or incident types. Each Incident Annex has

four sections:

Policies: The policy section identifies the authorities unique to the incident

type, the special actions or declarations that may result, and any special

policies that may apply.

August 2008 INTERIM - Comprehensive Preparedness Guide 101

Situation: The situation section describes the incident or hazard

characteristics and the planning assumptions. It also outlines the

management approach for those instances when key assumptions do not

hold (e.g., how authorities will operate if they lose communication with

senior decision makers).



Basic Plan

(i) Promulgation Document/Signature Page

(ii) Approval and Implementation

(iii) Record of Changes

(iv) Record of Distribution

(v) Table of Contents


Purpose, Scope, Situations, and Assumptions

i) Purpose

ii) Scope

iii) Situation Overview

(a) Hazard Analysis Summary

(b) Capability Assessment

(c) Mitigation Overview

iv) Planning Assumptions

b) Concept of Operations

c) Organization and Assignment of Responsibilities

d) Direction, Control, and Coordination

e) Disaster Intelligence

f) Communications

g) Administration, Finance, and Logistics

h) Plan Development and Maintenance

i) Authorities and References


Emergency Support Function Annexes

a) ESF #1 – Transportation

b) ESF #2 – Communications

c) ESF #3 – Public Works and Engineering

d) ESF #4 – Firefighting

e) ESF #5 – Emergency Management

f) ESF #6 – Mass Care, Emergency Assistance, Housing, and Human Services

g) ESF #7 – Resource Support

h) ESF #8 – Public Health and Medical Services

i) ESF #9 – Search and Rescue

j) ESF #10 – Oil and Hazardous Materials

k) ESF #11 – Agriculture and Natural Resources

l) ESF #12 – Energy

m) ESF #13 – Public Safety and Security

n) ESF #14 – Long-Term Community Recovery

o) ESF #15 – External Affairs

p) Other Locally Defined ESFs

Figure 3.2 Emergency Support Function EOP Format


INTERIM - Comprehensive Preparedness Guide 101 August 2008


Support Annexes

a) Financial Management

b) Local Mutual Aid/Multi-State Coordination

c) Logistics Management

d) Private Sector Coordination

e) Public Affairs

f) Volunteer and Donation Management

g) Worker Safety and Health


Incident Annexes

a) Biological

b) Catastrophic

c) Cyber

d) Food and Agriculture

e) Nuclear/Radiological

f) Oil and Hazardous Materials

g) Terrorism

h) Other Hazards as Required

Figure 3.2 (cont.)

Concept of Operations: This section describes the flow of the emergency

management strategy for the incident or hazard. It identifies special

coordination structures, specialized response teams or unique resources

needed, and other special considerations unique to the type of incident or


Responsibilities: Each Incident Annex identifies the coordinating and

cooperating agencies involved in an incident- or hazard-specific response.


The Agency/Department-Focused Format addresses emergency management

strategies by describing each department or agency��s tasks in a separate

section. In addition to the Basic Plan, this format includes Response and

Support Agency sections and Hazard-Specific Procedures for the individual

agencies (Figure 3.3). Very small communities may find this format more

appropriate for their situation than the other formats previously presented.

Just like all of the other EOP formats, the Basic Plan provides an overview of a

jurisdiction��s ability to respond to disasters. It summarizes the basic tasks taken

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

Separate Response and Support Agency sections discuss the emergency

functions completed by individual departments or agencies. Each individual

agency section still needs to refer to other agency sections to ensure

coordination with their respective emergency management strategies. The

Hazard-Specific Procedures section addresses the unique preparedness,

August 2008 INTERIM - Comprehensive Preparedness Guide 101

response, and recovery strategies relevant to each department or agency for

specific disaster types. The hazard-specific procedures can immediately follow

each agency section or be attached as a separate chapter to the plan.



Basic Plan

i) Promulgation Document/Signature Page

ii) Approval and Implementation

iii) Record of Changes

iv) Record of Distribution

v) Table of Contents


Purpose, Scope, Situations, and Assumptions

i) Purpose

ii) Scope

iii) Situation Overview

(a) Hazard Analysis Summary

(b) Capability Assessment

(c) Mitigation Overview

iv) Planning Assumptions

b) Concept of Operations

c) Organization and Assignment of Responsibilities

d) Direction, Control, and Coordination

e) Disaster Intelligence

f) Communications

g) Administration, Finance, and Logistics

h) Plan Development and Maintenance

i) Authorities and References


Response Agencies

a) Fire

b) Law Enforcement

c) Emergency Medical

d) Emergency Management

e) Hospital

f) Public Health

g) Others as Needed


Support Agencies


Identify those agencies that have a support role during an emergency and

describe/address the strategies they are responsible for implementing.


Hazard-Specific Procedures


For any response or support agency, describe/address its hazard-specific strategies.

Figure 3.3 Agency/Department-Focused EOP Format

This format allows EOP users to review only those procedures specific to their

agency without having to review everyone else��s response tasks. The individual

sections still reference the unique relationships that need to exist with other

agencies during a disaster; however, they do not contain details on the other

departments�� or agencies�� strategies. If needed, the plan users can go to the


INTERIM - Comprehensive Preparedness Guide 101 August 2008

other departments�� or agencies�� sections and review their procedures to

understand the bigger picture. The level of detail provided in each section varies

according to the needs of the specific department or agency. Agencies or

departments with detailed SOPs may not need much information in their portion

of the plan, while others may need to provide more details in the EOP.


Emergency managers and planners, particularly at the Local level, recognize that

the planning process demands a significant commitment of time, effort, and

resources. It is challenging to gather the team, work through the planning

process, and accomplish the writing and validation of a plan before its

promulgation. To ease this burden, many planners and jurisdictions use EOP

templates to complete their plans. Some States provide templates to their Local

jurisdictions. Other templates are available through hazard-specific preparedness

programs or commercially from private sector vendors.

Emergency managers must ensure using those templates does not undermine

the planning process. For example, ��fill in the blank�� templates defeat the

socialization, mutual learning, and role acceptance that are so important to

achieving effective planning and a successful response. The best templates are

those that offer a plan format and describe the content that each section might

contain – allowing for tailoring to the jurisdiction��s geographic, political, and social

environment. Using this definition, planners could consider CPG 101 a template

because it provides plan formats (Chapter 4) and content guidance (Appendix D)

When using an EOP template, planners should consider whether:

The resulting EOP represents the jurisdiction��s unique hazard situation by

ensuring that the underlying facts and assumptions that drove the

template��s content match those applicable to the jurisdiction.

The hazard and risk assessments match the jurisdiction��s demographics,

infrastructure inventory, probability of hazard occurrence, etc.

The template identifies the resources needed to address the problems

generated by an emergency or disaster only in a general way.

Using the template may stifle creativity and flexibility, thereby constraining

the development of strategies and tactics needed to solve disaster


Using the templates makes it easy to plan ��in a vacuum,�� by allowing a

single individual to ��write�� the plan.

August 2008 INTERIM - Comprehensive Preparedness Guide 101

In the end, planners will usually find that, in order to adapt the template to their

jurisdiction��s needs, they needed to go through the planning process anyway.

This observation does not mean that planners should not use templates or plans

from other jurisdictions to help with writing style and structure. Similarly, planners

may find software programs specifically designed to support plan development,

helpful. What it does mean, is that planners must evaluate the usefulness of any

planning tool (template, software) used as part of the planning process. They

should be particularly wary of templates or programs claiming guaranteed NIMS

compliance. The only way to ensure NIMS compliance is to build response

relationships by following the planning process outlined in this CPG.

3-12 INTERIM - Comprehensive Preparedness Guide 101 August 2008




The Basic Plan provides an overview of the jurisdiction's approach to emergency

operations. It details emergency response policies, describes the response

organization, and assigns tasks. Although the Basic Plan guides the

development of the more operationally oriented annexes, its primary audience

consists of the jurisdiction's chief executive, his or her staff, and agency heads.

The plan elements listed in this chapter (not necessarily in the order presented or

under the headings given here) should meet the needs of this audience while

providing a solid foundation for the development of supporting annexes.


Certain items that enhance accountability and ease of use should preface the

EOP. Typical introductory material includes the components that follow.

Cover page. The cover page has the title of the plan. It should include a

date and identify the jurisdiction(s) covered by the plan.

Promulgation document. The promulgation document enters the plan ��in

force.�� Promulgation is the process that officially announces/declares a

plan (or law). It gives the plan official status and gives both the authority

and the responsibility to organizations to perform their tasks. It should also

mention the responsibilities of tasked organizations with regard to

preparing and maintaining SOPs and commit those organizations to

carrying out the training, exercises, and plan maintenance needed to

support the plan. The promulgation document also allows the chief

executives to affirm their support for emergency management.

Approval and implementation page. The approval and implementation

page introduces the plan, outlines its applicability, and indicates that it

supersedes all previous plans. It should also include a delegation of

authority for specific modifications that can be made to the plan and by

whom they can be made WITHOUT the senior official's signature. It

should include a date and must be signed by the senior official(s)

(e.g., governor, Tribal leader[s], mayor, county judge, commissioner[s]).

August 2008 INTERIM - Comprehensive Preparedness Guide 101

Record of changes. Each update or change to the plan needs to be

tracked. The record of changes, usually in table format, contains, at a

minimum, a change number, the date of the change, and the name of the

person who made the change. Other relevant information could be


Record of distribution. The record of distribution, usually in table format,

indicates the title and the name of the person receiving the plan, the

agency to which the receiver belongs, the date of delivery, and the

number of copies delivered. Other relevant information could be

considered. The record of distribution can be used to prove that tasked

individuals and organizations have acknowledged their receipt, review,

and/or acceptance of the plan. Copies of the plan can be made available

to the public and media without SOPs, call-down lists, or other sensitive


Table of contents. The table of contents should be a logically ordered and

clearly identified layout of the major sections and subsections of the plan

that will make finding information within the plan easier.


Purpose. The rest of the EOP flows logically from its purpose. The Basic Plan��s

purpose is a general statement of what the EOP is meant to do. The statement

should be supported by a brief synopsis of the Basic Plan, the Functional

Annexes, and the Hazard-Specific Appendices.

Scope. The EOP should also explicitly state the scope of emergency and

disaster response to which the plan applies and the entities (departments,

agencies, private sector, citizens, etc.) and geographic areas to which it applies.

Situation overview. The situation section characterizes the ��planning

environment,�� making it clear why an EOP is necessary. At a minimum, the

situation section should summarize hazards faced by the jurisdiction and discuss

how it fits into Regional response structures. The situation section covers:

Relative probability and impact of the hazards,

Geographic areas likely to be affected by particular hazards,

Vulnerable critical facilities (nursing homes, schools, hospitals,

infrastructure, etc.),

Population distribution,


INTERIM - Comprehensive Preparedness Guide 101 August 2008

Characteristics and locations of special needs populations

(e.g., individuals living in the community and in residential facilities who

may require assistance with regard to transportation, child care, health

care, personal care activities, language comprehension, etc.), and

Dependencies on other jurisdictions for critical resources.

The level of detail is a matter of judgment; some information may be limited to a

few specific Functional Annexes and presented there. Maps should be included

(as tabs) to support the situation description.

Planning assumptions. These identify what the planning team assumed to be

facts for planning purposes in order to make it possible to execute the EOP.

During operations, the assumptions indicate areas where adjustments to the plan

have to be made as the facts of the event become known. ��Obvious��

assumptions should be included but limited to those that need to be explicitly

stated (e.g., do not state as an assumption that the hazard will occur; it is

reasonable for the reader to believe that if the hazard was not possible, the plan

would not address it).


The audience for the Basic Plan needs to be able to visualize the sequence and

scope of the planned emergency response. The CONOPS section is a written or

graphic statement that explains in broad terms the decision maker��s or leader��s

intent with regard to an operation. The CONOPS is designed to give an overall

picture of the operation. It is included primarily to clarify the purpose, and it

explains the jurisdiction's overall approach to an emergency (i.e., what should

happen, when, and at whose direction). Topics should include the division of

Local, State, Federal, and any intermediate inter-jurisdictional responsibilities;

activation of the EOP; ��action levels�� and their implications (if formalized in the

jurisdiction); the general sequence of actions before, during, and after an

emergency; and who should request aid and under what conditions. (The

necessary forms should be contained in tabs.) General emergency management

goals and objectives are discussed in this section. State EOPs should designate

who appoints a State Coordinating Officer (SCO) and how the SCO and the

State response organization will coordinate and work with Federal response

personnel in accordance with the NRF. The CONOPS should touch on direction

and control, alert and warning, and continuity of operations matters that may be

dealt with more fully in annexes.

August 2008 INTERIM - Comprehensive Preparedness Guide 101


This section of the Basic Plan establishes the emergency organization that will

be relied on to respond to an emergency situation. It includes a list of the kinds of

tasks to be performed, by position and organization, and it provides a quick

overview of who does what, without all of the procedural details included in

Functional Annexes. When two or more organizations perform the same kind of

task, one should be given primary responsibility, and the other(s) should be given

a supporting role. For the sake of clarity, a matrix of organizations and areas of

responsibility (including functions) should be included to summarize the primary

and supporting roles. (Shared general responsibilities, such as developing SOPs,

should not be neglected, and the matrix might include organizations not under

jurisdictional control, if they have defined responsibilities for responding to

emergencies that might occur in the jurisdiction.) Organization charts, especially

those depicting how a jurisdiction is implementing the Incident Command

System (ICS) or Multiagency Coordination System (MACS) structure, are


In addition, this section is where a jurisdiction discusses the response organizing

option that it uses for emergency management – ESF, or agency and

department, or functional areas of ICS/NIMS, or a hybrid. The selected

management structure determines what types of annexes are included in the

EOP and must be carried through to any hazard annexes. A sample organization

responsibility matrix is provided in Appendix F.


This section describes the framework for all direction, control, and coordination

activities. It identifies who has tactical and operational control of response assets.

It discusses multijurisdictional coordination systems and processes used during

an emergency, which are ways to acknowledge multiple sovereignty but still

coordinate actions. Specifically, this section discusses how multijurisdictional

coordination systems allow organizations to coordinate efforts across

jurisdictions while allowing each jurisdiction to remain its own ��command center.��

This section also provides information on how department and agency plans nest

into the EOP (horizontal coordination) and how higher-level plans are expected

to layer on the EOP (vertical integration). This section (and the plan in general) is

typically not the place to talk in detail about EOC organization and operations.

Those are SOP issues.


This section describes the required critical or essential information common to all

emergencies identified during the planning process. In general terms, it identifies

the type of information needed, where it is expected to come from, who uses the

4-4 INTERIM - Comprehensive Preparedness Guide 101 August 2008

information, how the information is shared, the format for providing the

information, and any specific times the information is needed. The contents of

this section are best provided in a tabular format. This section may be expanded

as an annex or it may be included as an appendix or tab in the Direction, Control,

and Coordination section. Appendix H provides a sample information collection



This section describes the response organization-to-response organization

communication protocols and coordination procedures used during emergencies

and disasters. It discusses the framework for delivering communications support

and how the jurisdiction��s communications integrate into the Regional or National

disaster communications network. It does not describe communications

hardware or specific procedures found in departmental SOPs. Separate

interoperable communications plans should be identified and summarized. This

section may be expanded as an annex and is usually supplemented by

communications SOPs and field guides.


This section covers general support requirements and the availability of services

and support for all types of emergencies, as well as general policies for

managing resources. The following should be addressed in this section of the


References to Mutual Aid Agreements, including the Emergency

Management Assistance Compact (EMAC);

Authorities for and policies on augmenting staff by reassigning public

employees and soliciting volunteers, along with relevant liability


General policies on keeping financial records, reporting, tracking resource

needs, tracking the source and use of resources, acquiring ownership of

resources, and compensating the owners of private property used by the


If this section is expanded, it should be broken into individual Functional Annexes

– one for each element.


The overall approach to planning and the assignment of plan development and

maintenance responsibilities are discussed in this section. This section should:

August 2008 INTERIM - Comprehensive Preparedness Guide 101

Describe the planning process, participants in that process, and how

development and revision of different ��levels�� of the EOP (Basic Plan,

annexes, appendices, and SOPs) are coordinated during the

preparedness phase;

Assign responsibility for the overall planning and coordination to a specific

person; and

Provide for a regular cycle of testing, reviewing, and updating the EOP.


This section provides the legal basis for emergency operations and activities.

This section of the plan includes the following:

Lists of laws, statutes, ordinances, executive orders, regulations, and

formal agreements relevant to emergencies;

Specification of the extent and limits of the emergency authorities granted

to the SO, including the conditions under which these authorities become

effective, and when they would be terminated;

Pre-delegation of emergency authorities (i.e., enabling measures sufficient

to ensure that specific emergency-related authorities can be exercised by

the elected or appointed leadership or their designated successors); and

Provisions for the continuity of operations (e.g., the succession of

decision-making authority and operational control) to ensure that critical

emergency functions can be performed.


