Emergency Management
National Incident Management System Third Edition October 2017
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Homeland Security
October I 0, 20 17
Dear National Incident Management System Community:
Secretary U.S. Department of Homeland Security Washington, DC 20528
Originally issued in 2004, the National Incident Management System (NIMS) provides a consistent nationwide template to enable partners across the Nation to work together to prevent, protect against, respond to, recover from , and mitigate the effects of incidents, regardless of cause, size, location, or complexity.
Since the Federal Emergency Management Agency (FEMA) last revised the N IMS guidance in 2008, the risk environment has evolved, and our national incident management capabilities have matured. This revision incorporates lessons learned and best practices from a wide variety of disciplines, at all levels of government, from the pri vate sector, tribes , and nongovernmental organizations.
The FEMA Administrator, in hi s role as the head of the National Integration Center, is charged with managing and maintaining NIMS, and in accordance with the Post-Katrina Emergency Management Reform Act, will issue the revised NIMS guidance and support its implementation.
I believe this revised vers ion of N IMS advances o ur national preparedness and takes us collecti vely into the future of incident management.
Sincerely,
Acting Secretary
www.dhs.gov
Elaine C. Duke
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U.S. Department of Homeland Security Washington, DC 20472
www.fema.gov
October 10, 2017 Dear NIMS Community: Since the Department of Homeland Security first published the National Incident Management System (NIMS) in 2004, our Nation has made great strides in working together before, during, and after emergencies and planned events. Every day, men and women from a wide variety of organizations work together to save lives and protect property and the environment. This national unity of effort strengthens organizations across the whole community by enabling them to share resources and help one another in times of need. To keep NIMS guidance pertinent, accurate, and up-to-date, FEMA engaged partners and practitioners from a wide variety of disciplines, at all levels of government, from the private sector, tribes, and nongovernmental organizations. This document retains much of the material from the 2008 version of NIMS. It synchronizes the guidance with changes to laws, policies, and best practices, and adds information on the roles of off-scene incident personnel, including senior leaders and staff in emergency operations centers. Perhaps more than any other homeland security guidance, NIMS has always been, and continues to be, the product of practitioners, based on the experience of emergency personnel who respond to incidents every day. As NIMS continues to mature, its purpose remains the same: to enhance unity of effort by providing a common approach for managing incidents. I believe that this document advances that cause and I am pleased to approve and endorse this revised version of NIMS. Sincerely,
Brock Long Administrator
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Contents I. Fundamentals and Concepts of NIMS …………………………………………………………………… 1
Introduction ……………………………………………………………………………………………………………… 1
Applicability and Scope ……………………………………………………………………………………………… 2
NIMS Guiding Principles …………………………………………………………………………………………… 3 Flexibility …………………………………………………………………………………………………………………… 3 Standardization …………………………………………………………………………………………………………… 3 Unity of Effort ……………………………………………………………………………………………………………. 3
Background ………………………………………………………………………………………………………………. 3
Key Terms ………………………………………………………………………………………………………………… 4
Supersession ……………………………………………………………………………………………………………… 5
II. Resource Management ………………………………………………………………………………………….. 6 Resource Management Preparedness …………………………………………………………………………. 6 Identifying and Typing Resources …………………………………………………………………………………. 6 Qualifying, Certifying, and Credentialing Personnel ……………………………………………………….. 7 Planning for Resources ………………………………………………………………………………………………… 8 Acquiring, Storing, and Inventorying Resources ……………………………………………………………… 9
Resource Management During an Incident……………………………………………………………….. 12 Identifying Requirements …………………………………………………………………………………………… 12 Ordering and Acquiring ……………………………………………………………………………………………… 13 Mobilizing ……………………………………………………………………………………………………………….. 15 Tracking and Reporting ……………………………………………………………………………………………… 16 Demobilizing ……………………………………………………………………………………………………………. 16 Reimbursing and Restocking ………………………………………………………………………………………. 16
Mutual Aid ……………………………………………………………………………………………………………… 17
Mutual Aid Agreements and Compacts ………………………………………………………………………… 17 Mutual Aid Process……………………………………………………………………………………………………. 17
III. Command and Coordination ……………………………………………………………………………….. 19 NIMS Management Characteristics………………………………………………………………………….. 20 Common Terminology……………………………………………………………………………………………….. 20 Modular Organization ………………………………………………………………………………………………… 20 Management by Objectives ………………………………………………………………………………………… 21 Incident Action Planning ……………………………………………………………………………………………. 21 Manageable Span of Control ………………………………………………………………………………………. 21 Incident Facilities and Locations …………………………………………………………………………………. 22 Comprehensive Resource Management………………………………………………………………………… 22 Integrated Communications ………………………………………………………………………………………… 22 Establishment and Transfer of Command …………………………………………………………………….. 22 Unified Command …………………………………………………………………………………………………….. 22 Chain of Command and Unity of Command …………………………………………………………………. 23 Accountability ………………………………………………………………………………………………………….. 23 Dispatch/Deployment ………………………………………………………………………………………………… 23 Information and Intelligence Management ……………………………………………………………………. 23
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Incident Command System (ICS) ……………………………………………………………………………… 24
Incident Command and Unified Command …………………………………………………………………… 24 Command Staff …………………………………………………………………………………………………………. 27 General Staff …………………………………………………………………………………………………………….. 28 Common Types of ICS Facilities ………………………………………………………………………………… 31 Incident Management Teams ………………………………………………………………………………………. 32 Incident Complex: Multiple Incident Management within a Single ICS Organization ………… 33 Area Command …………………………………………………………………………………………………………. 33
Emergency Operations Centers (EOC) …………………………………………………………………….. 35 EOC Staff Organizations ……………………………………………………………………………………………. 36 EOC Activation and Deactivation ……………………………………………………………………………….. 38
Multiagency Coordination Group (MAC Group) ……………………………………………………… 40
Joint Information System (JIS) ………………………………………………………………………………… 42 System Description and Components …………………………………………………………………………… 42 Public Information Communications Planning ………………………………………………………………. 46
Interconnectivity of NIMS Command and Coordination Structures ………………………….. 47 Federal Support to Response Activities ………………………………………………………………………… 47
IV. Communications and Information Management ………………………………………………….. 50 Communications Management …………………………………………………………………………………. 52 Standardized Communication Types ……………………………………………………………………………. 52 Policy and Planning …………………………………………………………………………………………………… 52 Agreements ………………………………………………………………………………………………………………. 53 Equipment Standards …………………………………………………………………………………………………. 53 Training …………………………………………………………………………………………………………………… 53
Incident Information ……………………………………………………………………………………………….. 54 Incident Reports ………………………………………………………………………………………………………… 54 Incident Action Plans …………………………………………………………………………………………………. 54 Data Collection and Processing …………………………………………………………………………………… 54
Communications Standards and Formats …………………………………………………………………. 57 Common Terminology, Plain Language, Compatibility …………………………………………………. 57 Technology Use and Procedures …………………………………………………………………………………. 58 Information Security/Operational Security ……………………………………………………………………. 59
V. Conclusion ………………………………………………………………………………………………………….. 60
VI. Glossary ……………………………………………………………………………………………………………… 61
VII. List of Abbreviations …………………………………………………………………………………………… 72
VIII. Resources ……………………………………………………………………………………………………………. 74 NIMS Supporting Documents ………………………………………………………………………………….. 74 Guidelines for the Credentialing of Personnel ……………………………………………………………….. 74 ICS Forms Booklet ……………………………………………………………………………………………………. 74 NIMS Intelligence and Investigations Function Guidance and Field Operations Guide ………. 74 NIMS Resource Center ………………………………………………………………………………………………. 74 NIMS Training Program …………………………………………………………………………………………….. 74
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Relevant Law …………………………………………………………………………………………………………… 75
