1.
Concepts and Principles.
To provide this framework
for interoperability and compatibility, the NIMS is based on
an appropriate balance of flexibility and standardization.
a.
Most Incidents Are Managed Locally.
The initial response to most domestic incidents is typically handled
by local “ 911” dispatch centers, emergency responders
within a single jurisdiction, and direct supporters of emergency
responders. Most responses need go no further. In other instances,
incidents that begin with a single response discipline within a
single jurisdiction may rapidly expand to multidiscipline, multijurisdictional
incidents requiring significant additional resources and operational
support. Whether for incidents in which additional resources are
required or are provided from different organizations within a
single jurisdiction or outside the jurisdiction, or for complex
incidents with national-level implications (such as an emerging
infectious disease or a bioterror attack), the ICS provides a flexible
core mechanism for coordinated and collaborative incident management.
When a single incident covers a large geographical area, multiple
local ICS organizations may be required. Effective cross-jurisdictional
coordination using processes and systems described in the NIMS
is absolutely critical in this instance.
|
b.
The NIMS Requires That Field Command and Management
Functions Be Performed in Accordance with a Standard
Set of ICS Organizations, Doctrine, and Procedures.
However,
Incident Commanders generally retain the flexibility to
modify procedures or organizational structure to align
as necessary with the operating characteristics of their
specific jurisdictions or to accomplish the mission in
the context of a particular hazard scenario.
|
c.
ICS Is Modular and Scalable.
ICS is
designed to have the following operating characteristics;
it should be
•
|
suitable
for operations within a single jurisdiction or
single agency, a single jurisdiction with multiagency
involvement, or multiple jurisdictions with multiagency
involvement;
|
•
|
applicable
and acceptable to users throughout the country;
|
•
|
readily
adaptable to new technology;
|
•
|
adaptable
to any emergency or incident to which domestic
incident management agencies would be expected
to respond; and
|
•
|
have
a scalable organizational structure that is based
on the size and complexity of the incident.
|
[Top of Page]
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d.
ICS Has Interactive Management Components.
These
set the stage for effective and efficient incident management
and emergency response.
|
e.
ICS Establishes Common Terminology, Standards, and
Procedures that Enable Diverse Organizations to Work
Together Effectively.
These include a standard set of predesignated organizational elements
and functions, common names for resources used to support incident
operations, common “typing” for resources to reflect
specific capabilities, and common identifiers for facilities and
operational locations used to support incident operations.
|
f.
ICS Incorporates Measurable Objectives.
Measurable objectives ensure fulfillment of incident management
goals. Objective-setting begins at the top and is communicated
throughout the entire organization.
|
g.
The Implementation of ICS Should Have the Least Possible
Disruption On Existing Systems and Processes.
This will
facilitate its acceptance across a nationwide user community
and to insure continuity in the transition process from
normal operations.
|
h.
ICS Should Be User Friendly and Be Applicable Across
a Wide Spectrum of Emergency Response and Incident
Management Disciplines.
This will enable the communication, coordination, and integration
critical to an effective and efficient NIMS.
|
|
2.
Management Characteristics.
ICS is based on proven
management characteristics. Each contributes to the strength
and efficiency of the overall system.
a.
Common Terminology.
ICS establishes
common terminology that allows diverse incident management
and support entities to work together across a wide variety
of incident management functions and hazard scenarios.
This common terminology covers the following:
(1)
Organizational Functions.
Major
functions and functional units with domestic incident
management responsibilities are named and defined.
Terminology for the organizational elements involved
is standard and consistent.
|
(2)
Resource Descriptions.
Major
resources—including personnel, facilities,
and major equipment and supply items—used
to support incident management activities are given
common names and are “typed” with respect
to their capabilities, to help avoid confusion
and to enhance interoperability. The process for
accomplishing this task is specified in Chapter
IV.
|
(3)
Incident Facilities.
Common terminology is used to designate the facilities in
the vicinity of the incident area that will be used in the
course of incident management activities.
|
|
b.
Modular Organization.