What follows is a discussion of the purpose and potential content of supporting

annexes to the Basic Plan. For consistency, the recommended structure for all

annexes is the same as that of the Basic Plan. The annexes should include, as

appropriate, the same content sections:

Purpose, situation overview, and planning assumptions;


Organization and assignment of responsibilities;

Direction, control, and coordination;


INTERIM - Comprehensive Preparedness Guide 101 August 2008

• Disaster intelligence;

Administration, finance, and logistics; and

Authorities and references.



Functional, Support, Emergency Phase, or Agency-Focused Annexes add

specific information and direction to the EOP. As indicated in Chapter 4 and

Appendix D, Support, Emergency Phase, and Agency-Focused Annexes are

variations of Functional Annexes tailored to the EOP format used by the

jurisdiction. They all focus on critical operational functions and who is responsible

for carrying them out. These annexes clearly describe the policies, processes,

roles, and responsibilities that agencies and departments carry out before,

during, and after any emergency. While the Basic Plan provides broad,

overarching information relevant to the EOP as a whole, these annexes focus on

specific responsibilities, tasks, and operational actions that pertain to the

performance of a particular emergency operations function. These annexes also

establish preparedness targets (e.g., training, exercises, equipment checks and

maintenance) that facilitate achieving function-related goals and objectives

during emergencies and disasters.

An early and very important planning task is to identify the functions that are

critical to successful emergency response. These core functions become the

subjects of the separate functional, support, emergency phase, or agency-

focused annexes. The constitutional and organizational structures of a

jurisdiction��s government, the capabilities of its emergency services agencies,

and established policy and intended outcome of emergency operations influence

the choice of core functions. While no single list of functions applies to all

jurisdictions, the following list of core functions warrants special attention

because they may require specific actions during emergency response


Direction, control, coordination;

• Disaster intelligence;

• Communications;

• Population warning;

Emergency public information;

August 2008 INTERIM - Comprehensive Preparedness Guide 101

Public protection (e.g., evacuation, in-place sheltering);

Mass care;

Health and medical services; and

Resource management.

This is not an exhaustive or even comprehensive list of emergency response

functions. Each jurisdiction must assess its own needs, and additional or different

annexes from those identified in Appendix D should be prepared at the planning

team��s discretion. States should encourage their jurisdictions to use a consistent

set of core emergency functions to facilitate coordination and interoperability.

Some jurisdictions may want to modify their Functional Annex structure to use

the 15 ESFs identified in the NRF. Some communities that have adopted the

ESF approach have also added additional ESFs to meet Local needs. The ESF

structure facilitates the orderly flow of Local requests for governmental support to

the State and Federal levels and the provision of resources back down to Local

Government during an emergency. State and Local jurisdictions that choose not

to adopt the ESF structure should cross-reference their Functional Annexes with

the ESFs. Appendix G provides an example of a simple matrix used to cross-

reference Functional Annexes with ESFs. Table 4.1 shows some possible

relationships between the traditional emergency management core functions and

the department/agency and ESF structures.

Table 4.1 Comparison of Potential Functional Annex Structures

EM Functions Departments and Agencies ESFs

Direction, Control,


All Departments and Agencies All ESFs

Disaster Intelligence All Departments and Agencies All ESFs

Communications All Departments and Agencies ESF 2 – Communications

Population Warning Fire, Law Enforcement, Public

Safety, Public Works, Schools

ESF 2 – Communications

ESF 3 – Public Works and


ESF 4 – Firefighting

ESF 5 – Emergency Management

ESF 13 – Public Safety and Security

ESF 15 – External Affairs

Emergency Public


All Departments and Agencies All ESFs

4-8 INTERIM - Comprehensive Preparedness Guide 101 August 2008

Table 4.1 (cont.)

EM Functions Departments and Agencies ESFs

Public Protection Agriculture, Environment, Fire,

Law Enforcement, Public

Safety, Public Works, Roads,

Schools, Transportation

ESF 1 - Transportation

ESF 2 – Communications

ESF 4 – Firefighting

ESF 5 – Emergency Management

ESF 9 – Search and Rescue

ESF 10 – Oil and Hazardous

Materials Response

ESF 11 – Agriculture and Natural


ESF 13 – Public Safety and Security

Mass Care Aging, Family Services,

Housing, Labor, Schools, Social

Services, Volunteers

ESF 1 - Transportation

ESF 2 – Communications

ESF 5 – Emergency Management

ESF 6 – Mass Care, Emergency

Assistance, Housing and

Human Services

ESF 13 – Public Safety and Security

Health and Medical


Emergency Medical Services,

Health, Hospitals, Nursing

Homes, Assisted Living

ESF 1 - Transportation

ESF 2 – Communications

ESF 4 – Firefighting

ESF 5 – Emergency Management

ESF 8 – Public Health and Medical


Resource Management Agriculture, Budget &

Management, Economic

Development, Energy, Human

Resources, Labor, Public

Services, Purchasing,


ESF 1 – Transportation

ESF 5 – Emergency Management

ESF 7 – Resource Support

ESF 11 – Agriculture and Natural


ESF 12 – Energy


The contents of Hazard- or Incident-Specific Annexes or Appendices focus on

the special planning needs generated by the subject hazard. These annexes or

appendices contain unique and regulatory response details that apply to a single

hazard. The EOP��s structure determines whether an annex or appendix is used.

Functional EOPs usually add Hazard-Specific Appendices to the Functional

Annexes. Other EOP structures (e.g., the emergency phase structure) use

Hazard-Specific Annexes. Hazard- or Incident-Specific Annexes are ��standalone��

elements of the EOP. Hazard- or Incident-Specific Appendices are

sections in a Functional Annex that provide supplemental information regarding a

particular hazard��s special requirements.

Hazard- or Incident-Specific Annexes or Appendices usually identify hazard-

specific risk areas and evacuation routes, specify provisions and protocols for

warning the public and disseminating emergency public information, and specify

the types of protective equipment and detection devices for responders. The

August 2008 INTERIM - Comprehensive Preparedness Guide 101

annexes or appendices have tabs that serve as work aids for items including

maps, charts, tables, checklists, resource inventories, and summaries of critical

information. As indicated previously, Hazard-Specific Annexes and Appendices

follow the Basic Plan��s content organization. Hazard-specific information is

typically provided in the CONOPS section by adding these information areas:

Assess and control hazards. (These tasks normally take place at the

scene of an emergency or disaster. Not all emergency and disaster

situations have a scene, so these tasks apply to many, but not all,

hazards. The first task, however – examine the situation – applies to all

hazards.) In this step, emergency responders:


Examine the situation,


Assess the hazard,


Select the control strategy,


Control the hazard, and


Monitor the hazard.

Select protective actions. (These tasks normally take place at an EOC. In

some cases, information from the scene must be communicated to the

EOC for these tasks to be done properly.) In this step, emergency



Analyze the hazard,


Determine the protective action,


Determine the public warning, and


Determine the protective action implementation plan.

Conduct public warning.


Disseminate public warnings.

Implement protective actions.


Control access and isolate danger area,


Provide evacuation support,


Provide decontamination support,


INTERIM - Comprehensive Preparedness Guide 101 August 2008

-Provide medical treatment,

-Provide support to special populations, and

-Provide search and rescue.

• Implement short-term stabilization.

-Conduct shelter operations,

-Unite families,

-Provide continued medical treatment,

-Increase security, and

-Stabilize the affected area.

• Implement recovery.

-Implement reentry and

-Implement return.


Each annex or appendix (as well as the Basic Plan) may use implementing

instructions in the form of:

• SOPs,

• Maps,

• Charts,

• Tables,

• Forms, and

• Checklists.

Implementing instructions may be included as attachments or referenced. The

EOP planning team may use supporting documents as needed to clarify the

contents of the plan, annex, or appendix. For example, the Evacuation Annex

may be made clearer by attaching maps with evacuation routes marked to it.

Because these routes may change depending on the location of the hazard,

August 2008 INTERIM - Comprehensive Preparedness Guide 101

maps may also be included in the Hazard-Specific Appendices to the Evacuation

Annex. Similarly, the locations of shelters may be marked on maps supporting

the Mass Care Annex.


Some jurisdictions participate in special preparedness programs that publish their

own planning guidance. Two examples are CSEPP and REPP. When

participating jurisdictions are developing an EOP, they must ensure they meet

the special planning requirements of these programs. Jurisdictions must decide

whether this compliance is best accomplished by incorporating the requirements

across Functional Annexes or by developing a Hazard-Specific Annex for the


4-12 INTERIM - Comprehensive Preparedness Guide 101 August 2008




Emergency management involves several kinds of plans, just as it involves

several kinds of actions. While the EOP is considered the centerpiece of a

jurisdiction��s emergency management effort, it is not the only plan that addresses

that effort. There are other types of plans that support and supplement the EOP.

Administrative plans describe policies and procedures basic to the support of a

governmental endeavor. Typically, they deal less with external work products

than with internal processes. Examples include plans for financial management,

personnel management, records review, and labor relations activities. Such plans

are not the direct concern of an EOP. However, planners should reference the

administrative plan in the EOP if its provisions apply during an emergency.

Planners should make similar references in the EOP for exceptions to normal

administrative plans permitted during an emergency.

A mitigation plan outlines a jurisdiction��s strategy for mitigating the hazards it

faces. In fact, a mitigation plan is required of States that seek funds for post-

event mitigation after Presidential declarations under the Stafford Act. Mitigation

planning is often a long-term planning effort and may be part of or tied to the

jurisdiction��s strategic development plan or other similar document. Mitigation

planning committees may differ from operational planning teams in that they

include zoning boards and individuals with long-term cultural or economic

interests. Existing plans for mitigating hazards are relevant to an EOP,

particularly in short-term recovery decision making, which can affect prospects

for effective implementation of a mitigation strategy aimed at reducing the long-

term risk to human life and property in the jurisdiction.

Preparedness plans cover three objectives:

1. Maintaining readiness of existing emergency management capabilities,

2. Preventing emergency management capabilities themselves from falling

victim to emergencies, and

3. Augmenting the jurisdiction's emergency management capability.

Preparedness plans address the process and schedule for identifying and

meeting training needs (on the basis of expectations created by the EOP);

August 2008 INTERIM - Comprehensive Preparedness Guide 101

the process and schedule for developing, conducting, and evaluating

exercises and correcting identified deficiencies; and plans for procuring or

building facilities and equipment that could withstand the effects of the

hazards facing the jurisdiction. The EOP incorporates the results of

preparedness activities (that certain equipment and facilities are available,

that people are trained and exercised, etc.) as assumptions.

Typically, an EOP does not spell out recovery actions (except for conducting

rapid damage assessments and satisfying the needs of disaster victims for

immediate life support). However, the EOP should provide for a transition to a

recovery plan, if any exists, and for a stand-down of response forces. The EOP

may cover some short-term recovery actions that are natural extensions of

response. For example, meeting human needs would require maintaining

logistical support for mass-care actions initiated in the response phase. It would

also involve the restoration of infrastructure ��lifelines�� and perhaps the removal of

debris to facilitate the response. At the State's discretion, its disaster assistance

plans for distribution of Federal and State relief funds might be included as an

annex to the EOP. Disaster assistance plans identify how to identify, contact,

match to aid, certify, and issue checks to eligible aid recipients.

Beyond response-phase or short-term recovery lies long-term recovery.

Developing long-term mitigation and recovery plans involves identifying strategic

priorities for restoration, improvement, and disaster resiliency. Here emergency

management planning starts to intersect with the community development

planning of other agencies. In fact, such plans might be developed under the

authority of a department or agency other than the emergency management



Procedural documents differ from a CONOPS or a plan. They describe how to

accomplish specific activities that are required to finish a task or achieve a goal

or objective. Put simply, plans describe the ��what,�� and procedures describe the

��how.�� Jurisdictions across the country typically use the following types of

procedural documents:

Overviews are brief concept summaries of an incident-related function, team, or

capability. There are two types of overview documents. One type explains

general protocols and procedures. This document serves as the bridge between

all functional or hazard-specific planning annexes and procedural documentation.

It could contain an EOC layout, describe activation levels, and identify which

functions or sections are responsible for planning, operational, and support

activities. An easy way to develop an overview document would be to review the

assignments and responsibilities outlined in the EOP and ensure that the

overview document references the procedures developed to fulfill them. Such an

overview document could then function as a project management document that

5-2 INTERIM - Comprehensive Preparedness Guide 101 August 2008

is used to track the status of procedures as they are developed. A successful

overview document would help orient a newly arriving member of the department

or agency who was brought in to support a particular function, mission, or

section. The second type of overview document is specific to a functional team or

area. It describes the general responsibilities and tasks of a functional team. This

overview document provides enough information to supporting personnel to help

them in activities related to the function, team, or capability summarized by the

document. It identifies qualifications to support the team, provides a summary of

operational procedures, and defines possible missions in greater detail than is

described in plan annexes. As an example, the overview document addressing

transportation would describe the purpose of this function, composition of support

personnel, requirements for the team or branch, and missions that might be

required. It might also identify the hazards or conditions that determine when

missions are assigned.

Standard operating procedures (SOPs) or operating manuals are complete

reference documents that detail the procedures for performing a single function

or a number of interdependent functions. Collectively, practitioners refer to both

documents as SOPs. SOPs often describe processes that evolved institutionally

over the years or document common practices so that institutional experience is

not lost to the organization as a result of staff turnover. Sometimes they are task-

specific (e.g., how to activate a siren system or issue an Emergency Alert

System [EAS] message). SOPs or operating manuals should grow naturally out

of the responsibilities identified and described in the EOP. Staff who typically

engage in emergency activities should develop the procedures found in an SOP.

SOPs provide the means to translate organizational tasks into specific action-

oriented checklists that are very useful during emergency operations. They tell

how each organization or agency will accomplish its assigned tasks. Normally,

SOPs include checklists, call-down rosters, resource listings, maps, and charts,

and they give step-by-step procedures for notifying staff; obtaining and using

equipment, supplies, and vehicles; obtaining mutual aid; reporting information to

organizational work centers and the EOC; communicating with staff members

who are operating from more than one location, etc. Development of certain

procedures is required in REPP, CSEPP, and Emergency Planning and

Community Right-to-Know Act (EPCRA) planning. The emergency manager

works with the senior representatives of tasked organizations to ensure that the

SOPs needed to implement the EOP do, in fact, exist and do not conflict with the

EOP or one another.

Field operations guides (FOGs) or handbooks are durable pocket or desk guides

that contain essential information required to perform specific assignments or

functions. FOGs give people assigned to specific teams, branches, or functions

information only about the procedures they are likely to perform or portions of an

SOP appropriate for the missions they are likely to complete. The FOG is a short-

form version of the SOP and serves as a resource document. The FOG is

August 2008 INTERIM - Comprehensive Preparedness Guide 101

complete enough to hand to new members of the EOC, and when combined with

the overview document, it gives them an accurate and complete picture of the

positions they fill. In addition to relevant procedures, the FOG or handbook may

include administrative procedures that staff must follow.

Job aids are checklists or other materials that help users perform a task.

Examples of job aids include telephone rosters, report templates, software or

machine operating instructions, and task lists. Job aids are often included in

FOGs and handbooks to help relatively inexperienced EOC personnel complete

their assigned tasks or as a reference for experienced personnel. Job aids may

also serve the purpose of minimizing complexity or opportunity for error in

executing a task (e.g., providing a lookup chart of temperature conversions rather

than providing a formula for doing the conversion).



Planners should prepare procedural documents to keep the plan free of

unnecessary detail. The basic criterion is: What does the entire audience of this

part of the plan need to know or have set out as a matter of public record?

Information and how-to instructions used by an individual or small group should

appear in procedural documents. The plan should reference procedural

documents as appropriate.

With regard to many responsibilities in the emergency plan, it is enough to assign

the responsibility to an individual (by position or authority) or organization and

specify the assignee's accountability: To whom does the person report, or with

whom does the person coordinate? For example, a plan that assigns

responsibility for putting out fires to the fire department would not detail

procedures used at the scene or what fire equipment is most appropriate. The

emergency plan would defer to the fire department��s SOPs for that. However, the

plan would describe the relationship between the incident commander (IC) and

the central organization that directs the total jurisdictional response to the

emergency, of which the fire in question might be only a part.

5-4 INTERIM - Comprehensive Preparedness Guide 101 August 2008




The Robert T. Stafford Disaster Relief and Emergency Assistance Act, Public

Law 93-288, as amended, authorizes the Federal Government to respond to

disasters and emergencies to provide State and Local governments with

assistance to save lives and protect public health, safety, and property. The NRF

was developed to help expedite Federal support to State and Local governments

dealing with the consequences of large-scale disasters. In general, the NRF is

implemented when the State's resources are not sufficient to cope with a

disaster, and the State��s governor has requested Federal assistance.