Homeland Security Act of 2002 ………………………………………………………………………………….. 75 Pet Evacuation and Transportation Standards Act (PETS Act) of 2006…………………………….. 75 Post-Katrina Emergency Management Reform Act (PKEMRA) of 2006 ………………………….. 75 Robert T. Stafford Disaster Relief and Emergency Assistance Act ………………………………….. 75 Sandy Recovery Improvement Act of 2013 ………………………………………………………………….. 75
Additional Supporting Materials ……………………………………………………………………………… 76 Comprehensive Preparedness Guide (CPG) 101: Developing and Maintaining Emergency Operations Plans, Version 2 ……………………………………………………………………………………….. 76 CPG 201, Threat and Hazard Identification and Risk Assessment Guide, Second Edition ….. 76 Emergency Management Assistance Compact (EMAC) …………………………………………………. 76 Incident Resource Inventory System (IRIS) ………………………………………………………………….. 76 National Emergency Communications Plan (NECP) ……………………………………………………… 77 National Information Exchange Model (NIEM) ……………………………………………………………. 77 National Planning Frameworks …………………………………………………………………………………… 77 National Preparedness Goal ………………………………………………………………………………………… 77 National Preparedness System …………………………………………………………………………………….. 77 National Wildfire Coordinating Group (NWCG) …………………………………………………………… 77 Resource Management and Mutual Aid Guidance …………………………………………………………. 78 Resource Typing Library Tool (RTLT) ………………………………………………………………………… 78 United States Coast Guard (USCG) …………………………………………………………………………….. 78 Using Social Media for Enhanced Situational Awareness and Decision Support ……………….. 78
Appendix A. Incident Command System …………………………………………………………………. 79 Purpose …………………………………………………………………………………………………………………… 79
Organization of This Appendix ………………………………………………………………………………… 79
ICS Tab 1—ICS Organization ………………………………………………………………………………………… 81 Functional Structure…………………………………………………………………………………………………… 81 Modular Expansion ……………………………………………………………………………………………………. 81 Command Staff …………………………………………………………………………………………………………. 82
ICS Tab 2—The Operations Section ……………………………………………………………………………….. 86 Operations Section Chief ……………………………………………………………………………………………. 86 Branches ………………………………………………………………………………………………………………….. 87 Divisions and Groups ………………………………………………………………………………………………… 88 Organizing Resources ………………………………………………………………………………………………… 89 Air Operations Branch ……………………………………………………………………………………………….. 90
ICS Tab 3—The Planning Section …………………………………………………………………………………… 91 Planning Section Chief ………………………………………………………………………………………………. 91 Resources Unit ………………………………………………………………………………………………………….. 91 Situation Unit ……………………………………………………………………………………………………………. 92 Documentation Unit…………………………………………………………………………………………………… 92 Demobilization Unit ………………………………………………………………………………………………….. 92 Technical Specialists …………………………………………………………………………………………………. 92
ICS Tab 4—The Logistics Section …………………………………………………………………………………… 94 Logistics Section Chief ………………………………………………………………………………………………. 94 Supply Unit ………………………………………………………………………………………………………………. 94 Facilities Unit …………………………………………………………………………………………………………… 95 Ground Support Unit …………………………………………………………………………………………………. 95
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Communications Unit ………………………………………………………………………………………………… 95
Food Unit …………………………………………………………………………………………………………………. 95 Medical Unit …………………………………………………………………………………………………………….. 96
ICS Tab 5—The Finance/Administration Section …………………………………………………………….. 97 Finance/Administration Section Chief………………………………………………………………………….. 97 Compensation and Claims Unit …………………………………………………………………………………… 97 Cost Unit ………………………………………………………………………………………………………………….. 98 Procurement Unit ………………………………………………………………………………………………………. 98 Time Unit …………………………………………………………………………………………………………………. 98
ICS Tab 6—The Intelligence/Investigations Function ………………………………………………………. 99 Intelligence/Investigations Function in the Planning Section …………………………………………… 99 Intelligence/Investigations Function in the Operations Section ……………………………………… 100 Intelligence/Investigations Function in the Command Staff ………………………………………….. 100 Intelligence/Investigations Function as a Standalone General Staff Section …………………….. 100
ICS Tab 7—Consolidating the Management of Multiple Incidents………………………………….. 102 Incident Complex: Multiple Incidents Managed within a Single ICS Organization ………….. 102 Area Command ……………………………………………………………………………………………………….. 102
ICS Tab 8—Incident Action Planning ……………………………………………………………………………. 105 The Incident Action Planning Process ………………………………………………………………………… 105 Planning “P” …………………………………………………………………………………………………………… 106
ICS Tab 9—ICS Forms …………………………………………………………………………………………………. 111
ICS Tab 10—Primary Functions of Incident Commander or Unified Command, Command Staff, and General Staff Positions ………………………………………………………………………………….. 113
Appendix B. EOC Organizations …………………………………………………………………………… 116 Purpose …………………………………………………………………………………………………………………. 116
Organization of This Appendix ………………………………………………………………………………. 116
EOC Tab 1—Incident Command System (ICS) or ICS-like EOC Structure ……………………. 117 EOC Command Staff ……………………………………………………………………………………………….. 118 Operations Coordination Section ……………………………………………………………………………….. 118 Planning Coordination Section ………………………………………………………………………………….. 118 Logistics Coordination Section ………………………………………………………………………………….. 119 Finance/Administration Coordination Section …………………………………………………………….. 119
EOC Tab 2—Incident Support Model (ISM) EOC Structure …………………………………………. 120 ISM EOC Director’s Staff ………………………………………………………………………………………… 120 Situational Awareness Section ………………………………………………………………………………….. 120 Planning Support Section …………………………………………………………………………………………. 121 Resources Support Section ……………………………………………………………………………………….. 121 Center Support Section …………………………………………………………………………………………….. 121
EOC Tab 3—Departmental EOC Structure …………………………………………………………………… 122
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I. Fundamentals and Concepts of NIMS
Introduction Communities across the Nation experience a diverse set of threats, hazards, and events. The size, frequency, complexity, and scope of these incidents1 vary, but all involve a range of personnel and organizations to coordinate efforts to save lives, stabilize the incident, and protect property and the environment. Every day, jurisdictions and organizations work together to share resources, integrate tactics, and act collaboratively. Whether these organizations are nearby or are supporting each other from across the country, their success depends on a common, interoperable approach to sharing resources, coordinating and managing incidents, and communicating information. The National Incident Management System (NIMS) defines this comprehensive approach.
NIMS guides all levels of government, nongovernmental organizations (NGO), and the private sector to work together to prevent, protect against, mitigate, respond to, and recover from incidents. NIMS provides stakeholders across the whole community2 with the shared vocabulary, systems, and processes to successfully deliver the capabilities described in the National Preparedness System.3 NIMS defines operational systems, including the Incident Command System (ICS), Emergency Operations Center (EOC) structures, and Multiagency Coordination Groups (MAC Groups) that guide how personnel work together during incidents. NIMS applies to all incidents, from traffic accidents to major disasters.
The jurisdictions and organizations involved in managing incidents vary in their authorities, management structures, communication capabilities and protocols, and many other factors. NIMS provides a common framework to integrate these diverse capabilities and achieve common goals. The guidance contained in this document incorporates solutions developed over decades of experience by incident personnel across the Nation.
This document is organized into three major components:
• Resource Management describes standard mechanisms to systematically manage resources, including personnel, equipment, supplies, teams, and facilities, both before and during incidents in order to allow organizations to more effectively share resources when needed.
1 In this document, the word “incident” includes planned events as well as emergencies and/or disasters of all kinds and sizes. See the Glossary for additional information. 2 Whole community is a focus on enabling the participation in incident management activities of a wider range of players from the private and nonprofit sectors, including NGOs and the general public, in conjunction with the participation of all levels of government in order to foster better coordination and working relationships. 3 The National Preparedness System outlines an organized process to help the whole community achieve the National Preparedness Goal. It comprises and builds on existing policies, programs, and guidance to include the National Planning Frameworks, Federal Interagency Operational Plans, and the National Preparedness Report.