The incident
command organizational structure develops in a top-down,
modular fashion that is based on the size and complexity
of the incident, as well as the specifics of the hazard
environment created by the incident. When needed, separate
functional elements can be established, each of which may
be further subdivided to enhance internal organizational
management and external coordination. Responsibility for
the establishment and expansion of the ICS modular organization
ultimately rests with the Incident Commander (IC), who
bases these on the requirements of the situation. As incident
complexity increases, the organization expands from the
top down as functional responsibilities are delegated.
Concurrently with structural expansion, the number of management
positions expands to adequately address the requirements
of the incident.
|
c.
Management by Objectives.
Management
by objectives represents an approach that is communicated
throughout the entire ICS organization. This approach includes
the following:
•
|
establishing
overarching objectives;
|
•
|
developing
and issuing assignments, plans, procedures, and
protocols;
|
•
|
establishing
specific, measurable objectives for various incident
management functional activities, and directing
efforts to attain them, in support of defined
strategic objectives; and
|
•
|
documenting
results to measure performance and facilitate
corrective action.
|
|
d.
Reliance on an Incident Action Plan.
Incident action plans (IAPs) provide a coherent means of communicating
the overall incident objectives in the contexts of both operational
and support activities.
|
e.
Manageable Span of Control.
Span of control is key to effective and efficient incident management.
Within ICS, the span of control of any individual with incident
management supervisory responsibility should range from three to
seven subordinates. The type of incident, nature of the task, hazards
and safety factors, and distances between personnel and resources
all influence span-of-control considerations.
|
f.
Predesignated Incident Locations and Facilities.
Various types of operational locations and support facilities are
established in the vicinity of an incident to accomplish a variety
of purposes, such as decontamination, donated goods processing,
mass care, and evacuation. The IC will direct the identification
and location of facilities based on the requirements of the situation
at hand. Typical predesignated facilities include incident command
posts, bases, camps, staging areas, mass casualty triage areas,
and others, as required. For a more complete discussion of predesignated
locations and facilities, see Appendix A, Tab 7.
|
g.
Comprehensive Resource Management.
Maintaining an accurate and up-to-date picture of resource utilization
is a critical component of domestic incident management. Resource
management includes processes for categorizing, ordering, dispatching,
tracking, and recovering resources. It also includes processes
for reimbursement for resources, as appropriate. Resources are
defined as personnel, teams, equipment, supplies, and facilities
available or potentially available for assignment or allocation
in support of incident management and emergency response activities.
|
h.
Integrated Communications.
Incident
communications are facilitated through the development
and use of a common communications plan and interoperable
communications processes and architectures. This integrated
approach links the operational and support units of the
various agencies involved and is necessary to maintain
communications connectivity and discipline and enable common
situational awareness and interaction. Preparedness planning
must address the equipment, systems, and protocols necessary
to achieve integrated voice and data incident management
communications.
|
i.
Establishment and Transfer of Command.
The command function must be clearly established from the beginning
of incident operations. The agency with primary jurisdictional
authority over the incident designates the individual at the scene
responsible for establishing command. When command is transferred,
the process must include a briefing that captures all essential
information for continuing safe and effective operations.
|
j.
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 every individual has a designated supervisor to whom
they report at the scene of the incident. These principles clarify
reporting relationships and eliminate the confusion caused by multiple,
conflicting directives. Incident managers at all levels must be
able to control the actions of all personnel under their supervision.
|
k.
Unified Command.
In incidents involving multiple jurisdictions, a single jurisdiction
with multiagency involvement, or multiple jurisdictions with multiagency
involvement, unified command allows agencies with different legal,
geographic, and functional authorities and responsibilities to
work together effectively without affecting individual agency authority,
responsibility, or accountability.
|
l.
Accountability.
Effective accountability at all jurisdictional levels and within
individual functional areas during incident operations is essential.
To that end, the following principles must be adhered to:
(1)
Check-In.
All responders, regardless of agency affiliation, must report
in to receive an assignment in accordance with the procedures
established by the IC.
|
(2)
Incident Action Plan.
Response operations must be directed and coordinated as outlined
in the IAP.
|
(3)
Unity of Command.