This chapter summarizes the response planning considerations that shape the

content of the NRF, Regional Response Plans (RRPs), and State EOPs. It also

outlines the links between Federal and State emergency response operations for

planning purposes (Figure 6.1).


The terrorist attacks of September 11, 2001, illustrated the need for all levels of

government, the private sector, and NGOs to prepare for, protect against,

respond to, and recover from a wide spectrum of possible events and scenarios

that would exceed the capabilities of any single entity. These events require a

unified and coordinated national approach to planning and to domestic incident

management. To address this need, President George W. Bush signed a series

of Homeland Security Presidential Directives (HSPDs) intended to develop a

common approach to preparedness and response. Three HSPDs are of

particular importance to emergency planners:

HSPD-5, Management of Domestic Incidents, identifies steps for improved

coordination in response to incidents. It requires DHS to coordinate with

other Federal departments and agencies and State, Local, and Tribal

governments to establish a national response framework and a national

incident management system.

HSPD-8, National Preparedness, describes the way Federal departments

and agencies will prepare for an incident. It requires DHS to coordinate

August 2008 INTERIM - Comprehensive Preparedness Guide 101

with other Federal departments and agencies and with State, Local, and

Tribal governments to develop a National Preparedness Goal.

HSPD 8, Annex I, National Planning, describes a common Federal

planning process that supports the development of a family of related

planning documents. These documents include strategic guidance

statements, strategic plans, concept plans, operations plans, and tactical

plans. Annex I required the development of an Integrated Planning

System (IPS) guide integration and synchronization across federal

departments and agencies. IPS provides the federal government with a

consistent direction and delineation of authorities, responsibilities and

requirements, common terms of reference, and plans based upon shared

assumptions. IPS uses the same planning principles found in CPG 101.

The goal is to provide consistency of process despite different planning

requirements – where state and local governments focus planning on

most likely events while the federal government centers its efforts around

the most dangerous scenarios.

Figure 6.1 Relationships of the National Preparedness Initiatives to State,

Territorial, Local, and Tribal Emergency Planning


INTERIM - Comprehensive Preparedness Guide 101 August 2008

HSPD-20, National Continuity Policy, establishes the national policy on

the continuity of Federal Government structures and operations. It

describes eight National Essential Functions and provides guidance on

continuity of government and operations for State, Local, Territorial, and

Tribal governments and private sector organizations in order to ensure

rapid and effective response to and recovery from national emergencies.

Together, NIMS, the NRF, and the National Preparedness Guidelines define how

to prevent, protect against, respond to, and recover from a major event and

define the measures of a response effort��s success. These efforts align Federal,

State, Local, and Tribal entities; the private sector; and NGOs in providing an

effective and efficient national structure for preparedness, incident management,

and emergency response.


NIMS provides a consistent framework for incident management at all

jurisdictional levels, regardless of the cause, size, or complexity of the incident.

Building on the ICS, NIMS provides the nation��s first responders and authorities

with the same foundation for incident management for terrorist attacks, natural

disasters, and all other emergencies. NIMS requires institutionalization of ICS

and its use to manage all domestic incidents.

According to the NIC, ��institutionalizing the use of ICS�� means that government

officials, incident managers, and emergency response organizations at all

jurisdictional levels adopt the ICS. Actions to institutionalize the use of ICS take

place at two levels: the policy level and the organizational/operational level.

At the policy level, institutionalizing ICS means that government officials:

Adopt ICS through executive order, proclamation, or legislation as the

jurisdiction��s official incident response system, and

Direct all incident managers and response organizations in their

jurisdictions to train, exercise, and use ICS in their response operations.

At the organizational/operational level, incident managers and emergency

response organizations should:

Integrate ICS into functional, system-wide emergency operations policies,

plans, and procedures;

Provide ICS training for responders, supervisors, and command-level

officers; and

August 2008 INTERIM - Comprehensive Preparedness Guide 101

Conduct exercises for responders at all levels, including responders from

all disciplines and jurisdictions.

NIMS integrates existing best practices into a consistent, nationwide approach to

domestic incident management that is applicable at all jurisdictional levels and

across functional disciplines. Five major components make up the NIMS

system��s approach:

Command and Management. NIMS standard incident command structures

are based on three key organizational systems:


Incident Command System: ICS defines the operating characteristics,

interactive management components, and structure of incident

management and emergency response organizations engaged

throughout the life cycle of an incident.


Multiagency Coordination Systems: MACS defines the operating

characteristics, interactive management components, and

organizational structure of supporting incident management entities

engaged at the Federal, State, Local, Tribal, and Regional levels

through mutual-aid agreements and other assistance arrangements.

Some examples of multiagency coordination entities that that are part

of the MACS structure include emergency operations centers, resource

centers, dispatch centers, and joint field offices.


Public Information: Public information refers to processes, procedures,

and systems for communicating timely, accurate, and accessible

information to the public during crisis or emergency situations.

Preparedness. Effective incident management begins with a host of

preparedness activities conducted on a ��steady-state�� basis well in

advance of any potential incident. Preparedness involves an integrated

combination of planning, training, exercises, personnel qualification and

certification standards, equipment acquisition and certification standards,

and publications management processes and activities.

Resource Management. NIMS defines standardized mechanisms and

establishes requirements for processes to describe, inventory, mobilize,

dispatch, track, and recover resources over the life cycle of an incident.

Communications and Information Management. NIMS identifies the

requirements for a standardized framework for communications,

information management (collection, analysis, and dissemination), and

information sharing at all levels of incident management.

Ongoing Management and Maintenance. This component establishes the

NIC to provide strategic direction for and oversight of NIMS, supporting


INTERIM - Comprehensive Preparedness Guide 101 August 2008

both routine review and the continuous refinement of the system and its

components over the long term.


Supporting Technologies. Technology and technological systems

provide supporting capabilities essential to implementing and refining

NIMS. These systems include voice and data communications

systems, information management systems (e.g., recordkeeping and

resource tracking), and data display systems. Also included are

specialized technologies that facilitate ongoing operations and incident

management activities in situations that call for unique technology-

based capabilities.


The National Response Framework (NRF) is a guide to how the nation conducts

all-hazards incident response. It uses flexible, scalable, and adaptable

coordinating structures to align key roles and responsibilities across the nation. It

captures specific authorities and best practices for managing incidents that range

from the serious but purely local to large-scale terrorist attacks or catastrophic

natural disasters. The NRF explains the common discipline and structures that

have been exercised and have matured at the Local, State and National levels

over time. It captures key lessons learned from Hurricanes Katrina and Rita,

focusing particularly on how the Federal Government organizes itself to support

communities and States in catastrophic incidents. Most importantly, it builds upon

NIMS, which provides a consistent national template for managing incidents.

The NRF identifies State, Territorial, Local, and Tribal jurisdiction responsibility to

develop detailed, robust all-hazards EOPs. It says these plans must clearly

define leadership roles and responsibilities and clearly articulate the decisions

that need to be made, who will make them, and when. Emergency plans should

include both hazard-specific and all-hazards plans tailored to the locale. They

should be integrated and operational and incorporate key private sector business

and NGO elements. Plans should include strategies for both no-notice and

forewarned evacuations, with particular considerations for assisting special-

needs populations. Specific procedures and protocols should augment these

plans to guide rapid implementation.

The NRF indicates that each Federal department or agency must also plan for its

role in incident response. Virtually every Federal department and agency

possesses personnel and resources that a jurisdiction may need when

responding to an incident. Some Federal departments and agencies have

primary responsibility for specific aspects of incident response, such as

hazardous materials remediation. Others may have supporting roles in providing

different types of resources, such as communications personnel and equipment.

Regardless of their roles, all Federal departments and agencies must develop

August 2008 INTERIM - Comprehensive Preparedness Guide 101

policies, plans, and procedures governing how they will effectively locate

resources and provide them as part of a coordinated Federal response.

Depending on the jurisdiction, the new emergency planning requirements

identified in the NRF may cause significant or only minor changes to EOP

content. Minimally, the changes mean that a jurisdiction must:

Use ICS to manage all incidents, including recurring and/or planned

special events;

Integrate all response agencies and entities into a single, seamless

system, from the Incident Command Post, to the Department Emergency

Operations Centers (DEOCs) and Local Emergency Operations Centers

(LEOCs), to the State EOC and to Regional- and National-level entities;

Develop and implement a public information system;

Identify and characterize all resources according to established standards

and types;

Ensure that all personnel are trained properly for the jobs they perform;


Ensure communications interoperability and redundancy.

Planners should consider each of these requirements as they develop or revise

their jurisdiction��s EOP.


EMAC is a national interstate mutual aid agreement that enables states to share

resources during times of disaster. Since the 104th Congress ratified the

compact, EMAC has grown to become the nation's system for providing mutual

aid through operational procedures and protocols that have been validated

through experience. All States are members of EMAC. The National Emergency

Management Association (NEMA), headquartered in Lexington, KY, administers


EMAC acts as a complement to the federal disaster response system, providing

timely and cost-effective relief to states requesting assistance from assisting

member states who understand the needs of jurisdictions that are struggling to

preserve life, the economy, and the environment. EMAC can be used either in

lieu of federal assistance or in conjunction with federal assistance, thus providing

a "seamless" flow of needed goods and services to an impacted state. EMAC

further provides another venue for mitigating resource deficiencies by ensuring

maximum use of all available resources within member states' inventories.


INTERIM - Comprehensive Preparedness Guide 101 August 2008


Federal response plans (such as National and Regional response plans) and

State EOPs describe each respective governmental level's approach to

emergency response operations. Since both levels of government provide

support, there are some similar and overlapping functions in the plans.


The NRF provides structures for implementing nationwide response policy and

operational coordination for all types of domestic incidents. The NRF��s basic

premises are that incidents are generally handled at the lowest jurisdictional level

possible and that each response level can request from another level before

becoming overwhelmed.


The Federal government may implement the NRF after a large-scale disaster has

occurred or upon a warning that such a disaster is likely to occur. In either case,

the fundamental assumption is that the situation has exceeded or will exceed the

State and Local governments' capabilities to respond and recover. It guides the

activities of Federal agencies (and supporting organizations like the ARC) tasked

to perform response and recovery actions.


The NRF uses 15 ESFs to group and describe the kinds of resources and types

of Federal assistance available to augment State and Local response efforts. The

ESFs are:

1. Transportation;

2. Communications;

3. Public Works and Engineering;

4. Firefighting;

5. Emergency Management;

6. Mass Care, Emergency Assistance, Housing, and Human Services;

7. Logistics Management and Resource Support;

8. Public Health and Medical Services;

9. Search and Rescue;

10. Oil and Hazardous Materials Response;

11. Agriculture and Natural Resources;

12. Energy;

13. Public Safety and Security

14. Long-Term Community Recovery; and

15. External Affairs.

August 2008 INTERIM - Comprehensive Preparedness Guide 101

Each ESF has a Federal department or agency identified as its coordinator.

During response and recovery operations, the coordinating agency forms and

activates a team that is responsible for working with the appropriate State and

Local officials to identify unmet resource needs. The team also coordinates the

flow of resources and assistance provided by the Federal government to meet

these needs. The NRF serves as the foundation for the development of National

and Regional response plans that implement Federal response activities.


FEMA RRPs supplement the NRF and detail the specific Regional-level

response and recovery actions and activities potentially taken by Federal

departments and agencies to support the Federal response effort. They also

provide the necessary link between the State EOP and the NRF. Each FEMA


Specifies the responsibilities assigned to each of the tasked Federal

departments and agencies for mobilizing and deploying resources to

assist State(s) in response/recovery efforts;

Describes the relationship between the responding Federal

agencies/departments and their State counterparts;

Provides information to the States on the various response mechanisms,

capabilities, and resources available to them through the Federal

government; and

Includes organizational tasking and implementing instructions for

accomplishing the actions agreed upon in the Region/State

Memorandums of Understanding (MOUs). An MOU is a written agreement

between the Federal and State Governments. The FEMA Regional

Director and the appropriate State official are the signatories. The MOU

describes the working relationship and provisions made to facilitate joint

Federal/State operations during large-scale disasters. The following list

identifies some of the typical MOU responsibilities that may be addressed

in a FEMA RRP:


Notification procedures and protocols for communicating with State

officials (points of contact, such as the State��s governor, Emergency

Management Agency director, and EOC managers); means of

communication (telephone, cell, pager, radio, teletype, e-mail, fax,

etc.); frequency of contact; and message content (initial discussions on

scope of the disaster; the State's initial assessment of the situation;

identification of liaison officers and their estimated arrival time at the

State EOC/JFO (joint field office); likely staging areas for Federal

response teams, etc.);


INTERIM - Comprehensive Preparedness Guide 101 August 2008


Provision for Incident Management Assistance Team (IMAT)

personnel to assist in conducting a "rapid situation assessment"

immediately after a disaster has occurred or immediately before one;


Coordination responsibilities of Regional liaison officer(s) and the

provisions established for deployment to the State EOC;


Provisions for deployment of IMAT members to the State EOC/JFO,

staging locations, or directly into the area impacted by the disaster; and


Provisions for obtaining work space in the State EOC and other

locations for the initial response cadre, arrangements to obtain work

space for the JFO and other follow-on response teams, and a variety of

other activities that require extensive coordination.


The State emergency response mission is much broader than the Federal

Government's. In addition to providing resources to satisfy unmet local needs, the

State EOP addresses several operational response functions. These functions

focus on actions – such as the direction and control, warning, public notification,

and evacuation – that must be dealt with during the initial phase of response

operations and that fall outside the Federal response mission and thus are not

appropriate for inclusion in Federal response plans. Appendix F shows how the

functions described in Chapter 5, if adopted, may link with Federal ESFs in those

emergencies that require implementation of the NRF.

Because States have an additional responsibility to channel Federal assistance

provided under the NRF, some States choose to mirror the NRF functions. There

is no need for States to mirror the Federal ESFs exactly; States have

successfully used a hybrid approach, either by giving State counterparts of

Federal ESFs those extra responsibilities appropriate to the State level or by

creating functions in addition to those used by the Federal government to

address State responsibilities and concerns. The important thing is that the

State's choice of functions fits its own CONOPS, policies, governmental

structure, and resource base. That determination is critical because the State

EOP details what the State government will do to respond to all large-scale

disasters and emergencies that could harm people and property within the State,

whether or not links to the NRF/RRP framework become necessary. The State


Identifies the State��s departments and agencies designated to perform

response and recovery activities and specifies tasks they must


August 2008 INTERIM - Comprehensive Preparedness Guide 101

Describes the State��s role and commitments in regional compact

agreements and organizations.

Outlines the assistance that is available to local jurisdictions during

disaster situations that generate emergency response and recovery needs

beyond what the local jurisdiction can satisfy.

Specifies the direction and control and the communications procedures

and systems that will be relied on to alert, notify, recall, and dispatch

emergency response personnel; warn local jurisdictions; protect citizens

and property; and request aid/support from other States and/or the

Federal government (including the role of the Governor��s Authorized


Describes provisions for obtaining initial situation assessment information

from the local jurisdiction(s) that are directly impacted by the disaster or


Includes organizational tasking and instructions for accomplishing the

actions agreed upon in the Region/State MOU. The MOU describes the

working relationship and provisions made to facilitate joint Federal/State

operations during large-scale disasters. The following list identifies some

of the typical responsibilities contained in the MOUs that may be

addressed in the State EOP:


Provisions for notifying the FEMA Regional Office about the

occurrence of a disaster or evolving emergency that may warrant

activation of the RRP.


Communication protocols to include means of communication,

frequency of contact, and message content (e.g., warning messages,

situation reports, and requests for assistance).


Provisions for requesting Federal response teams to assist the State.


Preparation of a joint FEMA/State Preliminary Damage Assessment


Provisions for providing work space and communication support to the

Regional liaison officers and other Federal teams deployed to the State

EOC, staging areas, or the area directly impacted by the disaster.

Provisions for designating a State Coordinating Officer (SCO) to work

directly with the Federal Coordinating Officer (FCO).


INTERIM - Comprehensive Preparedness Guide 101 August 2008

Provisions for assisting the FCO in identifying candidate locations for

establishing the JFO.

Details on the coordinating instructions and provisions for implementing

interstate compacts, as applicable.

Explanations about logistical support for planned operations.

August 2008 INTERIM - Comprehensive Preparedness Guide 101




Superfund Amendments and Reauthorization Act of 1986, Public Law 99-149, as


Robert T. Stafford Disaster Relief and Emergency Assistance Act of 1988, 42 U.S.C.

5121, et seq., as amended.

Homeland Security Act of 2002, 6 U.S.C. 101, et seq., as amended.

