National
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Management System (NIMS)
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<< Tab
7 - PREDESIGNATED FACILITIES and AREAS
Tab 9 - EXAMPLES OF ICS FORMS >>
Tab 8
NIMS
- The Planning Process
A.
OVERVIEW.
Sound, timely planning provides the foundation for
effective domestic incident management. The NIMS planning
process described below represents a template for strategic,
operational, and tactical planning that includes all
steps an IC and other members of the Command and General
Staffs should take to develop and disseminate an Incident
Action Plan (IAP). The planning process may begin with
the scheduling of a planned event, the identification
of a credible threat, or with the initial response to
an actual or impending event. The process continues with
the implementation of the formalized steps and staffing
required to develop a written IAP.
A clear, concise IAP template is essential to guide
the initial incident management decision process and
the continuing collective planning activities of incident
management teams. The planning process should provide
the following:
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current
information that accurately describes the incident
situation and resource status;
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predictions of the
probable course of events;
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alternative strategies
to attain critical incident objectives; and
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an accurate, realistic,
IAP for the next operational period.
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Five primary phases must be followed, in sequence, to
ensure a comprehensive IAP. These phases are designed
to enable the accomplishment of incident objectives within
a specified time. The IAP must provide clear strategic
direction and include a comprehensive listing of the
tactical objectives, resources, reserves, and support
required to accomplish each overarching incident objective.
The comprehensive IAP will state the sequence of events
in a coordinated way for achieving multiple incident
objectives.
The primary
phases of the planning process are essentially the
same for the IC who develops the initial plan, for
the IC and Operations Section Chief revising the initial
plan for extended operations, and for the incident management
team developing a formal IAP, each following a similar
process. During the initial stages of incident management,
planners must develop a simple plan that can be communicated
through concise oral briefings. Frequently, this plan
must be developed very quickly and with incomplete situation
information. As the incident management effort evolves
over time, additional lead-time, staff, information systems,
and technologies enable more detailed planning and cataloging
of events and “lessons learned.”
The five primary phases in the planning process are:
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1. Understand the Situation.
The
first phase includes gathering, recording, analyzing, and
displaying situation and resource information in a manner
that will ensure
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a clear picture
of the magnitude, complexity, and potential impact
of the incident; and
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the ability to determine
the resources required to develop and implement an
effective IAP.
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TOP |
2. Establish Incident Objectives
and Strategy.
The second phase includes formulating and prioritizing
incident objectives and identifying an appropriate strategy.
The incident
objectives and strategy must conform to the legal obligations
and management objectives of all affected agencies. Reasonable
alternative strategies that will accomplish overall incident
objectives are identified, analyzed, and evaluated to determine
the most appropriate strategy for
the situation at hand. Evaluation criteria include public
health and safety factors;
estimated costs; and various environmental, legal, and political
considerations.
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3. Develop the Plan.
The third
phase involves determining the tactical direction and the
specific resource, reserves, and support requirements
for implementing the selected strategy for one operational
period. This phase is usually the responsibility of the IC,
who bases decisions on resources allocated to enable a sustained
response. After determining the availability of resources,
the IC develops a plan that makes the best use of these resources.
Prior to the formal planning meetings, each member of the
Command Staff and each functional Section Chief is responsible
for gathering certain information to support these decisions.
During the Planning Meeting, the Section Chiefs develop the
plan collectively.
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4. Prepare and Disseminate the
Plan.
The fourth phase involves preparing the plan in a format
that is appropriate for the level of complexity of the incident.
For the initial response, the format is a well-prepared
outline for an oral briefing. For most incidents that will
span multiple operational periods, the plan will be developed
in writing according to ICS procedures.
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5. Evaluate and Revise the Plan.
The
planning process includes the requirement to evaluate planned
events and check the accuracy of information to be
used in planning for subsequent operational periods. The
General Staff should regularly compare planned progress with
actual progress. When deviations occur and when new information
emerges, that information should be included in the first
step of the process used for modifying the current plan or
developing the plan for the subsequent operational period.
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B.
RESPONSIBILITIES AND SPECIFIC PLANNING ACTIVITIES.
The following is a checklist of planning
responsibilities and specific planning activities:
1.
General Responsibilities.
The general responsibilities associated with the Planning
Meeting and the development of the IAP are described
below. The Planning Section Chief should review these
with the General Staff prior to the planning meeting.
a.
Planning Section Chief.
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Conduct
the Planning Meeting and coordinate preparation
of the IAP.
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b.
Incident Commander.
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Provide
overall control objectives and strategy.
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Establish procedures
for off-incident resource ordering.
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Establish procedures
for resource activation, mobilization, and
employment.
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Approve completed
IAP plan by signature.
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c.