Each individual involved in incident operations will be assigned
to only one supervisor.
|
(4)
Span of Control.
Supervisors must be able to adequately supervise and control
their subordinates, as well as communicate with and manage
all resources under their supervision.
|
(5)
Resource Tracking.
Supervisors must record and report resource status changes
as they occur.
|
[Top of Page]
|
m.
Deployment.
Personnel
and equipment should respond only when requested or when
dispatched by an appropriate authority.
|
n.
Information and Intelligence Management.
The incident management organization must establish a process for
gathering, sharing, and managing incident-related information and
intelligence.
|
|
3.
ICS Organization and Operations.
a.
Command and General Staff Overview.
The ICS
organization has five major functions, as described in
Figure 1. These are: command, operations, planning, logistics,
and finance and administration (with a potential sixth
functional area to cover the intelligence function, as
described in paragraph 2.n. above).
|
Figure
1
(1)
Command.
Command comprises the IC and Command Staff. Command Staff positions
are established to assign responsibility for key activities not
specifically identified in the General Staff functional elements.
These positions may include the Public Information Officer (PIO),
Safety Officer (SO), and Liaison Officer (LNO), in addition to
various others, as required and assigned by the IC.
|
(2)
General Staff.
The General Staff comprises incident management personnel who
represent the major functional elements of the ICS including
the Operations Section Chief, Planning Section Chief, Logistics
Section Chief, and Finance/Administration Section Chief. (More
detailed information regarding these functional elements is contained
in Appendix A.) Command Staff and General Staff must continually
interact and share vital information and estimates of the current
and future situation and develop recommended courses of action
for consideration by the IC. Additional information on the specific
functions and makeup of the individual units within each of these
sections is provided in Appendix A.
|
b.
The Command Staff.
Command Staff is responsible for overall management of the incident.
This includes Command Staff assignments required to support the
command function.
(1)
The Command Function.
The command function may be conducted in two general ways:
(a)
Single Command IC.
When
an incident occurs within a single jurisdiction
and there is no jurisdictional or functional
agency overlap, a single IC should be
designated with overall incident management
responsibility by the appropriate jurisdictional
authority. (In some cases in which incident
management crosses jurisdictional and/or
functional agency boundaries, a single
IC may be designated if all parties agree
to such an option.) Jurisdictions should
consider predesignating ICs in their
preparedness plans. The designated IC
will develop the incident objectives
on which subsequent incident action planning
will be based. The IC will approve the
Incident Action Plan (IAP) and all requests
pertaining to the ordering and releasing
of incident resources.
|
(b)
Unified Command.
UC
is an important
element in
multijurisdictional
or multiagency
domestic incident
management.
It provides
guidelines
to enable agencies
with different
legal, geographic,
and functional
responsibilities
to coordinate,
plan, and interact
effectively.
As a team effort,
UC overcomes
much of the
inefficiency
and duplication
of effort that
can occur when
agencies from
different functional
and geographic
jurisdictions,
or agencies
at different
levels of government,
operate without
a common system
or organizational
framework.
All agencies
with jurisdictional
authority or
functional
responsibility
for any or
all aspects
of an incident
and those able
to provide
specific resource
support participate
in the UC structure
and contribute
to the process
of determining
overall incident
strategies;
selecting objectives;
ensuring that
joint planning
for tactical
activities
is accomplished
in accordance
with approved
incident objectives;
ensuring the
integration
of tactical
operations;
and approving,
committing,
and making
optimum use
of all assigned
resources.
The exact composition
of the UC structure
will depend
on the location(s)
of the incident
(i.e., which
geographical
administrative
jurisdictions
are involved)
and the type
of incident
(i.e., which
functional
agencies of
the involved
jurisdiction(s)
are required).
In the case
of some multijurisdictional
incidents,
the designation
of a single
IC may be considered
to promote
greater unity
of effort and
efficiency.
