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II - COMMAND and MANAGEMENT
Chapter IV - RESOUCE MANAGEMENT >>
Chapter III
NIMS - Preparedness
This
chapter describes specific measures and capabilities that
jurisdictions and agencies should develop and incorporate
into an overall system to enhance operational preparedness
for incident management on a steady-state basis in an all-hazards
context.1 In developing, refining,
and expanding preparedness programs and activities within
their jurisdictions and organizations, incident management
officials should leverage existing preparedness efforts and
collaborative relationships to the greatest extent possible.
1 The
operational preparedness of our nation’s incident
management capabilities is distinct from the preparedness
of individual citizens and private industry. Public preparedness
for domestic incidents is beyond the scope of the NIMS
but is an important element of homeland security.
A.
CONCEPTS and PRINCIPLES.
Under the NIMS,
preparedness is based on the following core concepts and
principles:
1.
Levels of Capability.
Preparedness involves actions to establish and sustain prescribed
levels of capability necessary to execute a full range of incident
management operations.
Preparedness
is implemented through a continuous cycle of planning,
training, equipping, exercising, evaluating, and
taking action to correct and mitigate. Within the
NIMS, preparedness focuses on guidelines, protocols,
and standards for planning, training, personnel
qualification and certification, equipment certification,
and publication management.
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2.
A Unified Approach.
Preparedness requires a unified approach. A major objective of preparedness
efforts is to ensure mission integration and interoperability in
response to emergent crises across functional and jurisdictional
lines, as well as between public and private organizations.
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3.
NIMS Publications.
The NIMS provides or establishes processes for providing guidelines;
protocols; standards for planning, training, qualifications and
certification; and publication management. National-level preparedness
standards related to the NIMS will be maintained and managed through
a multijurisdictional, multidiscipline center, using a collaborative
process. (See Chapter VII.)
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4.
Mitigation.
Mitigation
activities are important elements of preparedness and
provide a critical foundation across the incident management
spectrum from prevention through response and recovery.
Examples
of key mitigation activities include the following:
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ongoing
public education and outreach activities designed
to reduce loss of life and destruction of property;
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structural
retrofitting to deter or lessen the effects
of incidents and reduce loss of life, destruction
of property, and effects on the environment;
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code
enforcement through such activities as zoning
regulation, land management, and building codes;
and
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flood
insurance and the buy-out of properties subjected
to frequent flooding, etc.
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B. ACHIEVING
PREPAREDNESS.
Individual Federal,
State, local, and tribal jurisdictions are responsible
for implementing the preparedness cycle in advance of an
incident and appropriately including private- sector and
nongovernmental organizations in such implementation. The
NIMS provides the tools to ensure and enhance preparedness,
as described in the sections that follow. These tools include
preparedness organizations and preparedness programs that
provide or establish processes for planning, training,
and exercises; personnel qualification and certification;
equipment certification; mutual aid; and publication management.
1.
Preparedness Organizations.
Preparedness is the responsibility of individual jurisdictions;
this responsibility includes coordinating various preparedness
activities among all appropriate agencies within a jurisdiction,
as well as across jurisdictions and with private organizations.
This coordination is effected by mechanisms that range from individuals
to small committees to large standing organizations. These mechanisms
are referred to in this document as “preparedness organizations,” in
that they serve as ongoing forums for coordinating preparedness
activities in advance of an incident. Preparedness organizations
represent a wide variety of committees, planning groups, and other
organizations that meet regularly and coordinate with one another
to ensure an appropriate focus on planning, training, equipping,
and other preparedness requirements within a jurisdiction and/or
across jurisdictions. The needs of the jurisdictions involved will
dictate how frequently such organizations must conduct their business,
as well as how they are structured. When preparedness activities
routinely need to be accomplished across jurisdictions, preparedness
organizations should be multijurisdictional.. Preparedness organization
at all jurisdictional levels should:
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establish
and coordinate emergency plans and protocols
including public communications and awareness;
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integrate
and coordinate the activities of the jurisdictions
and functions within their purview;
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establish
the standards, guidelines, and protocols
necessary to promote interoperability among
member jurisdictions and agencies;
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adopt
standards, guidelines, and protocols for
providing resources to requesting organizations,
including protocols for incident support
organizations;
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set
priorities for resources and other requirements;
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ensure
the establishment and maintenance of multiagency
coordination mechanisms, including EOCs,
mutual-aid agreements, incident information
systems, nongovernmental organization and
private-sector outreach, public awareness
and information systems, and mechanisms
to deal with information and operations
security.
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2.
Preparedness Programs.
Individual jurisdictions establish programs that address the requirements
for each step of the preparedness cycle (planning, training, equipping,
exercising, evaluating, and taking action to correct and mitigate).
These programs should adopt relevant NIMS standards, guidelines,
processes, and protocols.
a.
Preparedness Planning.
Plans describe how personnel, equipment, and other governmental
and nongovernmental resources will be used to support incident
management requirements. Plans represent the operational
core of preparedness and provide mechanisms for setting priorities,
integrating multiple entities and functions, establishing
collaborative relationships, and ensuring that communications
and other systems effectively support the complete spectrum
of incident management activities. The following are the
principal types of plans:
(1)
Emergency Operations Plan (EOP).