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• Command and Coordination describes leadership roles, processes, and recommended organizational structures for incident management at the operational and incident support levels and explains how these structures interact to manage incidents effectively and efficiently.
• Communications and Information Management describes systems and methods that help to ensure that incident personnel and other decision makers have the means and information they need to make and communicate decisions.
These components represent a building-block approach to incident management. Applying the guidance for all three components is vital to successful NIMS implementation.
Applicability and Scope NIMS is applicable to all stakeholders with incident management and support responsibilities. The audience for NIMS includes emergency responders and other emergency management personnel, NGOs (e.g., faith-based and community-based groups), the private sector, and elected and appointed officials responsible for making decisions regarding incidents. All incident management efforts, regardless of the incident or location, should fully incorporate people with disabilities and other people who have access and functional needs.4 The scope of NIMS includes all incidents, regardless of size, complexity, or scope, and planned events (e.g., sporting events). Table 1 describes the utility of NIMS as incident management doctrine.
Table 1: Overview of NIMS
NIMS Is NIMS Is Not
● A comprehensive, nationwide, systematic approach to incident management, including the command and coordination of incidents, resource management, and information management
● Only the ICS ● Only applicable to certain emergency/incident
response personnel ● A static system
● A set of concepts and principles for all threats, hazards, and events across all mission areas (Prevention, Protection, Mitigation, Response, Recovery)
● A response plan
● Scalable, flexible, and adaptable; used for all incidents, from day-to-day to large-scale ● Used only during large-scale incidents
● Standard resource management procedures that enable coordination among different jurisdictions or organizations
● A resource-ordering system
● Essential principles for communications and information management ● A communications plan
4 Access and functional needs are individual circumstances requiring assistance, accommodation, or modification for mobility, communication, transportation, safety, health maintenance, etc., due to any temporary or permanent situation that limits an individual’s ability to take action during an incident.
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NIMS Guiding Principles Incident management priorities include saving lives, stabilizing the incident, and protecting property and the environment. To achieve these priorities, incident personnel apply and implement NIMS components in accordance with the principles of flexibility, standardization, and unity of effort.
Flexibility NIMS components are adaptable to any situation, from planned special events to routine local incidents to incidents involving interstate mutual aid or Federal assistance. Some incidents need multiagency, multijurisdictional, and/or multidisciplinary coordination. Flexibility allows NIMS to be scalable and, therefore, applicable for incidents that vary widely in terms of hazard, geography, demographics, climate, cultural, and organizational authorities.
Standardization Standardization is essential to interoperability among multiple organizations in incident response. NIMS defines standard organizational structures that improve integration and connectivity among jurisdictions and organizations. NIMS defines standard practices that allow incident personnel to work together effectively and foster cohesion among the various organizations involved. NIMS also includes common terminology, which enables effective communication.
Unity of Effort Unity of effort means coordinating activities among various organizations to achieve common objectives. Unity of effort enables organizations with specific jurisdictional responsibilities to support each other while maintaining their own authorities.
Background NIMS is the culmination of more than 40 years of efforts to improve interoperability in incident management. This work began in the 1970s with local, state,5 and Federal agencies collaborating to create a system called Firefighting Resources of California Organized for Potential Emergencies (FIRESCOPE). FIRESCOPE included ICS and the Multiagency Coordination System (MACS). In 1982, the agencies that developed FIRESCOPE and the National Wildfire Coordinating Group (NWCG) created the National Interagency Incident Management System (NIIMS), in part to make ICS and MACS guidance applicable to all types of incidents and all hazards. Recognizing the value of these systems, communities across the Nation adopted ICS and MACS, but adoption was not universal.
In the aftermath of the 2001 terrorist attacks, the need for an integrated nationwide incident management system with standard structures, terminology, processes, and resources became
5 In this document, “state” refers to the 56 states, territories, and insular areas (which includes any state of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, and the Commonwealth of the Northern Mariana Islands).
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clear. The Department of Homeland Security (DHS) led a national effort to consolidate, expand, and enhance the previous work of FIRESCOPE, NIIMS, and others to develop NIMS.
The Federal Emergency Management Agency (FEMA) published the first NIMS document in 2004 and revised it in 2008. This 2017 version reflects progress since 2008, based on lessons learned, best practices, and changes in national policy, including updates to the National Preparedness System. Additionally, this version:
• Reiterates concepts and principles of the earlier versions of NIMS;
• Provides additional guidance for EOCs; and
• Describes how NIMS command and coordination mechanisms fit together.
Key Terms Several key terms are used throughout this document. While described in greater detail in the Resource Management Component, Command and Coordination Component, and supporting appendices, it is important to define these terms up front.
Area Command: When very complex incidents, or multiple concurrent smaller incidents, require the establishment of multiple ICS organizations, an Area Command can be established to oversee their management and prioritize scarce resources among the incidents. Due to the scope of incidents involving Area Commands and the likelihood of cross-jurisdictional operations, Area Commands are frequently established as Unified Area Commands, working under the same principles as a Unified Command.
Authority Having Jurisdiction: The Authority Having Jurisdiction (AHJ) is an entity that can create and administer processes to qualify, certify, and credential personnel for incident-related positions. AHJs include state, tribal, or Federal government departments and agencies, training commissions, NGOs, or companies, as well as local organizations such as police, fire, public health, or public works departments.
Emergency Operations Center: An EOC is a facility from which staff provide information management, resource allocation and tracking, and/or advanced planning support to personnel on scene or at other EOCs (e.g., a state center supporting a local center).
Incident Commander: The Incident Commander is the individual responsible for on-scene incident activities, including developing incident objectives and ordering and releasing resources. The Incident Commander has overall authority and responsibility for conducting incident operations.
Multiagency Coordination Group: MAC Groups, sometimes called policy groups, typically consist of agency administrators or executives from organizations or their designees. MAC Groups provide policy guidance to incident personnel, support resource prioritization and allocation, and enable decision making among elected and appointed officials and senior executives in other organizations as well as those directly responsible for incident management.
Unified Command: When more than one agency has incident jurisdiction, or when incidents cross political jurisdictions, the use of Unified Command enables multiple organizations to
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perform the functions of the Incident Commander jointly. Each participating partner maintains authority, responsibility, and accountability for its personnel and other resources while jointly managing and directing incident activities through the establishment of a common set of incident objectives, strategies, and a single Incident Action Plan (IAP).
Supersession This document supersedes the NIMS document issued in December 2008 and NIMS Guides 0001 and 0002 (both issued March 2006).
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II. Resource Management NIMS resource management guidance enables many organizational elements to collaborate and coordinate to systematically manage resources—personnel, teams, facilities, equipment, and supplies. Most jurisdictions or organizations do not own and maintain all the resources necessary to address all potential threats and hazards. Therefore, effective resource management includes leveraging each jurisdiction’s resources, engaging private sector resources, involving volunteer organizations, and encouraging further development of mutual aid agreements.
This component includes three sections: Resource Management Preparedness, Resource Management During an Incident, and Mutual Aid.
Resource Management Preparedness Resource management preparedness involves: identifying and typing resources; qualifying, certifying, and credentialing personnel; planning for resources; and acquiring, storing, and inventorying resources.
Identifying and Typing Resources Resource typing is defining and categorizing incident resources by capability. Resource typing definitions establish a common language for discussing resources by defining minimum capabilities for personnel, teams, facilities, equipment, and supplies. Resource typing enables communities to plan for, request, and have confidence that the resources they receive have the capabilities they requested.
FEMA leads the development and maintenance of resource typing definitions for resources shared on a local, interstate, regional, or national scale. Jurisdictions can use these definitions to categorize local assets. When identifying which resources to type at the national level, FEMA selects resources that:
• Are widely used and sharable;
• Can be shared and/or deployed across jurisdictional boundaries through mutual aid agreements or compacts;
• Can be identified by the following characteristics:
‒ Capability: The core capability6 for which the resource is most useful;
‒ Category: The function for which a resource would be most useful (e.g., firefighting, law enforcement, health and medical);
‒ Kind: A broad characterization, such as personnel, teams, facilities, equipment and supplies; and
6 Core capabilities, as defined in the National Preparedness Goal, are essential elements for the execution of the five mission areas: Prevention, Protection, Mitigation, Response, and Recovery.