[Top of Page]
Advantages
of Using Unified
Command
|
•
|
A
single set of
objectives is
developed for
the entire incident.
|
•
|
A
collective approach
is used to develop
strategies to
achieve incident
objectives.
|
•
|
Information
flow and coordination
is improved between
all jurisdictions
and agencies
involved in the
incident.
|
•
|
All
agencies with
responsibility
for the incident
have an understanding
of joint priorities
and restrictions.
|
| • |
No
agency’s
legal authorities
will be compromised
or neglected. |
| • |
The
combined efforts
of all agencies
are optimized as
they perform their
respective assignments
under a single
Incident Action
Plan. |
|
|
(i) The
designated agency officials
participating in the UC represent
different legal authorities
and functional areas of responsibility
and use a collaborative process
to establish incident objectives
and designate priorities that
accommodate those objectives.
Agencies heavily involved in
the incident that lack jurisdictional
responsibility are defined
as supporting agencies. They
are represented in the command
structure and effect coordination
on behalf of their parent agency
through the Liaison Officer.
Jurisdictional responsibilities
of multiple incident management
officials are consolidated
into a single planning process
(discussed more fully in Appendix
A, Tab 8), including:
•
|
responsibilities
for incident management;
|
•
|
incident
objectives;
|
•
|
resource
availability and capabilities;
|
•
|
limitations;
and
|
| • |
areas
of agreement and disagreement
between agency officials. |
|
(ii) Incidents
are managed under a single,
collaborative approach, including
the following:
•
|
common
organizational structure;
|
•
|
single
incident command post;
|
•
|
unified
planning process; and
|
•
|
unified
resource management.
|
|
(iii) Under
UC, the IAP is developed by
the Planning Section Chief
and is approved by the UC.
A single individual, the Operations
Section Chief, directs the
tactical implementation of
the IAP. The Operations Section
Chief will normally come from
the agency with the greatest
jurisdictional involvement.
UC participants will agree
on the designation of the Operations
Section Chief.
|
(iv) UC
works best when the participating
members of the UC collocate
at the Incident Command Post
and observe the following practices:
•
|
Select
an Operations Section
Chief for each operational
period;
|
•
|
Keep
each other informed
of specific requirements;
|
•
|
Establish
consolidated incident
objectives, priorities,
and strategies;
|
•
|
Coordinate
to establish a single
system for ordering
resources;
|
| • |
Develop
a consolidated IAP, written
or oral, evaluated and
updated at regular intervals;
and |
| • |
Establish
procedures for joint
decision-making and documentation. |
|
(v) The
primary differences between
the single command structure
and the UC structure are that:
•
|
In
a single command structure,
the IC is solely responsible
(within the confines
of his or her authority)
for establishing incident
management objectives
and strategies. The
IC is directly responsible
for ensuring that all
functional area activities
are directed toward
accomplishment of the
strategy.
|
•
|
In
a UC structure, the
individuals designated
by their jurisdictional
authorities (or by
departments within
a single jurisdiction)
must jointly determine
objectives, strategies,
plans, and priorities
and work together to
execute integrated
incident operations
and maximize the use
of assigned resources.
|
|
|
|
[Top of Page]
(2)
Command Staff Responsibilities.
In an incident command organization, the Command Staff
consists of the Incident Command and various special staff
positions. The special staff positions are specifically
designated, report directly to the Incident Command, and
are assigned responsibility for key activities that are
not a part of the ICS General Staff functional elements.
Three special staff positions are typically identified
in ICS: Public Information Officer, Safety Officer, and
Liaison Officer. Additional positions may be required,
depending on the nature, scope, complexity, and location(s)
of the incident(s), or according to specific requirements
established by the IC.
(a)
Public Information Officer.
The PIO is responsible for interfacing with the public
and media and/or with other agencies with incident-related
information requirements. The PIO develops accurate
and complete information on the incident’s
cause, size, and current situation; resources committed;
and other matters of general interest for both internal
and external consumption. The PIO may also perform
a key public information- monitoring role. Whether
the command structure is single or unified, only
one incident PIO should be designated. Assistants
may be assigned from other agencies or departments
involved. The IC must approve the release of all
incident-related information.
|
(b)
Safety Officer.