Post-Katrina Emergency Management Reform Act of 2006, Public Law 109-295.

Pet Evacuation and Transportation Standards Act of 2006, Public Law 109-308.

The Code of Federal Regulations, Title 44, Chapter 1, Federal Emergency Management

Agency, October 1, 2007.

Homeland Security Presidential Directive 5, Management of Domestic Incidents,

February 28, 2003.

Homeland Security Presidential Directive 8, National Preparedness, December 17,


Homeland Security Presidential Directive 8, Annex I, Planning, January, 2008.

National Security Presidential Directive 51/ Homeland Security Presidential Directive 20,

National Continuity Policy, May 4, 2007.


Abbott, L., 2002. ��Emergency Planning in Local Authorities.�� Municipal Engineer.

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Alexander, D., 2002. Principals of Emergency Planning and Management. Oxford

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ASTHO (Association of State and Territorial Health Officials). 2002. Preparedness

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—— 2007. National Preparedness Guidelines. Washington DC: Department of

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—— 2006. Local and Tribal NIMS Integration V 1.0. Washington, DC: Department of

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—— 2006. Nationwide Plan Review Phase 2 Report. Washington, DC: Department of

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—— 2006. State NIMS Integration V 1.0. Washington, DC: Department of Homeland


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—— 2004. National Incident Management System. Washington, DC: Department of

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Drabek, T. 1986. Human Systems Response to Disaster: An Inventory of Sociological

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Drabek, T., H. Tammings, T. Kilijanek, and C. Adams. 1981. Managing

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Dynes, R.R., E.L. Quarantelli, and G.A. Kreps. 1981. A Perspective on Disaster

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Having the legally required features and/or qualities that ensure entrance,

participation, and usability of places, programs, services, and activities by

individuals with a wide variety of disabilities.

American Red Cross

The American Red Cross is a humanitarian organization, led by volunteers, that

provides relief to victims of disasters and helps people prevent, prepare for, and

respond to emergencies. It does this through services that are consistent with its

Congressional Charter and the Principles of the International Red Cross


Assumptions (Management)

Statements of conditions accepted as true and that have influence over the

development of a system. In emergency management, assumptions provide

context, requirements, and situational realities that must be addressed in system

planning and development and/or system operations. When these assumptions

are extended to specific operations, they may require re-validation for the specific


Assumptions (Preparedness)

Operationally relevant parameters that are expected and used as a context,

basis, or requirement for the development of response and recovery plans,

processes, and procedures. For example, the unannounced arrival of patients to

a healthcare facility occurs in many mass casualty incidents. This may be listed

as a preparedness assumption in designing initial response procedures.

Similarly, listing the assumption that funds will be available to train personnel on

a new procedure may be important to note.

August 2008 INTERIM - Comprehensive Preparedness Guide 101

Assumptions (Response)

Operationally relevant parameters for which, if not valid for a specific incident��s

circumstances, the EOP-provided guidance may not be adequate to assure

response success. Alternative methods may be needed. For example, if a

decontamination capability is based on the response assumption that the facility

is not within the zone of release, this assumption must be verified at the

beginning of the response.


A hostile action taken against the United States by foreign forces or terrorists,

resulting in the destruction of or damage to military targets, injury or death to the

civilian population, or damage to or destruction of public and private property.

Capabilities-based planning

Planning, under uncertainty, to provide capabilities suitable for a wide range of

threats and hazards while working within an economic framework that

necessitates prioritization and choice. Capabilities-based planning addresses

uncertainty by analyzing a wide range of scenarios to identify required



Written (or computerized) enumeration of actions to be taken by an individual or

organization meant to aid memory rather than provide detailed instruction.

Citizen Corps Council

Councils sponsored by government at local, state, tribal, territorial, and national

level with the mission of bringing community and government leaders together to

involve community members in all-hazards emergency preparedness, planning,

mitigation, response, and recovery.


A political entity that has the authority to adopt and enforce laws and ordinances

for the area under its jurisdiction. In most cases, the community is an

incorporated town, city, township, village, or unincorporated area of a county.

However, each State defines its own political subdivisions and forms of


B-2 INTERIM - Comprehensive Preparedness Guide 101 August 2008


The undesirable deposition of a chemical, biological, or radiological material on

the surface of structures, areas, objects, or people.


A barrier built across a watercourse for the purpose of impounding, controlling, or

diverting the flow of water.

Damage Assessment

The process used to appraise or determine the number of injuries and deaths,

damage to public and private property, and status of key facilities and services

(e.g., hospitals and other health care facilities, fire and police stations,

communications networks, water and sanitation systems, utilities, and

transportation networks) resulting from a man-made or natural disaster.


The reduction or removal of a chemical, biological, or radiological material from

the surface of a structure, area, object, or person.


An occurrence of a natural catastrophe, technological accident, or human-caused

event that has resulted in severe property damage, deaths, and/or multiple

injuries. As used in this Guide, a ��large-scale disaster�� is one that exceeds the

response capability of the Local jurisdiction and requires State, and potentially

Federal, involvement. As used in the Stafford Act, a ��major disaster�� is ��any

natural catastrophe [...] or, regardless of cause, any fire, flood, or explosion, in

any part of the United States, which in the determination of the President causes

damage of sufficient severity and magnitude to warrant major disaster assistance

under [the] Act to supplement the efforts and available resources or States, local

governments, and disaster relief organizations in alleviating the damage, loss,

hardship, or suffering caused thereby.�� (Stafford Act, Sec. 102(2), 42 U.S.C.


Disaster Recovery Center

Places established in the area of a Presidentially declared major disaster, as

soon as practicable, to give victims the opportunity to apply in person for

assistance and/or obtain information related to that assistance. DRCs are staffed

by Local, State, and Federal agency representatives, as well as staff from

volunteer organizations (e.g., the American Red Cross).

August 2008 INTERIM - Comprehensive Preparedness Guide 101


The sudden motion or trembling of the ground produced by abrupt displacement

of rock masses, usually within the upper 10 to 20 miles of the earth's surface.


Any occasion or instance, such as a hurricane, tornado, storm, flood, tidal wave,

tsunami, earthquake, volcanic eruption, landslide, mudslide, snowstorm, fire,

explosion, nuclear accident, or any other natural or man-made catastrophe, that

warrants action to save lives and to protect property, public health, and safety.

Emergency Medical Services

Services, including personnel, facilities, and equipment required to ensure proper

medical care for the sick and injured from the time of injury to the time of final

disposition (which includes medical disposition within a hospital, temporary

medical facility, or special care facility; release from the site; or being declared

dead). Further, EMS specifically includes those services immediately required to

ensure proper medical care and specialized treatment for patients in a hospital

and coordination of related hospital services.

Emergency Operations Center

The protected site from which State and Local civil government officials

coordinate, monitor, and direct emergency response activities during an


Emergency Operations Plan

A document that: describes how people and property will be protected in disaster

and disaster threat situations; details who is responsible for carrying out specific

actions; identifies the personnel, equipment, facilities, supplies, and other

resources available for use in the disaster; and outlines how all actions will be


Emergency Support Function

In the NRF, a functional area of response activity established to facilitate the

delivery of Federal assistance required during the immediate response phase of

a disaster to save lives, protect property and public health, and maintain public

safety. ESFs represent those types of Federal assistance that a State will most

likely need because of the impact of a catastrophic or significant disaster on its

own resources and response capabilities, or because of the specialized or

unique nature of the assistance required. ESF missions are designed to

supplement State and Local response efforts.

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Organized, phased, and supervised dispersal of people from dangerous or

potentially dangerous areas.

Spontaneous Evacuation. Residents or citizens in the threatened areas

observe an emergency event or receive unofficial word of an actual or

perceived threat and, without receiving instructions to do so, elect to

evacuate the area. Their movement, means, and direction of travel are

unorganized and unsupervised.

Voluntary Evacuation. This is a warning to persons within a designated

area that a threat to life and property exists or is likely to exist in the

immediate future. Individuals issued this type of warning or order are

NOT required to evacuate; however, it would be to their advantage to

do so.

Mandatory or Directed Evacuation. This is a warning to persons within

the designated area that an imminent threat to life and property exists

and individuals MUST evacuate in accordance with the instructions of

local officials.


All persons removed or moving from areas threatened or struck by a disaster.

Federal Coordinating Officer

The person appointed by the President to coordinate Federal assistance in a

Presidentially declared emergency or major disaster. The FCO is a senior FEMA

official trained, certified, and well experienced in emergency management, and

specifically appointed to coordinate Federal support in the response to and

recovery from emergencies and major disasters.

Field Assessment Team

A small team of pre-identified technical experts who conduct an assessment of

response needs (not a preliminary damage assessment) immediately following a

disaster. The experts are drawn from the Federal Emergency Management

Agency, other agencies and organizations (e.g., U.S. Public Health Service, U.S.

Army Corps of Engineers, U.S. Environmental Protection Agency, and American

Red Cross) and the affected State(s). All FAsT operations are joint Federal/State


August 2008 INTERIM - Comprehensive Preparedness Guide 101

Flash Flood

Follows a situation in which rainfall is so intense and severe and runoff is so

rapid that recording the amount of rainfall and relating it to stream stages and

other information cannot be done in time to forecast a flood condition.


A general and temporary condition of partial or complete inundation of normally

dry land areas from overflow of inland or tidal waters, unusual or rapid

accumulation or runoff of surface waters, or mudslides/mudflows caused by

accumulation of water.

Governor��s Authorized Representative

The person empowered by the Governor to execute, on behalf of the State, all

necessary documents for disaster assistance.

Hazard Mitigation

Any action taken to reduce or eliminate the long-term risk to human life and

property from hazards. The term is sometimes used in a stricter sense to mean

cost-effective measures to reduce the potential for damage to a facility or

facilities from a disaster event.

Hazardous Material

Any substance or material that, when involved in an accident and released in

sufficient quantities, poses a risk to people's health, safety, and/or property.

These substances and materials include explosives, radioactive materials,

flammable liquids or solids, combustible liquids or solids, poisons, oxidizers,

toxins, and corrosive materials.

High-Hazard Areas

Geographic locations that, for planning purposes, have been determined through

historical experience and vulnerability analysis to be likely to experience the

effects of a specific hazard (e.g., hurricane, earthquake, hazardous materials

accident) that would result in a vast amount of property damage and loss of life.


A tropical cyclone, formed in the atmosphere over warm ocean areas, in which

wind speeds reach 74 miles per hour or more and blow in a large spiral around a

relatively calm center or eye. Circulation is counter-clockwise in the Northern

Hemisphere and clockwise in the Southern Hemisphere.

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Incident Command System

A standardized, on-scene, emergency management construct, specifically

designed to provide for the adoption of an integrated organizational structure that

reflects the complexity and demands of single or multiple incidents without being

hindered by jurisdictional boundaries. ICS is the combination of facilities,

equipment, personnel, procedures, and communications operating within a

common organizational structure that is designed to help manage resources

during incidents. It is used for all kinds of emergencies and applicable to both

small and large and complex incidents. ICS is used by various jurisdictions and

functional agencies, both public and private, to organize field-level incident

management operations.

Incident Management Assistance Teams

Interagency teams composed of subject-matter experts and incident

management professionals. IMAT personnel may be drawn from national or

regional Federal department and agency staff according to established protocols.

IMATs make preliminary arrangements to set up Federal field facilities and

initiate establishment of the JFO.

Joint Field Office

The Joint Field Office is the primary Federal incident management field structure.

The JFO is a temporary Federal facility that provides a central location for the

coordination of Federal, State, tribal, and local governments and private-sector

and nongovernmental organizations with primary responsibility for response and

recovery. The JFO structure is organized, staffed, and managed in a manner

consistent with NIMS principles and is led by the Unified Coordination Group.

Although the JFO uses an ICS structure, the JFO does not manage on-scene

operations. Instead, the JFO focuses on providing support to on-scene efforts

and conducting broader support operations that may extend beyond the incident


Joint Information Center

A facility established to coordinate all incident-related public information

activities. It is the central point of contact for all news media at the scene of the

incident. Public information officials from all participating agencies should

collocate at the JIC.

Joint Information System

Integrates incident information and public affairs into a cohesive organization

designed to provide consistent, coordinated, timely information during crisis or

incident operations. The JIS provides a structure and system for developing and

August 2008 INTERIM - Comprehensive Preparedness Guide 101

delivering coordinated interagency messages; developing, recommending, and

executing public information plans and strategies on behalf of the Incident

Commander (IC); advising the IC about public affairs issues that could affect a

response effort; and controlling rumors and inaccurate information that could

undermine public confidence in the emergency response effort.


Multiple definitions are used. Each use depends on the context:

A range or sphere of authority. Public agencies have jurisdiction at an

incident related to their legal responsibilities and authority.

Jurisdictional authority at an incident can be political or geographical

(e.g., City, County, Tribal, State, or Federal boundary lines) or

functional (e.g., law enforcement, public health).

A political subdivision (Federal, State, County, Parish, Municipality)

with the responsibility for ensuring public safety, health, and welfare

within its legal authorities and geographic boundaries.

Mass Care

The actions that are taken to protect evacuees and other disaster victims from

the effects of the disaster. Activities include providing temporary shelter, food,

medical care, clothing, and other essential life support needs to the people who

have been displaced from their homes because of a disaster or threatened


Multiagency Coordination Systems

Multiagency coordination systems provide the architecture to support

coordination for incident prioritization, critical resource allocation,

communications systems integration, and information coordination. The

components of multiagency coordination systems include facilities, equipment,

personnel, procedures, and communications. Two of the most commonly used

elements are EOCs and MAC Groups. These systems assist agencies and

organizations responding to an incident.


Mitigation is the effort to reduce loss of life and property by lessening the impact

of disasters. This is achieved through risk analysis, which results in information

that provides a foundation for mitigation activities that reduce risk.


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National Incident Management System (NIMS)

Provides a systematic, proactive approach that guides government agencies at

all levels, the private sector, and nongovernmental organizations to work

seamlessly to prepare for, prevent, respond to, recover from, and mitigate the

effects of incidents, regardless of cause, size, location, or complexity, in order to

reduce the loss of life or property and harm to the environment.

National Response Framework

A guide to how the nation conducts all-hazards incident management.

Nongovernmental Organization

An entity with an association that is based on the interests of its members,

individuals, or institutions. It is not created by a government, but it may work

cooperatively with government. Such organizations serve a public purpose and

are not for private benefit. Examples of NGOs include faith-based charity

organizations and the American Red Cross.


The long-term activities beyond the initial crisis period and emergency response

phase of disaster operations that focus on returning all systems in the community

to a normal status or to reconstituting these systems to a new condition that is

less vulnerable.

Resource Management

Those actions taken by a government to (a) identify sources and obtain

resources needed to support disaster response activities; (b) coordinate the

supply, allocation, distribution, and delivery of resources so that they arrive

where and when they are most needed; and (c) maintain accountability for the

resources used.

Regional Response Coordination Center (RRCC)

Coordinates Regional response efforts, establishes Federal priorities, and

implements local Federal program support until a Joint Field Office is


August 2008 INTERIM - Comprehensive Preparedness Guide 101

Scenario-Based Planning

Planning approach that uses a Hazard Vulnerability Assessment to assess the

hazard��s impact on an organization on the basis of various threats that the

organization could encounter. These threats (e.g., hurricane, terrorist attack)

become the basis of the scenario.

Senior Official

The elected or appointed official who, by statute, is charged with implementing

and administering laws, ordinances, and regulations for a jurisdiction. He or she

may be a mayor, city manager, etc.

Service Animal

Any guide dog, signal dog, or other animal individually trained to assist an

individual with a disability. Service animals�� jobs include, but are not limited to:

Guiding individuals with impaired vision;

Alerting individuals with impaired hearing (to intruders or sounds such

as a baby��s cry, the doorbell, and fire alarms);

Pulling a wheelchair;

Retrieving dropped items;

Alerting people to impending seizures; and

Assisting people with mobility disabilities with balance or stability.

Special-Needs Population

A population whose members may have additional needs before, during, or after

an incident in one or more of the following functional areas: maintaining

independence, communication, transportation, supervision, and medical care.

Individuals in need of additional response assistance may include those who

have disabilities; live in institutionalized settings; are elderly; are children; are

from diverse cultures, have limited proficiency in English or are non-Englishspeaking;

or are transportation disadvantaged.

Standard Operating Procedure

A set of instructions constituting a directive, covering those features of operations

which lend themselves to a definite, step-by-step process of accomplishment.

SOPs supplement Emergency Operations Plans (EOPs) by detailing and

specifying how tasks assigned in the EOP are to be carried out. SOPs constitute

a complete reference document or an operations manual that provides the

purpose, authorities, duration, and details for the preferred method of performing

a single function or a number of interrelated functions in a uniform manner.