Finance Section Chief.
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Provide
cost implications of control objectives,
as required.
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Evaluate facilities
being used to determine if any special arrangements
are needed.
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Ensure that
the IAP is within the financial limits established
by the IC.
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d. Operations Section
Chief.
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Determine
division work assignments and resource
requirements.
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e.
Logistics Section Chief.
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Ensure
that incident facilities are adequate.
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Ensure that
the resource ordering procedure is made known
to appropriate agency dispatch center(s).
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Develop a transportation
system to support operational needs.
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Ensure that
the section can logistically support the
IAP.
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Place order(s)
for resources. |
TOP |
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2.
Preplanning Steps: Understanding the Problem and Establishing
Objectives and Strategy.
The Planning Section Chief should take the following
actions prior to the initial
Planning Meeting (if possible, obtaining a completed
Incident Briefing Form ICS
201):
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Evaluate
the current situation and decide whether the current
planning is adequate for the remainder of the operational
period (i.e., until next plan takes effect).
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Advise the IC and
the Operations Section Chief of any suggested revisions
to the current plan, as necessary.
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Establish a planning
cycle for the IC.
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Determine Planning
Meeting attendees in consultation with the IC.
For major incidents, attendees should include
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Incident
Commander
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Command Staff
members
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General Staff
members
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Resources Unit
Leader
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Situation Unit
Leader |
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Air Operations
Branch Director (if established) |
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Communications
Unit Leader |
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Technical and/or
Specialists (as required) |
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Agency representatives
(as required). |
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Establish the location
and time for the Planning Meeting. |
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Ensure that planning
boards and forms are available. |
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Notify necessary support
staff about the meeting and their assignments. |
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Ensure that a current
situation and resource briefing will be available
for the meeting. |
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Obtain an estimate of
regional resource availability from agency dispatch
for use in planning for the next operational period. |
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Obtain necessary agency
policy, legal, or fiscal constraints for use in the
Planning Meeting. |
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3.
Conducting the Planning Meeting.
The
Planning Meeting is normally conducted by the Planning
Section
Chief. The checklist that follows is intended
to provide a basic sequence of steps to aid the Planning
Section Chief in developing the IAP. The planning checklist
is used with the ICS Planning Matrix Board and/or ICS
Form 215—Operational Planning Worksheet.8 (The
worksheet is laid out in the same manner as the Planning
Matrix Board.) Every incident must have an action plan.
However, not all incidents require written plans. The
need for written plans and attachments is based on the
requirements of the incident and the decision of the
IC.
The Planning Meeting checklist is as follows:
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give briefing
on situation and resource status (Planning Section)
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set control objectives
(IC)
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plot control lines
and division boundaries (Operations Section)
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specify tactics for
each Division or Group (Operations Section)
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specify
resources needed by Division or Group (Operations
Section, Planning
Section) |
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specify facilities and
reporting locations plot on map (Operations Section,
Planning Section, Logistics Section) |
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place resource and overhead
personnel order (Logistics Section) |
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consider communications,
medical, and traffic plan requirements (Planning
Section, Logistics Section) |
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finalize, approve, and
implement IAP (IC, Planning Section, Operations
Section). |
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4. Brief on Situation and
Resource Status.
The Planning Section Chief and/or Resources and Situation
Unit Leaders should provide an up-to-date briefing on
the situation. Information for this briefing may come
from any or all of the following sources:
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Initial
Incident Commander
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Incident
Briefing Form (ICS 201)
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field observations
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operations reports
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5. Set Control Objectives.
This
step is accomplished by the IC. The control objectives
are not limited to any single operational period but
will consider the total incident situation. The IC will
establish the general strategy to be used; will state
any major policy, legal, or fiscal constraints on accomplishing
the objectives; and will offer appropriate contingency
considerations.
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6.
Plot Control Lines and Division Boundaries on Map.
This
step is normally accomplished by the Operations Section
Chief (for the next operational period) in conjunction
with the Planning Section Chief who will determine control
line locations, establish division and branch boundaries
for geographical divisions, and determine the need for
functional group assignments for the next operational
period. These will be plotted on the map.
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7.
Specify Tactics for Each Division.
After determining division
geographical assignments, the Operations Section Chief
will establish the specific
work assignments to be used for each division for
the next operational period. (Note that it may be necessary
or desirable to establish a functional group in addition
to geographical divisions.) Tactics (work assignments)
must be specific and must be within the boundaries
set by the IC’s general control objectives
(strategies). These work assignments should be recorded
on the planning
matrix. The IC, Operations Section Chief, and Logistics
Section Chief should also at this time consider the
need for any alternative strategies or tactics and
ensure
that these are properly noted on the planning matrix.
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8.
Specify Resources Needed by Division.