The SO monitors incident operations and advises the
IC on all matters relating to operational safety,
including the health and safety of emergency responder
personnel. The ultimate responsibility for the safe
conduct of incident management operations rests with
the IC or UC and supervisors at all levels of incident
management. The SO is, in turn, responsible to the
IC for the set of systems and procedures necessary
to ensure ongoing assessment of hazardous environments,
coordination of multiagency safety efforts, and implementation
of measures to promote emergency responder safety,
as well as the general safety of incident operations.
The SO has emergency authority to stop and/or prevent
unsafe acts during incident operations. In a UC structure,
a single SO should be designated, in spite of the
fact that multiple jurisdictions and/or functional
agencies may be involved. Assistants may be required
and may be assigned from other agencies or departments
constituting the UC. The SO, Operations Section Chief,
and Planning Section Chief must coordinate closely
regarding operational safety and emergency responder
health and safety issues. The SO must also ensure
the coordination of safety management functions and
issues across jurisdictions, across functional agencies,
and with private-sector and nongovernmental organizations.
It is important to note that the agencies, organizations,
or jurisdictions that contribute to joint safety
management efforts do not lose their individual identities
or responsibility for their own programs, policies,
and personnel. Rather, each entity contributes to
the overall effort to protect all responder personnel
involved in incident operations.
|
(c)
Liaison Officer.
The LNO is the point of contact for representatives
of other governmental agencies, nongovernmental organizations,
and/or private entities. In either a single or UC
structure, representatives from assisting or cooperating
agencies and organizations coordinate through the
LNO. Agency and/or organizational representatives
assigned to an incident must have the authority to
speak for their parent agencies and/or organizations
on all matters, following appropriate consultations
with their agency leadership. Assistants and personnel
from other agencies or organizations (public or private)
involved in incident management activities may be
assigned to the LNO to facilitate coordination.
|
(d)
Assistants.
In the context of large or complex incidents, Command
Staff members may need one or more assistants to
help manage their workloads. Each Command Staff member
is responsible for organizing his or her assistants
for maximum efficiency.
|
(e)
Additional Command Staff.
Additional
Command Staff positions may also be necessary
depending on the nature and location(s)
of the incident, and/or specific requirements
established by the IC. For example, a
Legal Counsel may be assigned directly
to the Command Staff to advise the IC
on legal matters, such as emergency proclamations,
legality of evacuation orders, and legal
rights and restrictions pertaining to
media access. Similarly, a Medical Advisor
may be designated and assigned directly
to the Command Staff to provide advice
and recommendations to the IC in the
context of incidents involving medical
and mental health services, mass casualty,
acute care, vector control, epidemiology,
and/or mass prophylaxis considerations,
particularly in the response to a bioterrorism
event.
|
|
|
c.
The General Staff.
The General Staff represents and is responsible for the functional
aspects of the incident command structure. The General Staff
typically consists of the Operations, Planning, Logistics, and
Finance/Administration Sections, which are discussed below:
(1)
Operations Section.
This section is responsible for all activities
focused on reduction of the immediate hazard,
saving lives and property, establishing situational
control, and restoration of normal operations.
Figure
2 depicts the primary organizational structure
template for an Operations Section. For a
more detailed discussion of the Operations
Section, see Appendix A, Tab 2. Further expansions
of this basic structure will vary according
to numerous considerations and operational
factors. In some cases, the organizational
structure will be determined by jurisdictional
boundaries. In other cases, a strictly functional
approach will be used. In still others, a
mix of functional and geographical considerations
may be appropriate. The ICS offers flexibility
in determining the right structural approach
for the specific circumstances of the incident
at hand.
|
[Top of Page]
|
Figure
2
(a)
Operations Section Chief.
The Operations Section Chief is responsible to the IC or UC for
the direct management of all incident-related operational activities.
The Operations Section Chief will establish tactical objectives
for each operational period, with other section chiefs and unit
leaders establishing their own supporting objectives. The Operations
Section Chief may have one or more deputies assigned, with the
assignment of deputies from other agencies encouraged in the
case of multijurisdictional incidents. An Operations Section
Chief should be designated for each operational period and should
have direct involvement in the preparation of the IAP for the
corresponding period of responsibility.
|
(b)
Branches.