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State Coordinating Officer

The person appointed by the Governor to coordinate State, Commonwealth, or

Territorial response and recovery activities with FRP-related activities of the

Federal Government, in cooperation with the Federal Coordinating Officer.

State Liaison

A Federal Emergency Management Agency official assigned to a particular

State, who handles initial coordination with the State in the early stages of an


Storm Surge

A dome of sea water created by the strong winds and low barometric pressure in

a hurricane that causes severe coastal flooding as the hurricane strikes land.


The use or threatened use of criminal violence against civilians or civilian

infrastructure to achieve political ends through fear and intimidation rather than

direct confrontation. Emergency management is typically concerned with the

consequences of terrorist acts directed against large numbers of people (as

opposed to political assassination or hijacking, which may also be considered



A local atmospheric storm, generally of short duration, formed by winds rotating

at very high speeds, usually in a counter-clockwise direction. The vortex, up to

several hundred yards wide, is visible to the observer as a whirlpool-like column

of winds rotating about a hollow cavity or funnel. Winds may reach 300 miles per

hour or higher.


Sea waves produced by an undersea earthquake. Such sea waves can reach a

height of 80 feet and can devastate coastal cities and low-lying coastal areas.


The alerting of emergency response personnel and the public to the threat of

extraordinary danger and the related effects that specific hazards may cause. A

warning issued by the National Weather Service (e.g., severe storm warning,

tornado warning, tropical storm warning) for a defined area indicates that the

particular type of severe weather is imminent in that area.

August 2008 INTERIM - Comprehensive Preparedness Guide 101


Indication by the National Weather Service that, in a defined area, conditions are

favorable for the specified type of severe weather (e.g., flash flood, severe

thunderstorm, tornado, tropical storm).


AAR After Action Review

ARC American Red Cross

ARES Amateur Radio Emergency Service

CBRNE Chemical, Biological, Radiological, and/or Nuclear Explosive

CCC Citizen Corps Council

CEM Comprehensive Emergency Management

CEO Chief Executive Officer

CERT Community Emergency Response Team

CFR Code of Federal Regulations

COG Continuity of Government

CONOPS Concept of Operations

COOP Continuity of Operations

CP Command Post

CPG Comprehensive Preparedness Guide

CSEPP Chemical Stockpile Emergency Preparedness Program

DEOC Department Emergency Operations Center

DHS U.S. Department of Homeland Security

DMORT Disaster Mortuary Operational Response Team

DNR Department of Natural Resources

DoD U.S. Department of Defense

DOJ U.S. Department of Justice

DOT U.S. Department of Transportation

EAS Emergency Alert System

ECL Emergency Condition Level

EM Emergency Management

EMAC Emergency Management Assistance Compact

EMAP Emergency Management Accreditation Program

EMS Emergency Medical Services

EOC Emergency Operations Center

EOP Emergency Operations Plan

EPA U.S. Environmental Protection Agency

EPCRA Emergency Planning and Community Right-to-Know Act

EPZ Emergency Planning Zone

ESF Emergency Support Function

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FAA Federal Aviation Administration

FAAT Federal Emergency Management Agency (FEMA) Acronyms,

Abbreviations, and Terms

FAC Family Assistance Center

FBI Federal Bureau of Investigation

FCO Federal Coordinating Officer

FDA Food and Drug Administration

FEMA Federal Emergency Management Agency

FHA Federal Highway Authority

FIA Federal Insurance Administration

FOG Field Operations Guide

GIS Geographic Information System

GPS Global Positioning System

HAZMAT Hazardous material(s)

HAZUS-MH Hazards U.S. Multi-Hazard

HSEEP Homeland Security Exercise and Evaluation Program

HSPD Homeland Security Presidential Directive

IAP Incident Action Plan; Initial Action Plan

IC Incident Commander

ICP Incident Command Post

ICS Incident Command System

IMAT Incident Management Assistance Team

JFO Joint Field Office

JIC Joint Information Center

LEOC Local Emergency Operations Center

LEPC Local Emergency Planning Committee

LL Lessons Learned

MACS Multiagency Coordination System

MOU Memorandum of Understanding

MRC Medical Reserve Corps

NEMA National Emergency Management Association

NFIP National Flood Insurance Program

NFPA National Fire Protection Association

NGO Nongovernmental Organization

NIC National Integration Center

NIMS National Incident Management System

NLT Not Less Than

NPG National Preparedness Guidelines

August 2008 INTERIM - Comprehensive Preparedness Guide 101

NPS National Planning Scenarios

NRC U.S. Nuclear Regulatory Commission

NRF National Response Framework

NTSB National Transportation Safety Board

NWS National Weather Service

OSHA Occupational Safety and Health Administration

PDA Preliminary Damage Assessment

PIO Public Information Officer

RACES Radio Amateur Civil Emergency Services

REPP Radiological Emergency Preparedness Program

RRCC Regional Response Coordination Center

RRP Regional Response Plan

RST Regional Support Team

RTO Recovery Time Objective

SBA Small Business Administration

SCO State Coordinating Officer

SERC State Emergency Response Commission

SLG State and Local Guide

SO Senior Official (elected or appointed)

SOP Standard Operating Procedure

TCL Target Capabilities List

TOPPLEF Training, Organization, Plans, People, Leadership, and Management

TS Tropical storm

UC Unified command

USDA U.S. Department of Agriculture

USGS U.S. Geological Survey

UTL Universal Task List

VOAD Volunteer Organization Active in Disaster

VIPS Volunteers in Police Service

WMD Weapons of Mass Destruction

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The questions below are provided to help State, Local, and Tribal governments

develop Emergency Operations Plans (EOP) that are consistent with the National

Incident Management System (NIMS) concepts and terminology. They are

derived from checklists found in State NIMS Integration and Local and Tribal

NIMS Integration published by the National Integration Center in 2006.

Question 1: Does the EOP define the scope of preparedness and incident

management activities necessary for the jurisdiction?

The EOP should cover all hazards that the jurisdiction could reasonably expect to

occur and all the preparedness and incident management activities necessary to

ensure an effective response to those hazards. Regulatory requirements may

also dictate the hazards and preparedness activities that must be included in the


Question 2: Does the EOP describe organizational structures, roles,

responsibilities, policies, and protocols for providing emergency support?

A description of the organizational structure should clearly identify which

organizations will be involved in the emergency response. After each

organization is identified, it should be assigned a specific set of responsibilities,

which are normally based on its strengths and capabilities. The policies and

protocols for providing emergency support should be described in the EOP. This

information is typically described in the administration and logistics section as

well as the authorities and references section of the basic plan.

Question 3: Does the EOP facilitate response and short-term recovery


An EOP is usually not a mitigation plan and not a recovery plan. The EOP should

describe and provide the basis for a jurisdiction��s response and short-term

recovery operations. The response activities typically take place initially and are

designed to save lives, reduce suffering, and protect property and the

August 2008 INTERIM - Comprehensive Preparedness Guide 101

environment. The short-term recovery activities typically follow the response

activities and are designed to stabilize the situation and set the stage for reentry

and recovery.

Question 4: Is the EOP flexible enough to use in all emergencies?

The EOP should reflect the State, Local, or Tribal jurisdiction��s approach to all

types of emergencies. The functional annexes should provide an outline of roles

and responsibilities of each responding agency regardless of the type of

emergency. In other words, the EOP should be flexible and useful in the event of

any emergency.

Question 5: Does the EOP have a description of its purpose?

The purpose should include a general statement of what the EOP is meant to do.

It should also include a brief summary of the components of the plan, including

the functional annexes and hazard-specific appendices.

Question 6: Does the EOP describe the situation and assumptions?

The situation sets the stage for planning. It should be based on the State, Local,

or Tribal jurisdiction��s hazard identification analysis. The situation section

typically covers a characterization of the population, the probability and impact of

the hazard, vulnerable facilities, and dependencies on resources from other

jurisdictions. The assumptions section should describe those things that are

assumed to be true that directly impact the execution of the EOP. The

assumptions may describe the limitations of the EOP and provide a basis for

improvisation and modification if they become necessary. Assumptions may also

identify potential hazards and describe the nature of those hazards and the

frequency at which they are expected to occur.

Question 7: Does the EOP describe the concept of operations?

The CONOPS will capture the sequence and scope of the planned response and

explain the overall approach to the emergency situation. The CONOPS should

cover the division of responsibilities, sequence of actions (before, during, and

after the incident), the manner in which requests for resources will be met, and

the person and circumstances under which requests for additional aid from the

State will be made (this section should include the process for declaring a state

of emergency). The CONOPS should mention direction and control, alert and

warning, and other activities. This information is usually outlined in the Basic Plan

and fully detailed in the Functional and Hazard-Specific Annexes and


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Question 8: Does the EOP describe the organization and assignment of


The organization and assignment of responsibilities should establish which

organizations will be relied on to respond to the emergency. The EOP should

describe the tasks each element of the organization is responsible for and

expected to perform. The description of these responsibilities is typically generic

in the Basic Plan and more detailed in Functional and Hazard-Specific Annexes

and Appendices. The Basic Plan typically contains a matrix that plots response

functions by agency and allows for a quick clarification of the assignment of

primary and support responsibilities.

Question 9: Does the EOP describe administration and logistics?

The EOP has a section that covers general support requirements and availability

of support services from other agencies. It should also contain general policies

for managing resources. This section of the EOP should also reference Mutual

Aid Agreements, liability provisions, and policies for reassigning public

employees and soliciting and using volunteers. It is also important to include

general policies on financial record keeping, tracking of resources, and

compensation of private property owners.

Question 10: Does the EOP contain a section that covers its development

and maintenance?

The EOP should include a section describing the overall approach to planning,

the participants included in the planning process, and the way in which the plan

will be maintained and updated. One individual should be assigned to coordinate

these processes and provisions and to address regular reviews, testing, and

revisions. This information is typically found in the plan development and

maintenance section.

Question 11: Does the EOP contain authorities and references?

The EOP should list references to any laws, statutes, ordinances, executive

orders, regulations, and formal agreements relevant to the emergencies. These

will indicate the legal basis for emergency operations and should specify the

extent and limits of emergency authorities. This information is typically found in

the authorities and reference section.

Question 12: Does the EOP contain Functional Annexes?

Functional Annexes are the part of the EOP that begin to provide specific

information and direction. Functional Annexes should cover activities to be

performed by anyone with a responsibility under that function. Functional

Annexes also clearly define actions before, during, and after an emergency

August 2008 INTERIM - Comprehensive Preparedness Guide 101

event. Some examples of Functional Annex titles are Communications, Mass

Care, and Health and Medical Services.

Question 13: Does the EOP contain Hazard-Specific Appendices?

Hazard-Specific Appendices are supplements to Functional Annexes. Whereas

planning considerations common to all hazards are addressed in Functional

Annexes, hazard-specific information is included in the appendices. The

appendices should be created for any Functional Annex that does not provide

enough hazard-specific information to respond to a specific type of emergency.

In many cases, the EOP contains Hazard-Specific Annexes that follow a format

similar to that of the Basic Plan. An EOP is considered compliant whether or not

it contains Hazard-Specific Appendices or Annexes.

Question 14: Does the EOP contain a glossary?

Since many terms in emergency management have special meanings, it is

important to define words, phrases, abbreviations, and acronyms. This

information is typically described in the glossary section. In order to be fully

compliant with this standard, an EOP must consistently use NIMS definitions and

acronyms as they apply throughout the EOP.

Question 15: Does the EOP predesignate functional area representatives to

the EOC/Multiagency Coordination System (MACS)?

This information is typically described in Functional or Hazard-Specific Annexes

and is more detailed than the information in the Basic Plan. NIMS doctrine states

that all incidents use the Incident Command System (ICS) to establish command

and control for the response at the scene of an incident. Most incidents are

managed locally, and the EOP is the guide on how the local response to an

incident will be handled. Therefore, it is appropriate that the jurisdiction set up

and utilize an EOC or a MACS, depending on the size and complexity of the

incident. The EOP should predesignate which organization is assigned which

responsibilities, and that organization should provide representatives to the EOC

or MACS that is being utilized. In some cases, a State, Tribal, or Local agency is

the lead for a particular hazard that requires that agency to take control of an

incident scene. These designations are normally established by laws,

regulations, executive orders, or policies. The designated agency should have

trained personnel in place to set up an ICS structure at the scene and to provide

the incident commander for that incident. If an agency is requested to send a

representative to the scene, that representative should be folded in to the unified

command of the incident. If agency-specific designations apply to a jurisdiction,

they should be indicated in the EOP.

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Question 16: Does the EOP include preincident and postincident public

awareness, education, and communications plans and protocols?

The EOP should describe the public awareness and education plans and

protocols that are provided to the community. Public awareness and education

plans and protocols provide valuable information to citizens on potential hazards,

protective action options to address those hazards, and how people will be

alerted and notified if they are at risk. How this information will be communicated

to the public before and after incidents occur should be described in the EOP.

This information is typically located in the emergency public warning annex.

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(Intentionally Blank)

C-6 INTERIM - Comprehensive Preparedness Guide 101 August 2008




This component provides an overview of the jurisdiction��s emergency

management/response program and its ability to prepare for, respond to, and

recover from disasters/emergencies.


This item outlines the plan��s format, key sections, attachments, charts, etc.


List/identify the major sections/chapters and/or key elements within

the EOP.


This component is a signed statement formally recognizing and adopting the plan

as the jurisdiction��s all-hazards EOP.


Include a Promulgation Statement signed by the jurisdiction��s senior

elected or appointed official(s). (Note: This statement must be

updated each time a new senior elected or appointed official takes



This section explains the plan��s intent, whom it involves, and why it was



Describe the purpose for developing and maintaining an EOP

(e.g., coordinate local agency SOPs, define disaster-specific

procedures, outline roles and limitations).


Describe at what times or under what conditions this plan would be

activated (e.g., major county disaster versus minor local emergency,

major state-wide disaster, terrorist attack within the local community,

County, or State).

August 2008 INTERIM - Comprehensive Preparedness Guide 101


Describe who has the authority to activate the plan (e.g., EMA office,

Chief Elected Official, State Official, Fire/Police Chief, etc.).


Describe the process, templates, and individuals involved in issuing a

declaration of emergency for a given hazard and how the declaration

will be coordinated with neighboring jurisdictions and the State.


Describe how legal questions/issues are resolved as a result of

preparedness, response, or recovery actions, including what liability

protection is available to responders.


Describe the process by which the EMA office coordinates with all

agencies, boards, or divisions having emergency management

functions within the jurisdiction.


Describe how emergency plans take into account special needs

populations and service or working animals.


Describe how emergency plans take into account companion and

farm animal care.


Identify other response/support agency plans that directly support the

implementation of this plan (e.g., hospital, school emergency, facility



Define the four phases of emergency management (Mitigation,

Preparedness, Response, and Recovery) and describe how the

jurisdiction uses them to develop the plan and local procedures.


Identify/define the words, phrases, acronyms, and abbreviations that

have special meanings with regard to emergency management and

are used repeatedly in the plan.


Identify/describe the Local, State, and Federal laws that specifically

apply to the development and implementation of this plan, including

but not limited to the following:

Local and Regional ordinances and statutes

State laws or revised code sections that apply to emergency

management and homeland security

State administrative code sections that define roles,

responsibilities, and operational procedures

State Attorney General opinions


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Federal regulations and standards (e.g., Stafford Act, FEMA

Policy, Patriot Act, National Fire Protection Association [NFPA]



Identify/describe the reference manuals used to develop the plan

and/or help prepare for and respond to disasters or emergencies,

including but not limited to the following:

General planning tools

Technical references

Computer software


This section provides an overview of the key functions and procedures that State

or Local agencies will accomplish during an emergency, including the roles

Local, State, Federal, Tribal, and private agencies will take to support local



Identify/outline the responsibilities assigned to each organization that

have an emergency response and/or recovery procedure defined in the

plan, including but not limited to the following:

Local response agencies (Fire, Law Enforcement, EMS) and

support agencies (e.g., Health, EMA, Medical Care Facilities

and Organizations, Coroner, Engineer)

Local senior elected or appointed officials (e.g., Governor,

Mayor, Commissioner, Administrative Judge, Council, Executive


State agencies most often and/or likely to be used to support

Local operations (e.g., Department of Transportation, State

Police/Highway Patrol, Department of Natural Resources [DNR],

Environmental Protection/Quality, Emergency Management,

Homeland Security, Department of Health/Public Health, and

National Guard).

Regional organizations or groups most often and/or likely to be

used to support Local operations.

Federal agencies most often and/or likely to be used to support

Local operations (e.g., FEMA, USCG, U.S. Department of

August 2008 INTERIM - Comprehensive Preparedness Guide 101

Justice [DOJ], FBI, Federal Aviation Administration [FAA],

National Safety Transportation Board [NTSB], DoD, DOT)

• Government-sponsored volunteer resources (e.g., Community

Emergency Response Teams [CERTs], Medical Reserve Corps

[MRC], Volunteers in Police Service [VIPS] or Auxiliary Police).