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‒ Type: A resource’s level of minimum capability to perform its function;
§ The specific metrics used for determining a resource’s type depend on the kind of resource and the mission envisioned (e.g., a mobile kitchen unit is typed according to the number of meals it can produce, while dump trucks are typed according to haul capacity);
§ Type 1 is a higher capability than Type 2, which is higher capability than Type 3, etc.;
§ The level of capability is based on size, power, and capacity (for equipment) or experience and qualifications (for personnel or teams);
• Can be identified, inventoried, and tracked to determine availability;
• Are used for incident management, support, and/or coordination under ICS and/or in EOCs; and
• Are sufficiently interoperable or compatible to allow for deployment through common systems for resource ordering, managing, and tracking.
Resource users at all levels apply these standards to identify and inventory resources. Resource kind subcategories define the capabilities more precisely.
Resource Typing Library Tool
Qualifying, Certifying, and Credentialing Personnel Qualifying, certifying, and credentialing are the essential steps, led by an AHJ, that help ensure that personnel deploying through mutual aid agreements have the knowledge, experience, training, and capability to perform the duties of their assigned roles. These steps help to ensure that personnel across the Nation are prepared to perform their incident responsibilities based on criteria that are standard nationwide.
The Resource Typing Library Tool (RTLT) is an online catalog of NIMS resource typing definitions and job titles/position qualifications. The RTLT is accessible at http://www.fema.gov/resource-management- mutual-aid. From the RTLT home page, users can search by resource type, discipline, core capability, or other key words.
Qualification is the process through which personnel meet the minimum established criteria— training, experience, physical and medical fitness, and capability—to fill specific positions.
Certification/Recertification is the recognition from the AHJ or a third party7 stating that an individual has met and continues to meet established criteria and is qualified for a specific position.
Credentialing occurs when an AHJ or third party provides documentation—typically an identification card or badge—that identifies personnel and authenticates and verifies their qualification for a particular position. While credentialing includes issuing credentials such as 7 Certain positions require third-party certification and/or credentialing from an accredited body such as a state licensure board for medical professionals.
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identification cards, it is separate from an incident-specific badging process, which includes identity verification, qualification, and deployment authorization.
Applying the Qualification, Certification, and Credentialing Process The NIMS qualification, certification, and credentialing process (see Figure 1) uses a performance-based approach. This process enables communities to plan for, request, and have confidence in personnel assigned from other organizations through mutual aid agreements.
Nationally standardized criteria and minimum qualifications for positions provide a consistent baseline for qualifying and credentialing the incident workforce. Along with the job title and position qualifications, the position task book (PTB) is a basic tool that underpins the NIMS performance-based qualification process. PTBs describe the minimum competencies, behaviors, and tasks necessary to be qualified for a position. PTBs provide the basis for a qualification, certification, and credentialing process that is standard nationwide.
Figure 1: Qualification, Certification, and Credentialing of Incident Personnel
FEMA recommends minimum qualifications, but it is AHJs across the Nation that establish, communicate, and administer the qualification and credentialing process for individuals seeking qualification for positions under that AHJ’s purview. AHJs have the authority and responsibility to develop, implement, maintain, and oversee the qualification, certification, and credentialing process within their organization or jurisdiction. AHJs may impose additional requirements outside of NIMS for local needs. In some cases, the AHJ may support multiple disciplines that collaborate as a part of a team (e.g., an Incident Management Team [IMT]).
Planning for Resources Jurisdictions and organizations work together before incidents occur to develop plans for identifying, managing, estimating, allocating, ordering, deploying, and demobilizing resources. The planning process includes identifying resource requirements based on the threats to, and vulnerabilities of, the jurisdiction or organization. Planning also includes developing alternative strategies to obtain needed resources. Resource management personnel should consider resources necessary to support all mission areas (Prevention, Protection, Mitigation, Response, and Recovery).8 Resource management strategies that planners should consider include:
• Stockpiling resources;
8 The National Preparedness Goal and the five National Planning Frameworks describe the mission areas in greater detail.
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• Establishing mutual aid agreements to obtain resources from neighboring jurisdictions;
• Determining how and where to reassign existing resources from non-essential tasks; and/or
• Developing contracts to acquire resources from vendors rapidly when needed.
Resource planners consider the urgency of needs, whether sufficient quantities of items are on hand, and whether the items can be produced quickly enough to meet demand. Stockpiling presents issues concerning shelf life and durability; however, the alternative of acquiring resources just in time also has potential pitfalls. Planners should verify, for example, that multiple jurisdictions are not relying on the same assets or vendors (such as hospitals in the same city relying on one supplier’s stock of surge medical supplies that may be adequate for only one hospital). Jurisdictions should also incorporate protocols for handling and distributing donated resources.
Capability Estimation
§ What do we need to prepare for?
§ What resources do we have that allow us to achieve our targets?
§ What resources can we obtain through mutual aid to be prepared to meet our targets?
For activities that need surge capacity, planning often includes pre-positioning resources. Plans should anticipate conditions or circumstances that trigger a reaction, such as restocking supplies when inventories reach a predetermined minimum.
Acquiring, Storing, and Inventorying Resources
Estimating resource needs is key to resource planning. Through capability estimation, jurisdictions assess their ability to take a course of action. The resulting capability estimate feeds into the resource section of the plan or annex. Capability estimation helps answer the following questions:
Organizations acquire, store, and inventory resources for day-to-day operations, as well as additional resources that the organization has stockpiled for incidents. Those with resource management responsibilities should plan for periodic replenishments, preventive maintenance, and capital improvements. They should also plan for any ancillary support, supplies, or space that may be needed for large or complex resources. Effective resource management involves establishing a resource inventory and maintaining the currency and accuracy of the information. While a resource inventory can be as simple as a paper spreadsheet, many resource managers use information technology (IT)-based inventory systems to track the status of resources and maintain an accurate list of available resources. Accurate resource inventories not only enable organizations to resource incidents promptly, but also to support day-to-day resource management activities such as reconciliation, accounting, and auditing.
The outputs of this process inform a variety of preparedness efforts, including strategic, operational, and/or tactical planning; development of mutual aid agreements and compacts; and hazard mitigation planning.
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Resource Inventorying vs. Resource Tracking
For NIMS purposes, resource inventorying refers to the preparedness activity done outside of incident response. Inventories include an up-to-date count and pertinent details about an organization’s resources. Inventories often provide the basis for resource tracking during an incident.
Resource tracking occurs during an incident and includes the number and status of resources assigned to an incident, the organizational element to which they are assigned, and their progress against applicable work/rest ratios. Incident needs drive the numbers and types of resources tracked.
An effective resource inventory includes the following information regarding each resource:
• Name: The resource’s unique name.
• Aliases: Any other names for the resource, whether formal or informal. These can be radio call signs, license numbers, nicknames, or anything else that helps users identify the resource.
• Status: The resource’s current condition or readiness state.
• Resource Typing Definition or Job Title: This can be either a standard NIMS resource typing definition or job title/position qualification or—for non-typed resources—a local, state, or tribal definition.
• Mutual Aid Readiness: The status of whether the resource is available and ready for deployment under mutual aid.
• Home Location: The resource’s permanent storage location, base, or office. This should also include the home location’s associated latitude/longitude and United States National Grid coordinates to ensure interoperability with mapping and decision support tools.
• Present Location: The resource’s current storage location, base, office, or deployment assignment with associated latitude/longitude and United States National Grid coordinates.
• Point of Contact: Individuals able to provide information and communicate essential information related to the resource.
• Owner: The agency, company, person, or other entity that owns the resource.