Branches may be used to serve several purposes, and may be functional
or geographic in nature. In general, branches are established
when the number of divisions or groups exceeds the recommended
span of control of one supervisor to three to seven subordinates
for the Operations Section Chief (a ratio of 1:5 is normally
recommended, or 1:8 to 1:10 for many larger-scale law enforcement
operations).
|
(c)
Divisions and Groups.
Divisions and Groups are established when the number of resources
exceeds the manageable span of control of the IC and the Operations
Section Chief. Divisions are established to divide an incident
into physical or geographical areas of operation. Groups are
established to divide the incident into functional areas of operation.
For certain types of incidents, for example, the IC may assign
intelligence-related activities to a functional group in the
Operations Section. There also may be additional levels of supervision
below the Division or Group level.
|
(d)
Resources.
Resources refer to the combination of personnel and equipment
required to enable incident management operations. Resources
may be organized and managed in three different ways, depending
on the requirements of the incident:
(i) Single
Resources. These are individual personnel and
equipment items and the operators associated
with them.
|
(ii) Task
Forces. A Task Force is any combination of
resources assembled in support of a specific
mission or operational need. All resource elements
within a Task Force must have common communications
and a designated leader.
|
(iii) Strike
Teams. Strike Teams are a set number of resources
of the same kind and type that have an established
minimum number of personnel. The use of Strike
Teams and Task Forces is encouraged, wherever
possible, to optimize the use of resources,
reduce the span of control over a large number
of single resources, and reduce the complexity
of incident management coordination and communications.
|
|
(2)
Planning Section.
The
Planning Section collects, evaluates, and disseminates
incident situation information and intelligence to the
IC or UC and incident management personnel, prepares
status reports, displays situation information, maintains
status of resources assigned to the incident, and develops
and documents the IAP based on guidance from the IC or
UC. For a more detailed discussion of the Planning Section
see Appendix A, Tab 3. As shown in Figure 3, the Planning
Section comprises four primary units, as well as a number
of technical specialists to assist in evaluating the
situation, developing planning options, and forecasting
requirements for additional resources.
|
Figure
3
The
Planning Section is normally responsible for gathering
and disseminating information and intelligence critical
to the incident, unless the IC places this function
elsewhere.
The
Planning Section is also responsible for developing
and documenting the IAP. The IAP includes the overall
incident objectives and strategies established by
the IC or UC. In the case of UC, the IAP must adequately
address the mission and policy needs of each jurisdictional
agency, as well as interaction between jurisdictions,
functional agencies, and private organizations. The
IAP also addresses tactical objectives and support
activities required for one operational period, generally
12 to 24 hours. The IAP also contains provisions
for continuous incorporation of “lessons learned” as
incident management activities progress. An IAP is
especially important when:
(a)
resources from multiple agencies and/or jurisdictions
are involved;
|
(b)
multiple jurisdictions are involved;
|
(d)
the incident will effectively span several
operational periods;
|
(d)
changes in shifts of personnel and/or equipment
are required; or
|
(e)
there is a need to document actions and/or
decisions.
|
The
IAP will typically contain a number of components,
as shown in
Figure 4. (For full descriptions of units in each ICS section,
see the tabs in Appendix A.)
[Top of Page]
|
|
|
Components
|
Normally
Prepared By |
|
|
|
Incident
Objectives
|
Incident
Commander
|
Organization
List or Chart
|
Resources
Unit
|
Assignment
List
|
Resources
Unit
|
Communications
Plan
|
Communications
Unit
|
Logistics
Plan
|
Logistics
Unit
|
Responder
Medical Plan
|
Medical
Unit
|
Incident
Map
|
Situation
Unit
|
Health
and Safety Plan
|
Safety
Officer
|
Other
Potential Components
(Scenario dependent)
|
|
Air
Operations Summary
|
Air
Operations
|
Traffic
Plan
|
Ground
Support Unit
|
Decontamination
Plan
|
Technical
Specialist
|
Waste
Management or Disposal Plan
|
Technical
| | | |