Private and volunteer organizations (e.g., American Red Cross,

Salvation Army, faith-based groups, VOAD, Chamber of

Commerce, Community Action Commission, private sector



Describe how roles and responsibilities will be determined for

unaffiliated volunteers and how these individuals will be incorporated

into the response organization.


Describe/identify what Mutual Aid Agreements are in place for the

quick activation and sharing of resources during an emergency.

Examples of agreements that may exist include the following:

Agreements between response groups (e.g., fire and police,

emergency medical/ambulance)

Agreements for additional resources/assistance between

neighboring jurisdictions�� response forces (e.g., fire, police,


Agreements for providing and receiving additional resources

through the Emergency Management Assistance Compact


Agreements for alert and notification and dissemination of

emergency public information

• Resource agreements (e.g., outside assistance, personnel,


Agreements between medical facilities inside and outside the

jurisdiction (e.g., for using facilities, accepting patients)

Evacuation agreements (e.g., use of buildings, restaurants,

homes as shelters/lodging, relocation centers; transportation

support), including agreements between jurisdictions for the

acceptance of evacuees


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Note: Actual Mutual Aid Agreements should not be included in

the plan in their entirety. The EOP should only identify that the

agreement exists and briefly summarize who is covered by the

agreement, what goods or services are covered, and what

limitations apply, if any.

Note: Mutual aid may also be addressed separately in each

section of the EOP if the jurisdiction believes that such

placement will help to better explain how that mutual aid directly

supports a specific procedure.


Describe how the jurisdiction maintains a current list of available

National Incident Management System (NIMS) Typed Resources and

Credentialed Personnel.


Describe how all tasked organizations maintain current notification

rosters, SOPs, and checklists to carry out their assigned tasks.


Provide a matrix that summarizes which tasked organizations have the

primary lead versus a secondary support role for each defined

response function.


Describe the jurisdiction��s policies regarding public safety enforcement

actions required to maintain the public order during a crisis response,

including teams of enforcement officers needed to handle persons who

are disrupting the public order, violating laws, requiring quarantine, etc.


The jurisdiction needs to have a process in place to ensure vital government

functions can be implemented and managed immediately following a disaster.

Note: COG/ Continuity of Operations (COOP) may have a separate plan from the

EOP. If a separate COG/COOP plan is used, it should be identified in the EOP.


Describe essential functions, such as providing vital services,

exercising civil authority, maintaining the safety and well-being of the

populace, and sustaining the industrial/economic base in an



Describe plans for establishing Recovery Time Objectives (RTOs) or

recovery priorities for each essential function.


Identify personnel and/or teams needed to perform essential functions.


Describe key elements for establishing orders of succession.

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Describe plans for human resource management.


Describe the arrangements in place that support decision making with

regard to implementing response and recovery functions

(e.g., resolutions that allow the County Administrator to act on behalf of

the Commissioners to suspend normal bidding regulations for

purchasing equipment or establishing contracts).


Describe the arrangements in place to protect records deemed

essential for government functions (e.g., tax records,

birth/death/marriage certificates, payroll and accounting data).


Describe the processes that will be used to identify the critical and

time-sensitive applications, processes, and functions that need to be

recovered and continued following an emergency or disaster

(e.g., business impact analysis, business continuity management, vital

records preservation, alternate operating facilities) as well as the

personnel and procedures necessary to do so.


Predetermine delegations of authority


Identify continuity/alternate facilities


Identify continuity communications


Identify and protect vital records


Develop test, training, and exercise (TT&E)


Develop devolution of control and direction


Develop evaluations, after action reports, and lesson learned


Develop corrective action plans


This section describes the process used to regularly review and update the EOP.


Describe how this plan was coordinated with the EOPs from

adjoining/intra-State Regional jurisdictions to include Local political

subdivisions that develop their own EOPs in accordance with State



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Describe the process used to review and revise the plan each year or

– if changes in the jurisdiction warrant (e.g., changes in administration

or procedures, newly added resources/training, revised phone contacts

or numbers) – more often.


Describe the responsibility of each organization/agency (governmental

and NGO) to review and submit changes to its respective portion(s) of

the plan.


Identify/summarize to whom the plan is distributed, including whether it

is shared with other jurisdictions. Include a plan distribution list.

Note: This list can be maintained as a Tab to the plan.


Describe/identify how or where the plan is made available to the public.


Summarize the process used to submit the plan for review,

coordination, and/or evaluation by other jurisdictions/organizations.


Include a page to document when the changes are received and

entered into the plan.


This section provides a brief overview of the steps taken by the jurisdiction to

prepare for disasters.


This section summarizes the major findings identified from a completed Hazard

Analysis of each hazard likely to impact the jurisdiction. Note: The Hazard

Analysis information can be presented as a Tab to the EOP or maintained as a

part of the Local Mitigation Plan. In either case, this section needs to provide an

overview of the analysis process and its results and then refer to the Tab or the

Mitigation Plan.


Summarize/identify the hazards that pose a unique risk to the

jurisdiction and would create the need to activate this plan

(e.g., threatened or actual natural disasters, acts of terrorism, or other

man-made disasters).


Summarize/identify the probable high-risk areas (population,

infrastructure, and environmental) that are likely to be impacted by the

defined hazards (e.g., special needs facilities, wildlife refuges,

types/numbers of homes/businesses in floodplains, areas around

chemical facilities).

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Summarize/identify the likelihood that the defined hazards have and

will continue to occur within the jurisdiction (e.g., historical frequency,

probable future risk, national security threat assessments).


Describe how the intelligence community��s (State/Local fusion centers,

joint terrorism task forces, national intelligence organizations) threat

analyses have been incorporated into the jurisdiction��s Hazard



Describe how agricultural; food supply; cyber security; chemical,

biological, radiological, and nuclear explosive (CBRNE) events; and

pandemics (those located/originating in the jurisdiction as well as a

nonlocal, nationwide, or global event) have been assessed and

incorporated into the jurisdiction��s Hazard Analysis.


Describe the assumptions made and the methods used to complete

the jurisdiction��s Hazard Analysis, including what tools or

methodologies were used to complete the analyses (e.g., a State��s

Hazard Analysis and Risk Assessment Manual, Mitigation Plan

guidance, vulnerability assessment criteria, consequence analysis



Include maps that show the high-risk areas that are likely to be

impacted by the identified hazards (e.g., residential/commercial areas

within defined floodplains, earthquake fault zones, vulnerable zones for

hazardous materials facilities/routes, areas within ingestion zones for

nuclear power plants, critical infrastructure).


Describe/identify the hazards that could originate in a neighboring

jurisdiction and could create hazardous conditions in this jurisdiction

(e.g., watershed runoff, chemical incident, riot/terrorist act).


Describe/identify the unique time variables that may influence the

Hazard Analysis and preplanning for the emergency (e.g., rush hours,

annual festivals, seasonal events, how quickly the event occurs, the

time of day that the event occurs).


This process is used by the jurisdiction to determine its capabilities and limits in

order to prepare for and respond to the defined hazards. Note: The jurisdiction

may wish to address this topic as part of the hazard-specific sections. This

decision would allow the jurisdiction to address the unique readiness issues and

limitations for each specific hazard. In this case, this section should provide an

overview of the jurisdiction��s abilities and then refer the reader to the hazard-

specific sections for more detailed information.


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Summarize the jurisdiction��s ability to respond to and recover from a

disaster caused by the defined hazards.


Describe the jurisdiction��s limitations to responding to and recovering

from a disaster on the basis of training, equipment, or personnel.


Describe the methods used and agencies involved in a formal

capability assessment, including a description of how often this

assessment is conducted.


Describe methods used and NGOs (business, not-for-profit,

community, and faith based) involved in formal community capability

assessment, including a description of how often this assessment is



This section covers the actions taken in advance to minimize the impact that is

likely to result from an emergency, including short and long-term strategies.

Note: Specific Mitigation Plans/guidance documents may be available from State



Provide a brief overview of the mitigation programs used locally to

reduce the chance that a defined hazard will impact the community

(e.g., move homes/businesses out of floodplain, establish and enforce

zoning/building codes, install surveillance cameras, conduct cargo

surveillance and screening), including short- and long-term strategies.


Identify potential protection, prevention, and mitigation strategies for

high-risk targets.


Describe the procedures used to develop sector-specific protection

plans, including critical infrastructure systems and facilities, port

security, transportation security, food chain, food and medical

production/supply, and cyber security.


Describe the procedures used to educate and involve the public in the

mitigation programs (e.g., building safe rooms/homes, home

relocation, streambed cleaning).


Describe the process and agencies used to develop Mitigation Plans

and how these are coordinated with Local, State, Tribal, and Federal


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This mechanism is used to identify and acquire resources in advance of a

disaster, especially to overcome gaps possibly identified in a capability



Describe/identify the procedures and agencies involved in using the

existing hazard analysis and capability assessment to identify what

resources are needed for a response to a defined hazard, including

using past incident critiques to identify/procure additional resources.


Describe/identify the steps taken to overcome the jurisdiction��s

identified resource shortfalls, including identifying the resources that

are only available outside the jurisdiction (e.g., HAZMAT, Water

Rescue, Search and Rescue teams, CBRNE) and the procedures to

request those resources.


Provide a brief summary statement about specialized equipment,

facilities, personnel, and emergency response organizations currently

available to respond to the defined hazards. Note: A Tab to the plan or

a separate Resource Manual should be used to list the types of

resources available, amounts on hand, locations maintained, and any

restrictions on use.


Describe the process used to identify private agencies/contractors that

will support resource management issues (e.g., waste haulers, spill

contractors, landfill operators). Identify existing Memorandums of

Agreement or Understanding and contingency contracts with these



Describe the process used to identify, deploy, utilize, support, dismiss,

and demobilize affiliated and spontaneous unaffiliated volunteers.


Describe plans, procedures, and protocols for resource management

in accordance with the NIMS Resource Typing, and include pre-

positioning of resources to efficiently and effectively respond to an



Describe the process used to manage unsolicited donations.


Describe plans for establishing logistic staging areas for internal and

external response personnel, equipment, and supplies.


Describe plans for establishing points of distribution across the



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Describe plans for providing support for a larger, Regional incident.


Describe strategies for transporting materials through restricted areas,

quarantine lines, law enforcement checkpoints, and so forth that are

agreed upon by all affected parties.


This process is used by a jurisdiction to document the response to and recovery

from a disaster. Note: This information can also be discussed for each

emergency response function or for the specific hazards.


Describe the process and agencies used to document the actions

taken during and after the emergency (e.g., incident and damage

assessment, incident command logs, cost recovery).


Describe/summarize the reasons for documenting the actions taken

during both the response and recovery phases of the disaster

(e.g., create historical records, recover costs, address insurance

needs, develop mitigation strategies).


Include copies of the reports that are required (e.g., cost recovery,

damage assessment, incident critique, historical record).


Describe the agencies and procedures used to create a permanent

historical record of the event (After-Action Report) and include

identifying the actions taken, resources expended, economic and

human impacts, and lessons learned as a result of the disaster.


This section describes the method used by the jurisdiction to review and discuss

the response in order to identify strengths and weaknesses in the emergency

management and response program.


Describe the reasons and need to conduct an incident critique

(e.g., review actions taken, identify equipment shortcomings, improve

operational readiness, highlight strengths/initiatives).


Describe the methods and agencies used to organize and conduct a

critique of the disaster, including how recommendations are

documented to improve local readiness (e.g., change

plans/procedures, acquire new or replace outdated resources, retrain


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Describe the links and connections between the processes used to

critique the response to an emergency/disaster and the processes

used to document recommendations for the jurisdiction��s exercise



Describe how the jurisdiction ensures the deficiencies and

recommendations identified during a critique are



These are procedures used to recover the costs incurred during the response to

a disaster.


Describe/identify the various programs that allow Local political

jurisdictions and their response/support agencies to recover their

costs (e.g., Small Business Administration [SBA], Public Assistance



Describe the procedures agencies follow to document the

extraordinary costs incurred during response and recovery operations

(e.g., personnel overtime, equipment used/expended, contracts



Describe/identify the programs and how the jurisdiction assists the

general public to recover their costs and begin rebuilding (e.g., SBA,

unemployment, worker��s compensation).


Describe the methods used to educate responders and Local officials

about the cost recovery process.


Describe the impact and role that insurance has in recovering costs

(e.g., self-insured, participation in the National Flood Insurance

Program [NFIP], homeowner policies).


This process is used by the jurisdiction to provide or develop training programs

and other types of educational programs for emergency responders, medical

personnel, and Local government officials.


Describe the jurisdiction��s preparedness planning and review cycle

program that encompasses planning, training, exercising, evaluation,

and the incorporation of after action reviews (AARs) and lessons

learned (LL).


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Various agencies use different methods and schedules to conduct and evaluate

an exercise of the plan.


Describe how the jurisdiction��s annual Exercise and Training Plan

Workshop is used to establish periodical tests of its EOP. Describe

how frequently plans for each phase of emergency management

(preparedness, protection, response, recovery, and mitigation) are




This section contains the methods and procedures to be followed by first

responders and government agencies to respond to an emergency and to protect

the public and environment from the immediate impacts of the disaster.


This process is used to recognize that an emergency has occurred and then to

notify the proper agencies to respond to the emergency.


Describe/identify the procedures and agencies used to receive and

document the initial notification that an emergency has occurred.


Describe/identify plans, procedures, and polices for coordinating,

managing, and disseminating notifications effectively to alert/dispatch

response and support agencies (e.g., 911 Centers, individual

Fire/Police dispatch offices, call trees) under all hazards and



Describe/identify the procedures and agencies used to notify and

coordinate with adjacent jurisdiction(s) about a local emergency that

may pose a risk (e.g., flash flood, chemical release, terrorist act).


Describe the use of Emergency Condition/Action Levels in the initial

notification process (e.g., Snow emergency levels 1–3, Chemical levels

1–3, Crisis Stages 1–4).

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These are procedures followed by those who arrive on the scene first and identify

the risks posed by the disaster. This assessment is used to develop a response

action plan.


Describe the procedures used by first response agencies to gather

essential information and assess the immediate risks posed by the



Describe how the initial assessment is disseminated/shared in order to

make protective action decisions and establish response priorities,

including the need to declare a state of emergency.


Describe/identify the procedures and agencies used to monitor the

movement and future effects that may be created by the disaster.


This process is used by the jurisdiction to implement an Incident Command

System (ICS) and manage the response operations during the disaster.

Note: This may also be referred to as an Incident Management System or

Unified Command System.


Describe/identify who is in charge and has the overall responsibility to

coordinate response operations (e.g., Fire for chemical, Police for riot,

Mayor for natural hazard), including how they will share command

should the incident cross multiple jurisdictional boundaries.


Describe the procedures used to implement a NIMS-compliant ICS and

coordinate response operations, including identifying the key positions

used to staff the ICS (e.g., Operations, Agency Liaisons, Safety) and

using NIMS forms.


Describe how/where an Incident Command Post (ICP) will be

established (e.g., chief��s car, command bus, nearest enclosed

structure) and how it will be identified during the emergency

(e.g., green light, flag, radio call).


Describe the process used to coordinate activities between the ICP

and an activated EOC, including how/when an IC can request the

activation of an EOC.


Describe the procedures used to coordinate direct communications

between the on-scene responders as well as with the off-scene

agencies that have a response role (e.g., Hospital, ARC, Health).


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Describe the process the IC will use to secure additional

resources/support when local assets are exhausted or become limited,

including planned State, Federal, and private assets.


Describe the process the IC will use to coordinate and integrate the

unplanned arrival of individual citizens and volunteer groups into the

response system and to clarify their limits on liability protection.


The jurisdiction has a process for activating and utilizing an EOC to support and

coordinate response operations during the disaster. Note: EOC procedures may

be addressed in an SOP. If a separate SOP is used, it should be identified in the



Describe the purpose and functions of an EOC during an emergency

or declared disaster.


Describe/identify under what conditions the jurisdiction will activate an

EOC and who makes this determination.


Identify the primary and alternate sites that will likely be used as an

EOC for the jurisdiction (e.g., city hall, fire department, EMA office,

dedicated facility).


Describe the process used to activate the primary or an alternate EOC

(e.g., staff notification, equipment setup), including the procedures

needed to move from one EOC to another.


Identify who��s in charge of the EOC (e.g., EMA Director, Chief Elected

Official, Fire/Police Chief, Department/Agency Director), and describe

how operations will be managed in the EOC.


Describe/identify the EOC staff and equipment requirements

necessary for an EOC (e.g., first response liaisons, elected officials,

support agencies, communications, administrative support).