• Manufacturer/Model (Equipment Only): The entity that built the resource and the resource’s model name/number. This section also includes the serial number—the resource’s unique identifying number. This is a real-world inventory control number or other value used in official records.
• Contracts: Purchase, lease, rental, or maintenance agreements or other financial agreements associated with the resource.
• Certifications: Documentation that validates the official qualifications, certifications, or licenses associated with the resource.
• Deployment Information: Information needed to request a resource includes:
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‒ Minimum Lead Time (in hours): The minimum amount of time a resource needs to prepare for deployment to the incident.
‒ Maximum Deployment Time (in days): The maximum amount of time a resource can be deployed or involved before it needs to be pulled back for maintenance, recovery, or resupply.
‒ Restrictions: Any restrictions placed on the resource use, deployable area, capabilities, etc.
‒ Reimbursement Process: Any information regarding repayment for items that are reimbursable.
‒ Release and Return Instructions: Any information regarding the release and return of the resource.
‒ Sustainability Needs: Any information regarding actions necessary to maintain the usability of the resource.
‒ Custom Attributes: A customizable field that an agency can add to resource records. This can contain any necessary information that standard fields do not contain.
Resource inventories also account for (and mitigate) the potential for double-counting personnel and/or equipment. Resource summaries should clearly reflect any overlap of personnel, supplies, and/or equipment across different resource pools to avoid overstating the total resources.
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Resource Management During an Incident The resource management process during an incident includes standard methods to identify, order, mobilize, and track resources. In some cases, the identification and ordering process is compressed, such as when an Incident Commander identifies the specific resources necessary for a given task and orders those resources directly. However, in larger, more complex incidents, the Incident Commander relies on the resource management process and personnel in the ICS and EOC organizations to identify and meet resource needs. Figure 2 depicts the six primary tasks of resource management during an incident.
Figure 2: Resource Management Process
Identifying Requirements During an incident, personnel continually identify, validate, and refine resource needs. This process involves identifying the type and quantity of resources needed, the location where resources should be sent, and who will receive and use the resources.
Resource availability and needs constantly change as an incident evolves. Consequently, incident management personnel and their affiliated organizations should coordinate as closely and as early as possible, both in advance of and during incidents.
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Ordering and Acquiring Both incident and EOC staff make initial and ongoing assessments of resource requirements and either activate or request those resources. Incident personnel can order additional resources by executing contracts, implementing mutual aid agreements, or requesting assistance from another level of government (e.g., a local government to a state, or a state to the Federal Government).
Incident and/or EOC personnel request resources based on incident priorities and objectives. They base decisions about resource allocation on jurisdictional or organization protocol (e.g., minimum staffing levels) and, when applicable, the resource demands of other incidents. The organization providing resources consents to the request and communicates any discrepancies between requested resources and those available for delivery.
Resource Requests Organizations that request resources should provide enough detail to ensure that those receiving the request understand what is needed. Using NIMS resource names and types helps ensure that requests are clearly communicated and understood. Requesting organizations should include the following information in the request:
• Detailed item description including quantity, kind, and type, if known, or a description of required capability and/or intended use if not;
‒ If suitable substitute resources or preferred sources exist, these should also be indicated;
‒ If the resource is not a common or standard incident resource, then the requestor should provide detailed specifications;
• Required arrival date and time;
• Required delivery or reporting location;
• The position title of the individual to whom the resource should report; and
• Any incident-specific health or safety concerns (e.g., vaccinations, adverse living/working conditions, or identified environmental hazards).
Personnel are assigned based on their qualifications and the needs of the incident, as well as any jurisdictional licensing requirements or limitations (i.e., personnel in some fields, including law enforcement and medicine, have limited authority outside of the jurisdiction in which they are sworn or licensed).
Incident Assignments Effective and safe incident management depends on all personnel executing their responsibilities according to established guidelines. Personnel deploy to incidents at the request of the appropriate authority. Individuals remain deployment-ready by maintaining the skills, knowledge, certifications, physical fitness, and other items, such as equipment, that their organization requires or recommends.
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Upon notification of deployment, individuals should:
• Review the most recent situation report (if available);
• Identify assignment, deployment location, and travel arrangements;
• Identify assigned supervisor and associated contact information, if possible;
• Obtain a copy of assignment paperwork;
• Review any briefings on worksite security or access procedures and any special environmental or health concerns for the deployment area (if available); and
• Ensure/verify coverage for day-to-day job responsibilities.
When personnel reach their designated incident worksite, they should adhere to accountability procedures, including:
• Check-In: Report in to receive an assignment. (Applies to all personnel regardless of agency affiliation)
• Recordkeeping: Follow incident procedures for documenting their activities. Maintaining complete and accurate records helps with state and Federal assistance, reimbursements, and potential future litigation.
• Communication: Observe radio and/or telephone procedures; use plain language and clear text, not codes.
• Checkout: When notified of their demobilization, follow the local checkout procedures before leaving the incident area. Personnel should complete all work in progress (unless otherwise directed); ensure all records and files are up to date; return or transfer any equipment received in support of the incident; and brief incoming personnel, if applicable, on work status and assignments.
Unrequested Resources During incidents, responders sometimes come to an incident area without being requested. Such personnel converging on a site, commonly referred to as self-dispatching or self-deploying, may interfere with incident management and place an extra logistical and management burden on an already stressed system by:
• Creating additional supervisory, logistical, and safety needs;
• Depleting the resources needed to provide continued services to their home community;
• Complicating resource tracking and accountability; and/or
• Interfering with the access of formally requested resources.
Responders should wait for official deployment notification rather than self-deploying to an incident.
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Mobilizing Personnel and other resources begin mobilizing when notified by the requesting jurisdiction or by an intermediary acting on its behalf, such as the state Emergency Management Assistance Compact (EMAC) coordinator. At the time of notification, deploying personnel should be notified regarding:
• The date, time, and place of departure;
• Mode of transportation to the incident;
• Estimated date and time of arrival;
• Reporting location (address, position title, and phone number or radio frequency);
• Anticipated incident assignment;
• Anticipated duration of deployment;
• Resource order number;
• Incident number; and
• Applicable cost and funding codes.
Resource tracking directly links to the mobilization process. Resources arriving on scene check in according to the receiving organization’s check-in process.
The mobilization process includes:
• Conducting incident-specific deployment planning;
• Equipping;
• Providing just-in-time training;
• Designating assembly points; and
• Delivering resources to the incident on schedule and in line with priorities and budgets.
Mobilizing fixed facility resources, such as laboratories, hospitals, EOCs, shelters, and waste management systems, involves activation rather than deployment. Plans and systems to monitor resource mobilization status should be flexible enough to adapt to both types of resources. Managers plan and prepare for the demobilization process at the same time they begin mobilizing resources.
Survivors as Resources Before emergency responders can mobilize and arrive, neighbors and bystanders are often the first people to provide life-saving assistance. The natural desire to help does not disappear once responders arrive on the scene. Incident management personnel should anticipate this and have plans to use these volunteers’ capabilities safely and effectively.
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Private and Voluntary Organizations Voluntary organizations, such as the American Red Cross or Medical Reserve Corps, also mobilize and provide valuable assistance before, during, and after incidents. These groups provide a structure to integrate volunteers into incident activities. They also frequently have established relationships with the community, provide assistance that governmental organizations cannot, and support requests through formal resource-ordering processes.
Tracking and Reporting Incident managers use established procedures to track resources from mobilization through demobilization. Resource tracking occurs prior to, during, and after an incident. This process helps staff prepare to receive and use resources; tracks resource location; facilitates the safety and security of personnel, equipment, teams, and facilities; and enables effective resource coordination and movement.
Information Management Systems for Resource Management
Information management systems enhance resource status information flow by providing real-time data to jurisdictions, incident personnel, and their affiliated organizations. Information management systems used to support resource management include location-enabled situational awareness and decision support tools with resource tracking that links to the entity’s resource inventory(s).
