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<< Chapter
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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TOP
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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•
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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; and |
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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:
TOP
(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.
TOP
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.
TOP
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; and |
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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; and |
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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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