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November 2010
Comprehensive Preparedness Guide (CPG) 101
Version 2.0
Developing and Maintaining
Emergency Operations Plans
I am pleased to announce the release of Version 2.0 of
Comprehensive Preparedness Guide 101:
Developing and Maintaining Emergency Operations Plans.
Comprehensive Preparedness Guide (CPG) 101 provides
guidance for developing emergency operations
plans. It promotes a common understanding of the fundamentals
of risk-informed planning and decision
making to help planners examine a hazard or threat and produce
integrated, coordinated, and
synchronized plans. The goal of CPG 101 is to assist in making
the planning process routine across all
phases of emergency management and for all homeland security
mission areas. This Guide helps planners
at all levels of government in their efforts to develop and
maintain viable, all-hazards, all-threats
emergency plans.
Based on input from state, territorial, tribal, and local officials
from across the United States, this update
of CPG 101 expands on the fundamentals contained in the first
version. With this edition, greater
emphasis is placed on representing and engaging the whole
community—to include those with access and
functional needs, children, and those with household pets and
service animals.
Residents and all sectors of the community have a critical role
and shared responsibility to take
appropriate actions to protect themselves, their families and
organizations, and their properties. Planning
that engages and includes the whole community serves as the
focal point for building a collaborative and
resilient community.
CPG 101 is the foundation for state, territorial, tribal, and local
emergency planning in the United States.
Planners in other disciplines, organizations, and the private
sector, as well as other levels of government,
may find this Guide useful in the development of their
emergency operations plans. While CPG 101
maintains its link to previous guidance, it also reflects the
reality of the current operational planning
environment. This Guide integrates key concepts from national
preparedness policies and doctrines, as
well as lessons learned from disasters, major incidents, national
assessments, and grant programs.
W. Craig Fugate
Administrator, Federal Emergency Management Agency
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Preface
Comprehensive Preparedness Guide (CPG) 101 provides Federal
Emergency Management Agency
(FEMA) guidance on the fundamentals of planning and
developing emergency operations plans (EOP).
CPG 101 shows that EOPs are connected to planning efforts in
the areas of prevention, protection,
response, recovery, and mitigation. Version 2.0 of this Guide
expands on these fundamentals and
encourages emergency and homeland security managers to
engage the whole community in addressing all
risks that might impact their jurisdictions.
While CPG 101 maintains its link to previous guidance, it also
reflects the reality of the current
operational planning environment. This Guide integrates key
concepts from national preparedness
policies and doctrines, as well as lessons learned from disasters,
major incidents, national assessments,
and grant programs. CPG 101 provides methods for planners to:
• Conduct community-based planning that engages the whole
community by using a planning process
that represents the actual population in the community and
involves community leaders and the
private sector in the planning process
• Ensure plans are developed through an analysis of risk
• Identify operational assumptions and resource demands
• Prioritize plans and planning efforts to support their seamless
transition from development to
execution for any threat or hazard
• Integrate and synchronize efforts across all levels of
government.
CPG 101 incorporates the following concepts from operational
planning research and day-to-day
experience:
• The process of planning is just as important as the resulting
document.
• Plans are not scripts followed to the letter, but are flexible and
adaptable to the actual situation.
• Effective plans convey the goals and objectives of the
intended operation and the actions needed to
achieve them.
Successful operations occur when organizations know their
roles, understand how they fit into the overall
plan, and are able to execute the plan.
This Guide is part of a series of CPGs published by FEMA.
CPG 101 discusses the steps used to produce
an EOP, possible plan structures, and components of a basic
plan and its annexes. CPGs provide detailed
information about planning considerations for specific
functions, hazards, and threats.
CPG 101 is the foundation for state, territorial, tribal, and local
emergency planning in the United States.
Planners in other disciplines, organizations, and the private
sector, as well as other levels of government,
may find this Guide useful in the development of their EOPs.
i
Comprehensive Preparedness Guide 101
ii
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Contents
INTRODUCTION AND OVERVIEW
.......................................................................................
INTRO-1
Purpose
...............................................................................................
........................................... Intro-1
Applicability and Scope
...............................................................................................
................. Intro-1
Supersession
...............................................................................................
................................... Intro-2
How to Use This Guide
...............................................................................................
.................. Intro-2
Suggested Training
...............................................................................................
......................... Intro-2
National Incident Management System Implementation
.............................................................. Intro-2
Administrative Information
...............................................................................................
............ Intro-2
Revision Process
............................................................................................. ..