Describe/identify the procedures used to gather and share pertinent

information between the scene, outside agencies, and the EOC

(e.g., damage observations, response priorities, resource needs),

including sharing information between neighboring and State EOCs.


Describe the EOC��s abilities to manage an emergency response that

lasts longer than 24 hours (e.g., staffing needs, shift changes, resource

needs, feeding, alternate power).

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Describe the plans and procedures to transition from response to

recovery operations.


Describe the process used to deactivate/close the EOC (e.g., staff

releases, equipment cleanup, documentation).


Identify the lead official and at least two alternates responsible for

staffing each key position at the primary EOC, as well as the alternates

if different that is consistent with NIMS.


Describe procedures for routinely briefing senior elected officials not

present in the EOC on the emergency situation (e.g., governor,

commissioner, administrative judge, mayor, city council, trustees) and

for authorizing emergency actions (e.g., declare an emergency,

request State and Federal assistance, purchase resources).


Provide a diagram of the primary and alternate EOCs (e.g., locations,

floor plans, displays) and describe/identify the critical communications

equipment available/needed (e.g., phone numbers, radio frequencies,



Provide copies of specific NIMS-compliant forms or logs to be used by

EOC personnel.


This system should provide for reliable and effective communications among

responders and Local Government agencies during an emergency.


Describe/identify the procedures and personnel used to manage

communications between the on-scene personnel/agencies (e.g., radio

frequencies/tactical channels, cell phones, data links, Command Post

(CP) Liaisons, communications vehicle/van) in order to establish and

maintain a common operating picture of the event.


Describe/identify the procedures and agencies used to identify and

overcome communications shortfalls (e.g., personnel with incompatible

equipment, use of ARES/RACES at the CP/off-site locations, CB



Describe/identify the procedures and personnel used to manage

communications between the on-scene and off-site

personnel/agencies (e.g., shelters, hospitals, EMA).


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Describe the procedures used by 911/Dispatch Centers to

support/coordinate communications for the on-scene

personnel/agencies, including alternate methods of service if

911/Dispatch is out of operation (e.g., resource mobilization,

documentation, backup).


Describe the arrangements that exist to protect emergency circuits with

telecommunications service priority for prompt restoration/provisioning.


Describe/identify the procedures used by an EOC to support and

coordinate communications between the on- and off-scene personnel

and agencies.


Describe/identify the interoperable communications plan and

compatible frequencies used by agencies during a response (e.g., who

can talk to whom, including contiguous Local, State, and private



Describe how 24-hour communications are provided and maintained.



Identify disaster intelligence position requirements for the EOC��s

planning section.


Describe plans for coordination between the planning section and the

jurisdiction��s fusion center.


Describe information dissemination methods (verbal, electronic,

graphics, etc.) and protocols.


Describe critical information needs and collection priorities.


Describe long-term disaster intelligence strategies.


These procedures are used by a jurisdiction��s personnel to implement the

immediate life safety procedures and to stabilize the actual scene of the

emergency so that recovery operations can proceed.


Describe/identify the procedures to be followed by Fire personnel to

contain and stabilize a disaster (e.g., fire suppression, victim rescue,

victim and equipment decontamination, equipment staging).

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Describe/identify the procedures to be followed by Law Enforcement

personnel to contain and stabilize a disaster (e.g., crowd control,

hostage negotiation, evacuation of areas, collection of evidence).


Describe/identify the procedures to be followed by personnel to

implement specific Search-and-Rescue operations (e.g., confined

space, heavy equipment, river rescue, dive teams).


Describe/identify the procedures of the jurisdiction��s support agencies

to assist in the stabilization of the actual disaster site (e.g., public

works to support heavy equipment rescue needs, engineer��s office to

control or provide access to/from the immediate area).


Describe/identify how the jurisdiction will arrange and integrate outside

response/support efforts when local abilities are limited or exhausted

(e.g., Mutual Aid, and private, State, and Federal assets).


Describe/identify how the jurisdiction will provide food, shelter, and

alternate water supplies needed to support personnel conducting

Incident Scene Operations.


Describe/identify the functions of and the procedures used to establish

formal exclusion zones to protect the public (e.g., hot or evacuation

area, and warm or safety/buffer zones).


These procedures are employed on-scene to ensure responder safety.


Describe the purpose of appointing a Safety Officer and the

procedures the Officer will use to manage the safety of on-scene

personnel (e.g., brief personnel on existing hazards, halt operations

that are unsafe).


Describe the procedures and agencies used to recognize and provide

rest/rehabilitation for responders (e.g., heat stress, fluid retention,

mental fatigue, backup personnel).


Describe/identify the procedures and personnel used to establish an

accountability system for on-scene personnel who are operating

in/around the immediate hazard area.


Describe/identify the safety procedures in place to operate within a

defined exclusion zone (e.g., hot or evacuation area, and warm or

safety/buffer zone), including accounting for personnel as they enter

and leave the hazard zones.


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Describe the jurisdiction��s procedures to set up and/or provide

decontamination at the scene of any emergency (e.g., contamination

by floodwaters or other infectious hazard). Note: This topic may be

addressed in the separate hazard-specific sections.


Describe/identify plans, procedures, and protocols to protect fatality

management personnel from infectious diseases, environmental,

radiological, chemical, and other hazards when handling remains.


Describe the procedures and agencies used to provide mental health

support to responders during and after an incident (also known as

critical incident stress debriefings).




These procedures are used to provide immediate medical assistance to those

directly impacted by the emergency.


Describe/identify the procedures to be followed by emergency medical

personnel to contain and stabilize a disaster (e.g., set up triage,

provide initial treatment, conduct/coordinate transport).


Describe/identify the procedures to be followed for tracking patients

from the incident scene through their courses of care.


Describe how emergency system patient transport and tracking

systems are interoperable with national and DoD systems.


Describe/identify the procedures used to coordinate with private

agencies to support on-scene medical operations (e.g., air ambulance,

private EMS), including the process of staging and integrating those

assets at the scene.


Describe/identify the agencies and unique procedures used to manage

on-scene functions of mass casualty/fatality events (e.g., identification

of bodies, expansion of mortuary services, notification of next-of-kin).


Describe/identify the process for using hospitals, nursing homes,

and/or other facilities as emergency treatment centers or as mass

casualty collection points.

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Describe/identify the process for identifying shortfalls in medical

supplies (e.g., backboards, medicines) and then acquiring those

additional resources either locally or from external sources.


Describe/identify the procedures that hospitals, within or outside of the

jurisdiction, will use to assist medical operations with on-scene

personnel (e.g., prioritize patient arrival, divert patients to other sites

when full/less capable, conduct decontamination, provide triage team



Describe the procedures the Coroner will implement during a disaster

(e.g., victim identification, morgue expansion, mortuary services,

Disaster Mortuary Operational Response Team [DMORT] activation)

and how they will be coordinated with responders (e.g., EMS officer,

ICP/EOC, local hospitals).


Describe plans for recovering human remains, transferring them to the

mortuary facility, establishing a Family Assistance Center (FAC),

assisting with personal effects recovery, conducting autopsies,

identifying victims, and returning remains to the victims�� families for

final disposition.


Describe the procedures that health department personnel will follow to

support on-scene medical and local hospitals in obtaining additional

resources when local supplies are likely to be exhausted.


This system provides reliable, timely, and effective information/warnings to the

public at the onset and throughout a disaster.


Describe/identify the procedures and agencies used to

initiate/disseminate the initial notification that a disaster or threat is

imminent or has occurred (e.g., EAS activation, door-to-door, sirens,

cable/TV messages).


Describe/identify the procedures and agencies used to provide

continuous and accessible public information about the disaster

(e.g., media briefings, press releases, cable interruptions, EAS),

secondary effects, and recovery activities.


Describe/identify the procedures and agencies used to ensure that

information provided by all sources includes the necessary content to

enable reviewers to determine its authenticity and potential validity.


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Describe/identify plans, procedures, programs, and systems to control

rumors by correcting misinformation rapidly.


Describe the procedures and agencies used to alert and inform

special-needs populations in the workplace, public venues, and in their



Describe the role of a public information officer (PIO) and describe the

procedures this person will use to coordinate public information

releases (e.g., working with media at the scene, using a Joint

Information Center [JIC], coordinating information among

agencies/elected officials).


Describe how responders/local officials will use and work with the

media during an emergency (e.g., schedule press briefings, establish

media centers on-scene, control access to the scene, responders,



Describe the use of Emergency Condition Levels (ECLs) in the public

notification process (e.g., snow emergencies, HAZMAT incidents,

nuclear power plant events).


Include prepared public instructions and/or prescripted EAS messages

for identified hazards, including materials for managers of congregate

care facilities, such as childcare centers, group homes, assisted living

centers, and nursing homes.


Describe the procedures and agencies used to manage rumor control

on- and off-scene (e.g., monitoring AM/FM radio and television



List the local media contacts and identify their abilities to provide



These procedures are followed to implement and support protective actions by

the public and coordinate an evacuation.


Describe the jurisdiction��s plans, procedures, and protocols to

coordinate evacuations and sheltering-in-place.


Describe the protocols and criteria used to decide when to

recommend evacuation or sheltering-in-place.

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Describe the conditions necessary to initiate an evacuation or

sheltering-in-place and identify who has the authority to initiate such



Describe the procedures and agencies used to conduct the

evacuation (of high-density areas, neighborhoods, high-rise buildings,

subways, airports, special events venues, etc.) and to provide

security for the evacuation area.


Describe the plan for receiving evacuees due to hazards in

neighboring jurisdictions.


Describe the procedures and agencies used to exchange information

between and among the evacuating jurisdiction, the receiving

jurisdiction(s), and the jurisdictions that evacuees will pass through.


Describe coordination strategies for managing and possibly relocating

incarcerated persons during a crisis response.


Describe how and when the public is notified, including the actions

they may be advised to follow during an evacuation, while sheltering

in place, upon the decision to terminate sheltering-in-place, and

throughout the incident.


Describe the protocols and criteria the jurisdiction will use to

recommend termination of sheltering-in-place.


Describe/identify the procedures and resources (e.g., both

pre-identified and ad-hoc collection points, staging areas,

transportation resources) used to identify and assist moving

evacuees, including assisting special-needs populations, persons

with mobility impairments, and persons in institutions.


Describe the procedures used to provide for the care of the

evacuees�� service animals/pets/livestock or to instruct evacuees on

how to manage their service animals/pets/livestock during an



Describe how agencies coordinate the decision to return evacuees to

their homes, including informing evacuees about any health concerns

or actions they should take when returning to homes/businesses.


Describe/identify the procedures and resources used to identify and

assist the return of evacuees to their homes/communities, including

special-needs populations.


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Describe the procedures used when the general public refuses to

evacuate (e.g., implement forced removal, contact next of kin, place

unique marking on homes, take no action).


These procedures implement sheltering and mass-care operations for the



Describe the procedures and agencies used to identify, open, and

staff emergency shelters, including temporarily using reception

centers while waiting for shelters to open officially.


Describe the agencies and methods used to provide for short-term

lodging and mass-care needs (e.g., beds/rest, food/water, crisis

counseling, phones, clergy support, special-needs experts).


Describe how shelters coordinate their operations with on-scene and

other off-site support agencies (e.g., expected numbers evacuated,

emergency medical support).


Describe how shelters keep evacuees informed about the status of

the disaster, including information about actions that may need to be

taken when evacuees return home.


Describe the agencies and methods used to provide care and support

for institutionalized or special-needs individuals (e.g., medical and

prescription support, durable medical equipment, child care,

transportation, foreign language interpreters) and their caregivers.


Describe the procedures and agencies used to care for companion

and service animals brought to the shelters by the evacuees.


Describe the procedures and agencies used to notify or inform the

public about the status of injured or missing relatives.


Describe the methods to identify, screen, and handle evacuees

exposed to the hazards posed by the disaster (e.g., infectious waste,

polluted floodwaters, chemical hazards) and to keep the shelter free

of contamination.


Describe arrangements in place with other jurisdictions for receiving

their assistance in sheltering, including providing shelters when it is

not practical locally (e.g., no available shelters or staff support).

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Describe the procedures and agencies used to identify and address

the general public��s ��unmet needs�� during the disaster.


These procedures provide for the public��s general health as a result of the



Describe the agencies and methods used to maintain efficient

surveillance systems supported by information systems to facilitate

early detection, reporting, mitigation, and evaluation of expected and

unexpected public health conditions.


Describe the agencies and methods used to determine the public

health issues created by the disaster (e.g., food/water safety,

biological concerns) and to prioritize how the issues will be managed,

including how this process is coordinated with the ICP/EOC

(e.g., issue vaccinations, establish quarantines).


Describe the agencies and alternate methods used to provide potable

water to the jurisdiction when the water systems are not functioning

(e.g., private sources, boil orders, private wells).


Describe the agencies and alternate methods used to provide

alternate sources for human waste disposal (e.g., arrange portable

latrines, encourage sharing with those on own septic systems).


Describe the procedures and agencies used to assess and provide

mental health services for the general public impacted by the disaster

(critical incident stress debriefings).


Describe/identify the procedures used to assess and provide vector

control services (e.g., insect and rodent controls, biological

wastes/contamination, use of pesticides).


Describe/identify the procedures used to assess and provide food

production and agricultural safety services (e.g., conducting a

coordinated investigation of food and agricultural events or

agricultural or animal disease outbreaks).


Describe the use and coordination of health professionals, incident

commanders, and PIOs to issue public health media releases and

alert the media.


INTERIM - Comprehensive Preparedness Guide 101 August 2008


Describe/identify the procedures and agencies involved in initiating,

maintaining, and demobilizing medical surge capacity, including

Mutual Aid Agreements for medical facilities and equipment.


Describe/identify the procedures used to assess and provide animal

care services (e.g., remove and dispose of carcasses, rescue/recover

displaced pets/livestock, treat endangered wildlife) and the agencies

utilized in this process (e.g., veterinarians, animal hospitals, Humane

Society, State DNR).


Describe the procedures and agencies used to identify and respond

to grave sites/cemeteries that are impacted by the disaster

(e.g., recover and replace unearthed/floating/missing coffins, review

records to confirm identification, manage closed/historical gravesites).


Describe the use and coordination of health professionals from

outside agencies to support local response needs (e.g., poison

control centers, State/Local Departments of Health/Public Health,

Centers for Disease Control [CDC], Funeral Directors Association,

U.S. Department of Agriculture [USDA], Food and Drug

Administration [FDA], Medical Reserve Corps [MRC]).


Identify potential sources for medical and general health supplies that

will be needed during a disaster (e.g., medical equipment,

pharmaceutical supplies, laboratories, toxicologists). Note: This

information could be maintained under a separate Tab or as part of a

comprehensive resource manual.


This response procedure is needed to identify and coordinate the control of

public utilities and transportation issues that could otherwise create additional

hazards to the local population.


Describe/identify the likely types of energy and utility problems that

will be created as result of the emergency (e.g., downed power lines,

wastewater discharges, ruptured underground storage tanks).


Describe/identify the procedures and agencies used to identify,

prioritize, and coordinate energy and utility problems that will be

created as a result of the disaster (e.g., shut off gas/electricity to

flooded areas, restore critical systems, control underground

water/gas main breaks).

August 2008 INTERIM - Comprehensive Preparedness Guide 101


Describe the procedures and agencies used to identify, prioritize, and

coordinate the removal of debris from roadways to ensure access for

local responders (e.g., snow/debris removal, stream clearance of

debris/ice), including coordinating road closures and establishing

alternate routes of access.


Describe the procedures and agencies used to protect affected

populations during a disaster when there are periods of extreme

temperatures and/or shortages of energy, including how the

jurisdiction coordinates with energy-providing companies during



These procedures are used to determine the extent of damage caused by the

disaster to private and public property and facilities.


Describe the procedures and agencies used to conduct and

coordinate damage assessments on private property (e.g., home

owners, businesses, renters).


Describe the procedures and agencies used to conduct and

coordinate damage assessments on public property

(e.g., government, private, not-for-profit).


Describe the processes used to collect, organize, and report damage

information to other County, State, or Federal operations centers

within the first 12 to 36 hours of the disaster/emergency.


Describe the procedures for requesting supplemental State/Federal

assistance through the State EMA.


Include copies of the damage assessment forms used locally

(e.g., State-adopted or -recommended EMA��s damage and needs

assessment form or a County equivalent). Note: These may be

attached as a Tab to the plan.


This procedure describes how the jurisdiction will coordinate the cleanup and

disposal of debris from the disaster site. Note: Check to see if your State has

developed specific planning guidance on how to develop a debris management

program and subsequent plans.


INTERIM - Comprehensive Preparedness Guide 101 August 2008


Describe the procedures used to coordinate the debris collection and

removal process (e.g., gather and recycle materials, establish

temporary storage sites, sort/haul debris).