After specifying
tactics for each division, the Operations Section Chief,
in conjunction with the Planning Section
Chief, will determine the resource needs by division
to accomplish the work assignments. Resource needs will
be recorded on the planning matrix. Resource needs should
be considered on basis of the type of resources required
to accomplish the assignment.
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9. Specify Operations Facilities
and Reporting Locations and Plot on
Map.
The Operations Section Chief, in conjunction with
the Planning and Logistics Section Chiefs, should designate
and make available the facilities and reporting locations
required to accomplish Operations Section work assignments.
The Operations Section Chief should also at this time
indicate the reporting time requirements for the resources
and any special resource assignments.
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10.
Place Resource and Personnel Order.
At this time, the
Planning Section Chief should assess
resource needs assessment using the needs indicated
by the Operations Section Chief and resources data
available
from the Planning Section’s Resources Unit.
The planning matrix, when properly completed, will
show
resource requirements and the resources available
to meet those
requirements. Subtracting the resources available
from those required will indicate any additional
resource
needs. From this assessment, a new resource order
can be developed and provided to the IC for approval
and
then placed through normal dispatch channels by the
Logistics Section.
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11.
Consider Communications, Medical, and Traffic Plan
Requirements.
The IAP will normally
consist of the Incident Objectives (ICS 202), Organization
Chart (ICS 203), Division Assignment List (ICS 204), and
a map of the incident area. Larger incidents may require
additional supporting attachments, such as a separate Communications
Plan (ICS 205), a Medical Plan (ICS 206), and possibly
a Traffic Plan. (For examples of ICS forms, see Appendix
A, Tab 9.) The Planning Section Chief must determine the
need for these attachments and ensure that the appropriate
units prepare such attachments. For major incidents, the
IAP and attachments will normally include the items listed
in Table A-2.
TOP
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Components
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Normally
Prepared By |
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Incident
Objectives (ICS 202)
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Incident
Commander
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Organization
List or Chart (ICS 203)
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Resources
Unit
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Assignment
List (ICS 204)
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Resources
Unit
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Communications
Plan (ICS 205)
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Communications
Unit
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Logistics
Plan
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Logistics
Unit
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Responder
Medical Plan (ICS 206)
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Medical
Unit
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Incident
Map
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Situation
Unit
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Health
and Safety Plan
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Safety
Officer
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Other
Potential Components
(Scenario dependent)
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Air
Operations Summary
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Air
Operations
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Traffic
Plan
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Ground
Support Unit
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Decontamination
Plan
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Technical
Specialist
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Waste
Management or Disposal Plan
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Technical
Specialist
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Demobilization
Plan
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Demobilization
Unit
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Operational
Medical Plan
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Technical
Specialist
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Evacuation
Plan
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Technical
Specialist
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Site
Security Plan
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Law
Enforcement Specialist
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Investigative
Plan
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Law
Enforcement Specialist
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Evidence
Recovery Plan
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Law
Enforcement Specialist
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Other
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As
Required
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Table
A-2 - The IAP and Typical Attachments
Prior to the completion of the plan, the
Planning Section Chief should review the division and
group tactical work assignments for any changes due to
lack of resource availability.
The Resource Unit may then transfer division assignment
information including alternatives from the planning
matrix board or form (ICS 215) onto the Division Assignment
Lists (ICS 204).
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12.
Finalize, Approve, and Implement the Incident Action
Plan.
The Planning Section is responsible for seeing that
the IAP is completed, reviewed, and distributed. The
following is the sequence of steps for accomplishing
this:
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Set the
deadline for completing IAP attachments.
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Obtain
plan attachments and review them for completeness
and approvals.
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Determine the number
of IAPs required.
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Arrange with the Documentation
Unit to reproduce the IAP.
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Review the IAP to ensure
it is up to date and complete prior to the operations
briefing and plan distribution. |
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Provide the IAP briefing
plan, as required, and distribute the plan prior
to beginning of the new operational period. |
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ICS-201 (p.1)
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Incident Briefing
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ICS-201 (p.2)
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Summary of Current
Actions
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ICS-201 (p.3)
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Current Organization
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ICS-201 (p.4)
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Resources Summary
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ICS-202
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Incident Objectives
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ICS-203
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Organization Assignment
List
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ICS-205
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Incident Radio Communications
Plan
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ICS-207
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Organizational Chart
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ICS-209
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Incident Status Summary,
with Instructions
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ICS-210
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Status Change Card
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ICS 215
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Operational Planning
Worksheet
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Table
A-3—ICS Forms that
Can Aid the Planning Process
<< Tab
7 - PREDESIGNATED FACILITIES and AREAS
Tab 9 - EXAMPLES OF ICS FORMS >>
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