Demobilizing The goal of demobilization is the orderly, safe, and efficient return of a resource to its original location and status. Once resources are no longer needed on an incident, those responsible for resources should demobilize them. The resource requestor and provider may agree to reassign a resource rather than demobilize it. Prior to demobilization, incident staff responsible for the planning and logistics functions collaborate to plan how resources are rehabilitated, replenished, disposed of, and/or returned or restored to operational condition.
Reimbursing and Restocking Reimbursement includes the payment of expenses incurred by resource providers for specific activities. Reimbursement processes are important for establishing and maintaining resource readiness and establishing the means to pay providers in a timely manner. Processes include mechanisms for collecting bills, validating costs against the scope of the work, replacing or repairing damaged equipment, and accessing reimbursement programs. Reimbursement procedures are often specified in mutual aid and assistance agreements.
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Mutual Aid Mutual aid involves sharing resources and services between jurisdictions or organizations. Mutual aid occurs routinely to meet the resource needs identified by the requesting organization. This assistance can include the daily dispatch of law enforcement, emergency medical services (EMS), and fire service resources between local communities, as well as the movement of resources within a state or across state lines when larger-scale incidents occur. Mutual aid can provide essential assistance to fill mission needs. NIMS resource management guidance supports mutual aid efforts nationwide.
Mutual Aid Agreements and Compacts Mutual aid agreements establish the legal basis for two or more entities to share resources. Mutual aid agreements exist in various forms among and between all levels of government. These agreements support effective and efficient resource management. Mutual aid agreements may authorize mutual aid between two or more neighboring communities, among all jurisdictions within a state, between states, between Federal agencies, and/or internationally. Mutual aid also exists through formal and informal arrangements developed by tribal governments, NGOs, and in various forms within the private sector.
Emergency Management Assistance Compact
EMAC is a congressionally ratified mutual aid compact that defines a non-Federal, state-to-state system for sharing resources across state lines during an emergency or disaster. Signatories include all 50 states, the District of Columbia, Puerto Rico, Guam, and the U.S. Virgin Islands. EMAC’s unique relationships with states, regions, territories, and Federal organizations, such as FEMA and the National Guard Bureau, enable it to move a wide variety of resources to meet the jurisdictions’ needs.
These mutual aid agreements often address participating entities’ liability, compensation, and procedures, and might include some of the following topics:
• Reimbursement: Mutual aid services are either paid or unpaid (e.g., based on providing reciprocal services). Some mutual aid agreements specify reimbursement parameters.
• Recognition of Licensure and Certification: Guidelines to ensure recognition of licensures across geopolitical boundaries.
• Procedures for Mobilization (Request, Dispatch, and Response): Specific procedures for parties to request and dispatch resources through mutual aid.
• Protocols for Voice and Data Interoperability: Protocols that specify how different communications and IT systems share information.
• Protocols for Resource Management: Standard templates for packaging resources based on NIMS resource typing definitions and/or local inventory systems.
Mutual Aid Process Upon receipt of a request for mutual aid, the providing jurisdiction evaluates the request against its capacity to accommodate the temporary loss of the resource(s). For example, resource
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managers in a fire department consider whether the department could still meet its community’s needs after deploying requested equipment and personnel to another jurisdiction.
If the providing jurisdiction determines it can accommodate the requested deployment of resources, it identifies specific resources and arranges their deployment in accordance with the terms of the mutual aid agreement. The receiving jurisdiction can decline resources if they do not meet its needs.
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III. Command and Coordination Local authorities handle most incidents using the communications systems, dispatch centers, and incident personnel within a single jurisdiction. Larger and more complex incidents, however, may begin with a single jurisdiction, but rapidly expand to multijurisdictional and/or multidisciplinary efforts necessitating outside resources and support. Standard incident command and coordination systems allow the efficient integration of these outside resources and enable assisting personnel from anywhere in the Nation to participate in the incident management structure. The Command and Coordination component of NIMS describes the systems, principles, and structures that provide a standard, national framework for incident management.
Regardless of the size, complexity, or scope of the incident, effective command and coordination—using flexible and standard processes and systems—helps save lives and stabilize the situation. Incident command and coordination consist of four areas of responsibility:
1. Tactical activities to apply resources on scene; 2. Incident support, typically conducted at EOCs,9 through operational and strategic
coordination, resource acquisition and information gathering, analysis, and sharing;
3. Policy guidance and senior-level decision making; and 4. Outreach and communication with the media and public to keep them informed about the
incident.
MACS exist to coordinate these four areas across the different NIMS functional groups: ICS, EOCs, MAC Groups, and Joint Information Systems (JIS). The Command and Coordination component describes these MACS structures and explains how various elements operating at different levels of incident management interface with one another. By describing unified doctrine with common terminology, organizational structures, and operational protocols, NIMS enables all those involved in an incident—from the Incident Commander at the scene to national leaders in a major disaster—to harmonize and maximize the effects of their efforts.
9 Because incident support is conducted in a wide variety of different facilities, as well as virtual structures, NIMS uses the term “EOC” to refer to all such facilities, including emergency coordination centers.
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NIMS Management Characteristics The following characteristics are the foundation of incident command and coordination under NIMS and contribute to the strength and efficiency of the overall system:
• Common Terminology • Modular Organization
• Management by Objectives • Incident Action Planning
• Manageable Span of Control • Incident Facilities and Locations
• Comprehensive Resource Management • Integrated Communications
• Establishment and Transfer of Command • Unified Command
• Chain of Command and Unity of Command10 • Accountability
• Dispatch/Deployment • Information and Intelligence Management
Common Terminology NIMS establishes common terminology that allows diverse incident management and support organizations to work together across a wide variety of functions and hazard scenarios. This common terminology covers the following:
• Organizational Functions: Major functions and functional units with incident responsibilities are named and defined. Terminology for incident organizational elements is standard and consistent.
• Resource Descriptions: Major resources—including personnel, equipment, teams, and facilities—are given common names and are typed to help avoid confusion and to enhance interoperability.
• Incident Facilities: Incident management facilities are designated using common terminology.
Modular Organization ICS and EOC organizational structures develop in a modular fashion based on an incident’s size, complexity, and hazard environment. Responsibility for establishing and expanding ICS organizations and EOC teams ultimately rests with the Incident Commander (or Unified Command) and EOC director.11 Responsibility for functions that subordinates perform defaults to the next higher supervisory position until the supervisor delegates those responsibilities. As
10 The concepts of “command” and “unity of command” have distinct legal meanings for military forces and operations. For military forces, command runs from the President to the Secretary of Defense to the commander of the combatant command to the commander of the forces. 11 The term “EOC director” is used throughout NIMS to refer to the individual who heads the team that works in an EOC when it is activated. In actual practice, this position may have a variety of titles, such as EOC Manager or EOC Coordinator, depending on the plans and procedures of the jurisdiction/organization.
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incident complexity increases, organizations expand as the Incident Commander, Unified Command, EOC director, and subordinate supervisors delegate additional functional responsibilities.
Management by Objectives The Incident Commander or Unified Command12 establishes objectives that drive incident operations. Management by objectives includes the following:
• Establishing specific, measurable objectives;
• Identifying strategies, tactics, tasks, and activities to achieve the objectives;
• Developing and issuing assignments, plans, procedures, and protocols for various incident management functional elements to accomplish the identified tasks; and
• Documenting results against the objectives to measure performance, facilitate corrective actions, and inform development of incident objectives for the subsequent operational period.
Incident Action Planning Coordinated incident action planning guides incident management activities. IAPs represent concise, coherent means of capturing and communicating incident objectives, tactics, and assignments for operational and support activities.
Every incident should have an action plan; however, not all incidents need written plans. The necessity for written plans depends on incident complexity, command decisions, and legal requirements. Formal IAPs are not always developed for the initial operational period of no-notice incidents. However, if an incident is likely to extend beyond one operational period, becomes more complex, or involves multiple jurisdictions and/or agencies, preparing a written IAP becomes increasingly important to maintain unity of effort and effective, efficient, and safe operations.