Each jurisdiction develops an EOP that defines the
scope of preparedness and incident management activities
necessary for that jurisdiction. The EOP should also
describe organizational structures, roles and responsibilities,
policies, and protocols for providing emergency support.
The EOP facilitates response and short-term recovery
activities (which set the stage for successful long-term
recovery). It should drive decisions on long-term prevention
and mitigation efforts or risk-based preparedness measures
directed at specific hazards. An EOP should be flexible
enough for use in all emergencies. A complete EOP should
describe the purpose of the plan, situation and assumptions,
concept of operations, organization and assignment
of responsibilities, administration and logistics,
plan development and maintenance, and authorities and
references. It should also contain functional annexes,
hazard-specific appendices, and a glossary. EOPs should
predesignate jurisdictional and/or functional area
representatives to the IC or UC whenever possible to
facilitate responsive and collaborative incident management.
While the preparedness of the public is generally beyond
the scope of the NIMS, EOPs should also include preincident
and postincident public awareness, education, and communications
plans and protocols.
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(2)
Procedures.
Each organization covered by the EOP should develop
procedures that translate the tasking to that organization
into specific action-oriented checklists for use during
incident management operations, including how the organization
will accomplish its assigned tasks. Procedures are
documented and implemented with checklists; resource
listings; maps, charts, and other pertinent data; mechanisms
for notifying staff; processes for obtaining and using
equipment, supplies, and vehicles; methods of obtaining
mutual aid; mechanisms for reporting information to
organizational work centers and EOCs; and communications
operating instructions, including connectivity with
private-sector and nongovernmental organizations. The
development of procedures is required in accordance
with the law for certain risk-based, hazard-specific
programs. There are four standard levels of procedural
documents:
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Overview—a
brief concept summary of
an incident-related function,
team, or capability
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Standard
Operating Procedure (SOP)
or Operations Manual—a
complete reference document
that details the procedures
for performing a single function
or a number of interdependent
functions
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Field
Operations Guide (FOG) or
Handbook—a durable
pocket or desk guide that
contains essential information
required to perform specific
assignments or functions.
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Job
Aid—a checklist or
other aid that is useful
in performing or training
for a job.
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(3)
Preparedness Plans.
Preparedness plans describe the process and schedule
for identifying and meeting training needs (based on
expectations the EOP has outlined); the process and
schedule for developing, conducting, and evaluating
exercises and correcting identified deficiencies; arrangements
for procuring or obtaining required incident management
resources through mutual-aid mechanisms; and plans
for facilities and equipment that can withstand the
effects of hazards that the jurisdiction is more likely
to face.
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(4)
Corrective Action and Mitigation
Plans.
Corrective action plans are designed to implement procedures
that are based on lessons learned from actual incidents
or from training and exercises. Mitigation plans describe
activities that can be taken prior to, during, or after
an incident to reduce or eliminate risks to persons
or property or to lessen the actual or potential effects
or consequences of an incident.
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(5)
Recovery Plans.
Recovery plans describe actions beyond rapid damage
assessment and those necessary to provide immediate
life support for victims. Long-term recovery planning
involves identifying strategic priorities for restoration,
improvement, and growth.
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b.
Training and Exercises.
Incident
management organizations and personnel at all
levels of government, and within the private-sector
and nongovernmental organizations, must be
appropriately trained to improve all-hazards
incident management capability nationwide.
Incident management organizations and personnel
must also participate in realistic exercises—including
multidisciplinary and multijurisdictional events
and private-sector and nongovernmental organization
interaction—to improve integration and
interoperability. Training involving standard
courses on incident command and management,
incident management structure, operational
coordination processes and systems—together
with courses focused on discipline-specific
and agency-specific subject-matter expertise—helps
ensure that personnel at all jurisdictional
levels and across disciplines can function
effectively together during an incident.
To
assist in this function, the NIMS Integration
Center, as defined in Chapter VII, will:
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Facilitate
the development and dissemination
of national standards, guidelines,
and protocols for incident management
training and exercises, including
consideration of existing exercise
and training programs at all jurisdictional
levels.
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Facilitate
the use of modeling and simulation
capabilities for training and exercise
programs.
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Facilitate
the definition of general training
requirements and approved training
courses for all NIMS users. These
requirements will be based on mission-to-task
analysis. They will address critical
elements of an effective national
training system, including field-based
training, specification of mission-essential
tasks, and requirements for specialized
instruction. They will also cover
fundamental administrative matters,
such as instructor qualifications
and course completion documentation.
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Review
and approve (with the assistance
of national professional organizations
and with input from Federal, State,
local, tribal, private-sector, and
nongovernmental entities) discipline-specific
requirements and training courses.
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The
training approach that has been developed
for ICS serves as a model for course curricula
and materials applicable to other components
of the NIMS. ICS training is organized
around four course levels: ICS-100, Introduction
to ICS; ICS-200, Basic ICS; ICS-300, Intermediate
ICS; and ICS-400 Advanced ICS. Course materials
have been developed and shared by a number
of Federal, State, local, tribal, and other
specialized training providers in a nationally
recognized effort. This allows use of a
broad set of training providers and allows
programs to be tailored to the specific
circumstances that the Federal, State,
local, and tribal levels face.