Describe the procedures for communicating debris management

instructions to the general public (e.g., separation/sorting of debris,

scheduled pickup times, drop-off sites for different materials),

including a process for issuing routine updates.


Describe the procedures and agencies used to assess and resolve

potential health issues related to the debris removal process

(e.g., mosquito/fly infestation, hazardous and infectious wastes).


Describe the procedures and agencies used to inspect and arrange

for the inspection and subsequent disposal of contaminated food

supplies (e.g., from restaurants, grocery stores).


Identify the agencies likely to be used to provide technical assistance

on the debris removal process (e.g., State Environmental Protection

Agency, State Department of Health/Public Health, State Department

of Agriculture, Local and surrounding County Health Departments).


Describe the procedures and agencies (e.g., Local building

inspectors, private contractors) used to condemn, demolish, and

dispose of structures that present a safety hazard to the public.


Pre-identify potential trash collection and temporary storage sites,

including final landfill sites for specific waste categories

(e.g., vegetation, food, dead animals, hazardous and infectious

wastes, construction debris, tires/vehicles).


These methods are used to repair and replace roads and bridges and restore

public utilities.


Describe standards and procedures to identify qualified contractors

offering recovery/restoration services.


Describe/identify procedures to coordinate credentialing protocols so

lifeline personnel have access to critical sites following an incident.


Describe the procedures used to identify, prioritize, and coordinate

the work to repair/restore local roads, bridges, and culverts

(e.g., along City, County, Township, State, Interstate, and

U.S. routes).

August 2008 INTERIM - Comprehensive Preparedness Guide 101


Describe the procedures and agencies used to repair/restore local

water and waste systems (e.g., water/waste treatment plants,

sewer/water lines, public/private wells), including providing temporary

water and waste systems until normal operations resume.


Describe the procedures and agencies used to prioritize and

coordinate the repair/restoration of vital services (e.g., gas, electric,

phone), including conducting safety inspections before the general

public is allowed to return to the impacted area.


Describe the procedures used to incorporate and coordinate

assistance from State, Federal, and private organizations (e.g., State

Building Inspectors/Contractors, Local/State Historical Preservation

Office, Federal Highway Administration [FHA], private contractors).


This process is used to coordinate the collection and distribution of goods and

monies that will be donated following an emergency.


Describe the procedures and agencies used to establish and staff

donation management functions (e.g., set up toll-free hotlines, create

databases, appoint a donations liaison/office, use support



Describe the procedures and agencies used to verify and/or vet

voluntary organizations and/or organizations operating relief funds.


Describe the procedures and agencies used to collect, sort, manage,

and distribute in-kind contributions, including procedures for

disposing of or refusing goods that are not acceptable.


Describe the procedures used to coordinate donation management

issues with neighboring districts and the State��s donations

management system.


Describe the process used to tell the general public about the

donations program (e.g., instructions on items to bring and not bring,

scheduled drop-off sites and times, the way to send monies),

including a process for issuing routine updates.


Describe the procedures and agencies used to handle the

spontaneous influx of volunteers.


INTERIM - Comprehensive Preparedness Guide 101 August 2008


Describe the procedures and agencies used to receive, manage, and

distribute cash contributions.


Pre-identify sites that will likely be used to sort and manage in-kind

contributions (e.g., private warehouses, government facilities).


These sections describe emergency response strategies that apply only to a

specific hazard. Note 1: Hazard-specific information can be integrated into the

above response and recovery sections if the local community believes such

integration would make the plan easier to read and use. This information may

also be addressed in completely separate stand-alone plans. In a stand-alone

case, the EOP shall include specific references to those plans when appropriate

and also provide a brief summary on how the EOP procedures are to be

coordinated with the stand-alone procedures. Note 2: Some hazards have

unique planning requirements that are required and/or recommended to be

discussed as per specific State and Federal laws. The local EMA must review

those requirements and determine how the EOP can best address and meet

those legal requirements. The items below attempt to identify any such legal

requirements for developing plans and procedures on the basis of a specific



These events are created by nature and are typically weather related. Note: The

following events are not the only natural hazards. The County must complete its

own hazard analysis to identify what natural incidents will require activation of the

EOP procedures.


Address the hazard-unique procedures and methods the jurisdiction uses to

prepare for and respond to flood emergencies/disasters (e.g., flash floods,

inundation floods, floods resulting from dam failures or ice jams).


Describe/identify the jurisdiction��s specific concerns, capabilities,

training, procedures, agencies, and resources that will be used to

mitigate against, prepare for, respond to, and recover from floods.

Include a hazard summary that discusses where (e.g., 100-year and

common floodplains) and how floods are likely to impact the


August 2008 INTERIM - Comprehensive Preparedness Guide 101


Address the hazard-unique procedures and methods the jurisdiction uses to

prepare for and respond to tornado emergencies/disasters.


Describe/identify the jurisdiction��s specific concerns, capabilities,

training, procedures, agencies, and resources that will be used to

mitigate against, prepare for, respond to, and recover from tornadoes.

Include a hazard analysis summary that discusses where/how

tornadoes are likely to impact the jurisdiction (e.g., historical/seasonal

trends, damage levels F1 through F5).

Winter Storms

Address the hazard-unique procedures and methods the jurisdiction uses to

prepare for and respond to winter storm emergencies/disasters.


Describe/identify the jurisdiction��s specific concerns, capabilities,

training, procedures, agencies, and resources that will be used to

mitigate against, prepare for, respond to, and recover from winter

storms (e.g., blizzards, ice jams, ice storms). Include a hazard analysis

summary that discusses where/how winter storms are likely to impact

the jurisdiction.


Address the hazard-unique procedures and methods the jurisdiction uses to

prepare for and respond to drought emergencies/disasters.


Describe/identify the jurisdiction��s specific concerns, capabilities,

training, procedures, agencies, and resources that will be used to

mitigate against, prepare for, respond to, and recover from droughts

(e.g., water conservation, public water outages, wildfire issues).

Include a hazard analysis summary that discusses where/how

droughts are likely to impact the jurisdiction.


Address the hazard-unique procedures and methods the jurisdiction uses to

prepare for and respond to earthquake emergencies/disasters.


Describe/identify the jurisdiction��s specific concerns, capabilities,

training, procedures, agencies, and resources that will be used to

mitigate against, prepare for, respond to, and recover from

earthquakes. Include a hazard analysis summary that discusses

where/how earthquakes are likely to impact the jurisdiction.


INTERIM - Comprehensive Preparedness Guide 101 August 2008


These events are emergencies that involve materials created by man and pose a

unique hazard to the general public and environment. The jurisdiction needs to

consider events that are caused by accident (e.g., mechanical failure, human

mistake) or result of an emergency caused by another hazard (e.g., flood, storm)

or are caused intentionally.


Address the hazard-unique procedures and methods to prepare for and respond

to releases that involve radiological materials that are at licensed facilities or in



Describe/identify the jurisdiction��s specific concerns, capabilities,

training, procedures, agencies, and resources that will be used to

mitigate against, prepare for, respond to, and recover from radiological

hazards. Include a hazard analysis summary that discusses

where/how radiological materials are likely to impact the jurisdiction,

including incidents that occur at fixed facilities, along transportation

routes, or as fallout from a nuclear weapon.


If applicable, describe/include procedures that address the

requirements of FEMA/NRC (U.S. Nuclear Regulatory Commission)

NUREG 0654 and Code of Federal Regulations (CFR) Part 44,

Section 350, as it applies to the jurisdiction��s planning for

emergencies/disasters involving regulated nuclear power plants.

Hazardous Materials

Address the hazard-unique procedures and methods used to prepare for and

respond to releases that involve HAZMAT that is manufactured, stored, or used

at fixed facilities or in transport. This section may include materials that exhibit

incendiary or explosive properties when released. Note: Some States have laws

that require each Local Emergency Planning Committee (LEPC) to develop a

Chemical Emergency Preparedness and Response Plan on this topic. Some

States have laws requiring the Local EMA to incorporate the LEPC��s plan into the

EMA��s planning and preparedness activities. Specific planning criteria

established by a State Emergency Response Commission (SERC) must be

reviewed and addressed in order to develop the LEPC plan.


For LEPCs that complete a stand-alone plan, describe how the

jurisdiction coordinates that plan��s procedures with the EOP.

August 2008 INTERIM - Comprehensive Preparedness Guide 101


For LEPC plans that are part of the EOP, describe how the planning

team utilized and adhered to the SERC criteria in order to be in

compliance with those requirements and the EOP requirements

discussed above.

Biological Emergencies

Address the hazard-unique procedures and methods to prepare for and respond

to incidents that are biological in nature (e.g., viruses, bacteria, infectious wastes,



Describe/identify the jurisdiction��s specific concerns, capabilities,

training, procedures, agencies, and resources that will be used to

mitigate against, prepare for, respond to, and recover from epidemic

diseases and biological incidents (e.g., West Nile virus, hoof and

mouth disease, smallpox). Include a hazard analysis summary that

discusses where/how biological incidents are likely to impact the



These are disasters created by man, either intentionally or by accident.

Note: The jurisdiction must complete its own hazard analysis to identify what

social incidents will require activation of the EOP��s procedures.

Terrorist Acts

Describe/identify the jurisdiction��s specific concerns, capabilities, training,

procedures, agencies, and resources that will be used to mitigate against,

prepare for, respond to, and recover from terrorist acts. The attacks covered

should include, but not be limited to, attacks involving weapons of mass

destruction (WMDs), such as CBRNE materials. Note: Some State EMAs or

Homeland Security offices have developed specific guidance for this planning

element. Specific planning criteria are established in that guidance, and it must

be reviewed in order to develop the terrorism plan.


Address and ensure the State��s terrorism planning criteria are in

compliance with the EOP requirements discussed above.

Civil Unrest

Address the hazard-unique procedures and methods the jurisdiction uses to

prepare for and respond to civil unrest emergencies/disasters.


Describe/identify the jurisdiction��s specific concerns, capabilities,

training, procedures, agencies, and resources that will be used to


INTERIM - Comprehensive Preparedness Guide 101 August 2008

mitigate against, prepare for, respond to, and recover from civil unrest

emergencies (e.g., riots, school shootings).


This section is to be used when the locality has included procedures that will be

used to prepare for and respond to other hazards as identified in the jurisdiction��s

hazard analysis (e.g., mass casualty, airline/plane crash, train crash/derailment,

school emergencies).


Describe/identify the jurisdiction��s specific concerns, capabilities,

training, procedures, agencies, and resources that will be used to

mitigate against, prepare for, respond to, and recover from other

hazards as defined in the jurisdiction��s hazard analysis.

August 2008 INTERIM - Comprehensive Preparedness Guide 101

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D-34 INTERIM - Comprehensive Preparedness Guide 101 August 2008




Hazard Profile Worksheet


Potential magnitude (Percentage of the community that can be affected):

Catastrophic: More than 50%

Critical: 25 to 50%

Limited: 10 to 25%

Negligible: Less than 10%

Frequency of Occurrence:


Highly likely: Near 100% probability in next year.


Likely: Between 10 and 100% probability in next year, or at

least one chance in next 10 years.


Possible: Between 1 and 10% probability in next year, or at

least one chance in next 100 years.


Unlikely: Less than 1% probability in next 100 years.

Seasonal Pattern:

Areas Likely to be Affected Most:

Probable Duration:

Potential Speed of Onset (Probable amount of warning time):


Minimal (or no) warning.


6 to 12 hours warning.


12 to 24 hours warning.


More than 24 hours warning.

Existing Warning Systems:

Does a Vulnerability Analysis Exist?

Yes •

No •

August 2008 INTERIM - Comprehensive Preparedness Guide 101

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E-2 INTERIM - Comprehensive Preparedness Guide 101 August 2008






Managing Emergency Operations


Situation Reporting2

Damage Assessment


Alert, Warning, Notification


Emergency Public Information


Communication Systems


Resource Management


Human Resources8

Search & Rescue


Public Works


Public Health Services


Animal Considerations


Fire Services13

Emergency Medical Services


Law Enforcement Services

15 Coroner/Medical Examiner 16

Population Relocation




Human Services


Donated Goods & Services20

Emergency Fiscal & Administrative


Ambulance Service S S S S S S S S S S

American Red Cross S S S S S S S S S S S S S P S

Building Inspection



Business & Industry S S S S S S S S S S S S

Campuses, Universities S S S S S S S S

Churches S S S S S S S S

Civil Air Patrol S S S S S S S S

Communications Dept. S S S S S S S

Community Service






Data Processing S S S S S S S

Department of Health S S S S S S P S S

Emergency Management



Equipment Management S S S S S S S S

Finance S S S S S S S

Fire Services S S S S S S S S S P P S S S S

Funeral Directors Assoc. S S S S S S S S

Fleet Services S S S S S S S S

General Services S S S S S S S S

Hospitals S S S S S S S S S

Human Resources S S S S S S S S P S

Humane Society S S S S S S S P S

August 2008 INTERIM - Comprehensive Preparedness Guide 101



Managing Emergency Operations


Situation Reporting2

Damage Assessment


Alert, Warning, Notification


Emergency Public Information


Communication Systems


Resource Management


Human Resources8

Search & Rescue


Public Works


Public Health Services


Animal Considerations


Fire Services13

Emergency Medical Services


Law Enforcement Services


Coroner/Medical Examiner


Population Relocation




Human Services


Donated Goods & Services20

Emergency Fiscal & Administrative


Information Mgt. Services S S S S S S S S S

Law Enforcement S S S S S S S P S S S P S P S S

Media S S S S S S S S

National Guard S S S S S S S S

Other NGOs S S S S S S S S S

Parks & Recreation S S S S S S P S S S

Personnel Board S S S S S S S S S

Public (General) S S S S S S S

Public Works S S S S S S S P S S S S S S

Purchasing Department S S S S S S S


Risk Management S S S S S S S

Salvation Army S S S S S S S S S S

Schools (Districts) S S S S S S S S P S S

Tax Assessor S S S S S S S

Utilities S S S S S S S S S

Veterinarians S S S S S S S S S S

Volunteer Organizations S S S S S S S S S S

S= Secondary; P= Primary.

F-2 INTERIM - Comprehensive Preparedness Guide 101 August 2008




ESF #1 – Transportation

ESF #2 – Communications

ESF #3 – Public Works and EngineeringESF #4 – FirefightingESF #5 – Emergency Management

ESF #6 – Mass Care, Housing, and Human

ServicesESF #7 – Resources Support

ESF #8 – Public Health and Medical Services

ESF #9 – Search and Rescue

ESF #10 – Oil and Hazardous Materials Response

ESF #11 – Agriculture and Natural Resources

ESF #12 – EnergyESF #13 – Public Safety and Security

ESF #14 – Long-Term Recovery and Mitigation

ESF #15 – Emergency Public Information

Office of Homeland Security and/or

Emergency Management


Agriculture and Forestry S P S S SS SS P S S S

Budget, Finance, and Management S S

Culture, Recreation, and Tourism S S S S S S S S S

Department of Corrections SS S S S S S S

Department of Health and Hospitals SS S S S S P S S S S

Department of Transportation P S P S S SS SS S S S S

Department of Wildlife and Fisheries SS S S P S S S S

Economic Development S S S P S

Education S S S

Environmental Quality S S S P S S S

Fire Marshal S S SS S

Indian Affairs S S

Justice S S P S

Labor S S S S S

National Guard S P S S S S P S SS S S S S S

Natural Resources S S S S S S P S S S

Public Service Commission SS S P S S

Social Services S S P S S S

State Police S P S S S P P S S

Volunteer Organizations SS S S SS S S S S

August 2008 INTERIM - Comprehensive Preparedness Guide 101

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G-2 INTERIM - Comprehensive Preparedness Guide 101 August 2008











Element Deliverables When




Status of all modal State liaison/

systems, air, sea, ERT-A/FCO

land, rail reports

Status of major/primary State

roads Department of


Status of critical and Initial

noncritical bridges

Status of



team reports




on airports within

1 to 6 hours after




natural gas and fuel




ESF-1 Situation



Remainder not

Status of evacuation U.S. Army GIS products less than (NLT)

12 hours after

routes Corps of landfall


Status of public transit

systems Remote


Accessibility concerns reconnaissance

Debris issues Predictive


EOC Status

Status of Local EOCs

Status of State EOC

Status of Agency EOCs

Location and status of

Federal facilities


State liaison/








Support Team







GIS products


NLT 1 hour after


What are the State and

Local priorities?


status (+/- two


What are the major

State operations in

support of the Local


What support is being

State liaison/


Open sources

and media




Section input

for situation



NLT 6 hours after


Updated every


received from other Briefings

States under JIC



Assistance Compacts?

August 2008 INTERIM - Comprehensive Preparedness Guide 101


(Intentionally Blank)

H-2 INTERIM - Comprehensive Preparedness Guide 101 August 2008

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