Staff in EOCs also typically conduct iterative planning and produce plans to guide their activities during specified periods, though these are typically more strategic than IAPs.
Manageable Span of Control Maintaining an appropriate span of control helps ensure an effective and efficient incident management operation. It enables management to direct and supervise subordinates and to communicate with and manage all resources under their control. The type of incident, nature of the task, hazards and safety factors, experience of the supervisor and subordinates, and communication access between the subordinates and the supervisor are all factors that influence manageable span of control.
12 When an Area Command is established, many of the responsibilities of an Incident Commander or Unified Command also apply to an Area Commander or Unified Area Command. Area Command is discussed in more detail in Section III.B under Area Command or in the ICS Tab 7—Consolidating the Management of Multiple Incidents.
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Manageable Span of Control
The optimal span of control for incident management is one supervisor to five subordinates; however, effective incident management frequently necessitates ratios significantly different from this. The 1:5 ratio is a guideline, and incident personnel use their best judgment to determine the actual distribution of subordinates to supervisors for a given incident or EOC activation.
Incident Facilities and Locations Depending on the incident size and complexity, the Incident Commander, Unified Command, and/or EOC director establish support facilities for a variety of purposes and direct their identification and location based on the incident. Typical facilities include the Incident Command Post (ICP), incident base, staging areas, camps, mass casualty triage areas, points-of- distribution, and emergency shelters.
Comprehensive Resource Management Resources include personnel, equipment, teams, supplies, and facilities available or potentially available for assignment or allocation. Maintaining an accurate and up-to-date inventory of resources is an essential component of incident management. Section II, the Resource Management component of this document, describes this in more detail.
Integrated Communications Leadership at the incident level and in EOCs facilitates communication through the development and use of a common communications plan, interoperable communications processes, and systems that include voice and data links. Integrated communications provide and maintain contact among and between incident resources, enable connectivity between various levels of government, achieve situational awareness, and facilitate information sharing. Planning, both in advance of and during an incident, addresses equipment, systems, and protocols necessary to achieve integrated voice and data communications. Section IV, the Communications and Information Management component of this document, describes this in more detail.
Establishment and Transfer of Command The Incident Commander or Unified Command should clearly establish the command function at the beginning of an incident. The jurisdiction or organization with primary responsibility for the incident designates the individual at the scene responsible for establishing command and protocol for transferring command. When command transfers, the transfer process includes a briefing that captures essential information for continuing safe and effective operations, and notifying all personnel involved in the incident.
Unified Command When no one jurisdiction, agency or organization has primary authority and/or the resources to manage an incident on its own, Unified Command may be established. In Unified Command, there is no one “commander.” Instead, the Unified Command manages the incident by jointly approved objectives. A Unified Command allows these participating organizations to set aside issues such as overlapping and competing authorities, jurisdictional boundaries, and resource ownership to focus on setting clear priorities and objectives for the incident. The resulting unity
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of effort allows the Unified Command to allocate resources regardless of ownership or location. Unified Command does not affect individual agency authority, responsibility, or accountability.
Chain of Command and Unity of Command Chain of command refers to the orderly line of authority within the ranks of the incident management organization. Unity of command means that each individual only reports to one person. This clarifies reporting relationships and reduces confusion caused by multiple, conflicting directives, enabling leadership at all levels to effectively direct the personnel under their supervision.
Accountability Effective accountability for resources during an incident is essential. Incident personnel should adhere to principles of accountability, including check-in/check-out, incident action planning, unity of command, personal responsibility, span of control, and resource tracking.
Dispatch/Deployment Resources should deploy only when appropriate authorities request and dispatch them through established resource management systems. Resources that authorities do not request should refrain from spontaneous deployment to avoid overburdening the recipient and compounding accountability challenges.
Information and Intelligence Management The incident management organization establishes a process for gathering, analyzing, assessing, sharing, and managing incident-related information and intelligence.13 Information and intelligence management includes identifying essential elements of information (EEI) to ensure personnel gather the most accurate and appropriate data, translate it into useful information, and communicate it with appropriate personnel. Section IV, the Communications and Information Management component of this document, describes this in more detail.
13 In NIMS, “intelligence” refers exclusively to threat-related information developed by law enforcement, medical surveillance, and other investigative organizations.
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Incident Command System (ICS) ICS is a standardized approach to the command, control, and coordination of on-scene incident management that provides a common hierarchy within which personnel from multiple organizations can be effective. ICS specifies an organizational structure for incident management that integrates and coordinates a combination of procedures, personnel, equipment, facilities, and communications. Using ICS for every incident helps hone and maintain skills needed to coordinate efforts effectively. ICS is used by all levels of government as well as by many NGOs and private sector organizations. ICS applies across disciplines and enables incident managers from different organizations to work together seamlessly. This system includes five major functional areas, staffed as needed,14 for a given incident: Command, Operations, Planning, Logistics, and Finance/Administration.
Incident Command and Unified Command Incident command is responsible for the overall management of the incident. A single Incident Commander or Unified Command conducts the command function on an incident. Command and General Staff support the incident command to meet the incident’s needs.
Single Incident Commander When an incident occurs within a single jurisdiction and without jurisdictional or functional agency overlap, the appropriate authority designates a single Incident Commander who has overall incident management responsibility. In some cases where incident management crosses jurisdictional and/or functional agency boundaries, the various jurisdictions and organizations may still agree to designate a single Incident Commander. Figure 3 depicts an example organizational structure for an ICS organization with a single Incident Commander.
14 ICS and EOC staff make many decisions based on unique criteria, including the incident situation, supervisor preferences, resource availability, and applicable laws, policies, or standard operating procedures (SOP). The document uses the phrase “as needed” to acknowledge this flexibility.
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Figure 3: Example of an ICS Organization with a Single Incident Commander
Unified Command Unified Command improves unity of effort in multijurisdictional or multiagency incident management. The use of Unified Command enables jurisdictions and those with authority or functional responsibility for the incident to jointly manage and direct incident activities through the establishment of a common set of incident objectives, strategies, and a single IAP. However, each participating partner maintains authority, responsibility, and accountability for its personnel and other resources, and each member of Unified Command is responsible for keeping other members of Unified Command informed.
Responsibilities of the Incident Commander and Unified Command Whether using a single Incident Commander or a Unified Command, the command function:
• Establishes a single ICP for the incident;
• Establishes consolidated incident objectives, priorities, and strategic guidance, and updating them every operational period;
• Selects a single section chief for each position on the General Staff needed based on current incident priorities;
• Establishes a single system for ordering resources;
• Approves a consolidated IAP for each operational period;
• Establishes procedures for joint decision making and documentation; and
• Captures lessons learned and best practices.
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Unified Command Composition The exact composition of the Unified Command depends on factors such as incident location (i.e., which jurisdictions or organizations are involved) and the nature of the incident (i.e., which agencies from the jurisdiction(s) or organization(s) involved are needed). Figure 4 depicts a sample Unified Command structure. The organizations participating in the Unified Command use a collaborative process to establish and rank incident priorities and determine incident objectives.
Figure 4: Example of an ICS Organization with Unified Command
Single Incident Commander and Unified Command
Single Incident Commander: The Incident Commander is solely responsible (within the limits of his or her authority) for establishing incident objectives and is responsible for ensuring that incident activities work to accomplish objectives.
Unified Command: The individuals designated by their jurisdictional or organizational authorities (or by departments within a single jurisdiction) jointly determine priorities and objectives, allocate resources, and work together to ensure the execution of integrated incident operations and maximize the use of assigned resources.
Agencies or organizations involved in the incident that lack jurisdictional responsibility or authorities are referred to as cooperating and/or assisting agencies. Whether represented in Unified Command or through the Liaison Officer, every jurisdiction, organization, and/or agency representative is responsible for communicating agency-specific information, including:
• Statutory authorities and responsibilities;
• Resource availability and capabilities;
• Constraints, limitations, concerns; and
• Areas of agreement and disagreement between agency officials.