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c.
Personnel Qualification and Certification.
Under the NIMS, preparedness is based on national standards
for the qualification and certification of emergency response
personnel. Standards will help ensure that participating
agencies and organizations field personnel who possess the
minimum knowledge, skills, and experience necessary to execute
incident management and emergency response activities safely
and effectively. Standards typically include training, experience,
credentialing, currency, and physical and medical fitness.
Personnel that are certified for employment in support of
an incident that transcends interstate jurisdictions through
the Emergency Management Assistance Compacts System will
be required to meet national qualification and certification
standards. Federal, State, local, and tribal certifying agencies;
professional organizations; and private organizations should
credential personnel for their respective jurisdictions.
To
enable this qualification and certification
function at the national level, the
NIMS Integration Center, as defined in Chapter VII, will:
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Facilitate
the development and/or dissemination
of national standards, guidelines,
and protocols for qualification and
certification.
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Review
and approve (with the assistance
of national professional organizations
and with input from Federal, State,
local, tribal, private-sector, and
nongovernmental entities) the discipline-specific
requirements submitted by functionally
oriented incident management organizations
and associations.
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Facilitate
the establishment of a data maintenance
system to provide incident managers
with the detailed qualification,
experience, and training information
needed to credential personnel for
prescribed incident management positions.
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d.
Equipment Certification.
Incident management and emergency responder organizations
at all levels rely on various types of equipment to perform
mission essential tasks. A critical component of operational
preparedness is the acquisition of equipment that will perform
to certain standards, including the capability to be interoperable
with equipment used by other jurisdictions.
To
enable national-level equipment certification,
the NIMS Integration Center, as defined
in Chapter VII, will:
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In
coordination with appropriate Federal
agencies, standards-making, certifying,
and accrediting organizations and
with appropriate State, local, tribal,
private-sector, and nongovernmental
organizations, facilitate the development
and/or publication of national standards,
guidelines, and protocols for equipment
certification. This effort includes
the incorporation of standards and
certification programs already in
use by incident management and emergency
response organizations nationwide.
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Review
and approve (with the assistance
of national professional organizations
and with input from Federal, State,
local, tribal, and private- sector
and nongovernmental entities) lists
of emergency responder equipment
that meet national certification
requirements.
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e.
Mutual-Aid Agreements.
Mutual-aid agreements are the means for one jurisdiction
to provide resources, facilities, services, and other required
support to another jurisdiction during an incident. Each
jurisdiction should be party to a mutual-aid agreement (such
as the Emergency Management Assistance Compact) with appropriate
jurisdictions from which they expect to receive or to which
they expect to provide assistance during an incident. This
would normally include all neighboring or nearby jurisdictions,
as well as relevant private-sector and nongovernmental organizations.
States should participate in interstate compacts and look
to establish intrastate agreements that encompass all local
jurisdictions. Mutual-aid agreements are also needed with
private organizations, such as the American Red Cross, to
facilitate the timely delivery of private assistance at the
appropriate jurisdictional level during incidents.
At
a minimum, mutual-aid agreements should
include the following elements or provisions:
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definitions
of key terms used in the agreement;
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roles
and responsibilities of individual
parties;
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procedures
for requesting and providing assistance; |
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procedures,
authorities, and rules for payment,
reimbursement, and allocation of costs; |
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notification
procedures; |
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protocols
for interoperable communications; |
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relationships
with other agreements among jurisdictions; |
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workers
compensation; |
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treatment
of liability and immunity; |
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recognition
of qualifications and certifications;
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sharing
agreements, as required. |
Authorized
officials from each of the participating
jurisdictions will collectively approve
all mutual-aid agreements.
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f.
Publication Management.
Publication
management for the NIMS includes development
of naming and numbering conventions; review
and certification of publications; methods
for publications control; identification of
sources and suppliers for publications and
related services; and management of publication
distribution.
NIMS
publication management includes the following
types of products:
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qualifications
information;
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training
course and exercise information;
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task
books; |
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ICS
training and forms; |
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other
necessary forms; |
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job
aids; |
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guides; |
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computer
programs; |
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audio
and video resources; |
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templates;
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“best
practices.” |
To
enable national-level publication management,
the NIMS Integration Center, as defined
in Chapter VII, will:
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Facilitate
the development, publication, and
dissemination of national standards,
guidelines, and protocols for a NIMS
publication management system.
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Facilitate
the development of general publications
for all NIMS users as well as their
issuance via the NIMS publication
management system.
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Review
and approve (with the assistance
of appropriate national professional
standards-making, certifying, and
accrediting organizations, and with
input from Federal, State, local,
tribal government and private- sector
and nongovernmental organizations)
the discipline-specific publication
management requirements and training
courses submitted by professional
organizations and associations.
<< Chapter
II - COMMAND and MANAGEMENT
Chapter IV - RESOUCE MANAGEMENT >>
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