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Command Staff The Incident Commander or Unified Command assigns Command Staff as needed to support the command function. The Command Staff typically includes a Public Information Officer (PIO), a Safety Officer, and a Liaison Officer who report directly to the Incident Commander or Unified Command and have assistants as necessary. The Incident Commander or Unified Command may appoint additional advisors as needed.
Public Information Officer The PIO interfaces with the public, media, and/or with other agencies with incident-related information needs. The PIO gathers, verifies, coordinates, and disseminates accessible,15 meaningful, and timely information on the incident for both internal and external audiences. The PIO also monitors the media and other sources of public information to collect relevant information and transmits this information to the appropriate components of the incident management organization. In incidents that involve PIOs from different agencies, the Incident Commander or Unified Command designates one as the lead PIO. All PIOs should work in a unified manner, speaking with one voice, and ensure that all messaging is consistent. The Incident Commander or Unified Command approves the release of incident-related information. In large-scale incidents, the PIO participates in or leads the Joint Information Center (JIC).
Safety Officer The Safety Officer monitors incident operations and advises the Incident Commander or Unified Command on matters relating to the health and safety of incident personnel. Ultimate responsibility for the safe conduct of incident management rests with the Incident Commander or Unified Command and supervisors at all levels. The Safety Officer is responsible to the Incident Commander or Unified Command for establishing the systems and procedures necessary to assess, communicate, and mitigate hazardous environments. This includes developing and maintaining the incident Safety Plan, coordinating multiagency safety efforts, and implementing measures to promote the safety of incident personnel and incident sites. The Safety Officer stops and/or prevents unsafe acts during the incident. Agencies, organizations, or jurisdictions that contribute to joint safety management efforts do not lose their individual responsibilities or authorities for their own programs, policies, and personnel. Rather, each contributes to the overall effort to protect all personnel involved in the incident.
Liaison Officer The Liaison Officer is the incident command’s point of contact for representatives of governmental agencies, jurisdictions, NGOs, and private sector organizations that are not included in the Unified Command. Through the Liaison Officer, these representatives provide input on their agency, organization, or jurisdiction’s policies, resource availability, and other incident-related matters. Under either a single Incident Commander or a Unified Command structure, representatives from assisting or cooperating jurisdictions and organizations coordinate through the Liaison Officer. The Liaison Officer may have assistants.
15 Accessible to all individuals, including those with limited English proficiency and individuals with disabilities, so that access to and use of any such information and data is comparable to the access to and use of the information and data by members of the public who are not individuals with disabilities.
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Additional Command Staff Positions Additional Command Staff positions may be necessary, depending on the incident and specific requirements established by incident command. The Incident Commander or Unified Command may appoint technical specialists to serve as command advisors. Command Staff advisors are distinguished from officers because they serve in advisory capacities and lack the authority to direct incident activities.
General Staff The General Staff consists of the Operations, Planning, Logistics, and Finance/Administration Section Chiefs. These individuals are responsible for the functional aspects of the incident command structure. The Incident Commander or Unified Command activates these section chiefs as needed. These functions default to the Incident Commander or Unified Command until a section chief is assigned. The section chiefs may have one or more deputies as necessary. The sections are discussed more fully below.
Operations Section The Incident Commander or Unified Command selects the Operations Section Chief based on current incident priorities and should review that selection periodically as the incident evolves. Operations Section personnel plan and perform tactical activities to achieve the incident objectives established by the Incident Commander or Unified Command. Objectives typically focus on saving lives, reducing the immediate hazard, protecting property and the environment, establishing situational control, and restoring normal operations.
Incident operations can be organized and executed in many ways. The Operations Section Chief organizes the section based on the nature and scope of the incident, the jurisdictions and organizations involved, and the incident’s priorities, objectives, and strategies. Key functions of Operations Section personnel include the following:
• Directing the management of tactical activities on the Incident Commander or Unified Command’s behalf;
• Developing and implementing strategies and tactics to achieve incident objectives;
• Organizing the Operations Section to best meet the incident’s needs, maintain a manageable span of control, and optimize the use of resources; and
• Supporting IAP development for each operational period.
Planning Section Planning Section personnel collect, evaluate, and disseminate incident situation information to the Incident Commander or Unified Command and other incident personnel. The staff within this section prepare status reports, display situation information, maintain the status of assigned resources, facilitate the incident action planning process, and prepare the IAP based on input from other sections and Command Staff and guidance from the Incident Commander or Unified Command.
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Additional key functions of Planning Section personnel include:
• Facilitating incident planning meetings;
• Recording the status of resources and anticipated resource needs;
• Collecting, organizing, displaying, and disseminating incident status information and analyzing the situation as it changes;
• Planning for the orderly, safe, and efficient demobilization of incident resources; and
• Collecting, recording, and safeguarding all incident documents.
Logistics Section Logistics Section personnel provide services and support for effective and efficient incident management, including ordering resources. Staff in this section provide facilities, security (of the incident command facilities and personnel), transportation, supplies, equipment maintenance and fuel, food services, communications and IT support, and medical services for incident personnel. Key functions of Logistics Section personnel include:
• Ordering, receiving, storing/housing, and processing incident-related resources;
• Providing ground transportation during an incident, maintaining and supplying vehicles, keeping vehicle usage records, and developing incident traffic plans;
• Setting up, maintaining, securing, and demobilizing incident facilities;
• Determining food and water needs, including ordering food, providing cooking facilities, maintaining food service areas, and managing food security and safety (in cooperation with the Safety Officer);
• Maintaining an incident Communications Plan and acquiring, setting up, issuing, maintaining, and accounting for communications and IT equipment; and
• Providing medical services to incident personnel.
Finance/Administration Section The Incident Commander or Unified Command establishes a Finance/Administration Section when the incident management activities involve on-scene or incident-specific finance and administrative support services. Finance/Administration staff responsibilities include recording personnel time, negotiating leases and maintaining vendor contracts, administering claims, and tracking and analyzing incident costs. If the Incident Commander or Unified Command establishes this section, staff should closely coordinate with the Planning and Logistics Sections to reconcile operational records with financial documents.
Finance/Administration Section staff support an essential function of ICS in large, complex incidents involving funding originating from multiple sources. In addition to monitoring multiple sources of funds, the section’s staff track and report the accrued costs as the incident progresses.
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This allows the Incident Commander or Unified Command to forecast needs and request additional funds as needed. Key functions of Finance/Administration Section personnel include:
• Tracking costs, analyzing cost data, making estimates, and recommending cost savings measures;
• Analyzing, reporting, and recording financial concerns resulting from property damage, responder injuries or fatalities at the incident;
• Managing financial matters concerning leases and vendor contracts;
• Managing administrative databases and spreadsheets for analysis and decision making; and
• Recording time for incident personnel and leased equipment.
Intelligence/Investigations Function The collection, analysis, and sharing of incident-related information are important activities for all incidents. Typically, staff in the Planning Section are responsible for gathering and analyzing operational information and sharing situational awareness, and staff in the Operations Section are responsible for executing tactical activities. However, some incidents involve intensive intelligence gathering and investigative activity, and for such incidents, the Incident Commander or Unified Command may opt to reconfigure intelligence and investigations responsibilities to meet the needs of the incident. This may occur when the incident involves a criminal or terrorist act and/or other non-law-enforcement intelligence/investigations efforts such as epidemiological investigations.
The purpose of the Intelligence/Investigations function is to ensure that intelligence and investigative operations and activities are properly managed and coordinated to:
• Prevent and/or deter potential unlawful activity, incidents, and/or attacks;
• Collect, process, analyze, secure, and disseminate information, intelligence, and situational awareness;
• Identify, document, process, collect, create a chain of custody for, safeguard, examine and analyze, and store evidence or specimens;
• Conduct thorough and comprehensive investigations that lead to the perpetrators’ identification and apprehension;
• Conduct missing persons and mass fatality/death investigations;