............................. Intro-3
1. THE BASICS OF PLANNING
...............................................................................................
............ 1-1
Overview
...............................................................................................
.............................................. 1-1
Planning Fundamentals
...............................................................................................
........................ 1-1
Planning Principles
...............................................................................................
........................ 1-1
Strategic, Operational, and Tactical Planning
............................................................................... 1-4
Planning Approaches
...............................................................................................
..................... 1-5
Plan Integration
...............................................................................................
.............................. 1-6
Plan Synchronization
...............................................................................................
..................... 1-7
Common Planning Pitfalls
...............................................................................................
............. 1-7
Planning Considerations
...............................................................................................
....................... 1-8
2. UNDERSTANDING THE PLANNING ENVIRONMENT:
FEDERAL, STATE, AND LOCAL
PLANS
...............................................................................................
....................................................... 2-1
Overview
...............................................................................................
.............................................. 2-1
Relationship Between Federal Plans and State Emergency
Operations Plans .................................... 2-1
The National Incident Management System
................................................................................. 2-1
The National Response Framework
..............................................................................................
2-2
Federal Emergency Plans at the National and Regional Level s
................................................... 2-4
State, Territorial, and Tribal Emergency Operations Plans
.......................................................... 2-5
Local Emergency Operations Plans
..............................................................................................
2-5
Linking Federal, State, and Local Emergency Plans
........................................................................... 2-6
3. FORMAT AND FUNCTION: IDENTIFYING THE RIGHT
PLAN FOR THE JOB ................. 3-1
Overview
...............................................................................................
.............................................. 3-1
The Emergency Operations Plan
...............................................................................................
.......... 3-1
State and Local Emergency Operations Plans
.............................................................................. 3-2
Structuring an Emergency Operations
Plan........................................................................................
. 3-3
Traditional Functional Format
...............................................................................................
....... 3-4
Emergency Support Function Format
...........................................................................................
3-5
Agency-/Department-Focused Format
.......................................................................................... 3-
7
Using Planning Templates
...............................................................................................
.................... 3-9
Additional Types of Plans
...............................................................................................
.................... 3-9
Procedural Documents
...............................................................................................
................. 3-10
Emergency Operations Plan Content
...............................................................................................
.. 3-12
The Basic Plan
...............................................................................................
............................. 3-12
iii
Comprehensive Preparedness Guide 101
iv
Supporting Annexes
...............................................................................................
..................... 3-15
Hazard-, Threat-, or Incident-Specific Annexes
......................................................................... 3-18
4. THE PLANNING PROCESS
...............................................................................................
.............. 4-1
Overview
...............................................................................................
.............................................. 4-1
Steps in the Planning Process
...............................................................................................
............... 4-1
Step 1: Form a Collaborative Planning Team
............................................................................... 4-2
Step 2: Understand the Situation
...............................................................................................
.... 4-7
Step 3: Determine Goals and Objectives
.................................................................................... 4-11
Step 4: Plan Development
...............................................................................................
............ 4-12
Step 5: Plan Preparation, Review, and Approval
........................................................................ 4-16
Step 6: Plan Implementation and Maintenance
........................................................................... 4-25
APPENDIX A: AUTHORITIES AND REFERENCES
...................................................................... A-1
APPENDIX B: LIST OF ACRONYMS AND GLOSSARY
............................................................... B-1
APPENDIX C: EMERGENCY OPERATIONS PLAN
DEVELOPMENT GUIDE ........................ C-1
APPENDIX D: SUGGESTED TRAINING
.......................................................................................... D-
1
Introduction and Overview
Purpose
Comprehensive Preparedness Guide (CPG) 101 provides
guidelines on developing emergency operations
plans (EOP). It promotes a common understanding of the
fundamentals of risk-informed planning and
decision making to help planners examine a hazard or threat and
produce integrated, coordinated, and
synchronized plans. The goal of CPG 101 is to make the
planning process routine across all phases of
emergency management and for all homeland security mission
areas. This Guide helps planners at all
levels of government in their efforts to develop and maintain
viable all-hazards, all-threats EOPs.
Accomplished properly, planning provides a methodical way to
engage the whole community in thinking
through the life cycle of a potential crisis, determining required
capabilities, and establishing a framework
for roles and responsibilities. It shapes how a community
envisions and shares a desired outcome, selects
effective ways to achieve it, and communicates expected
results. Each jurisdiction’s plans must reflect
what that community will do to address its specific risks with
the unique resources it has or can obtain.
Planners achieve unity of purpose through
coordination and integration of plans across all
levels of government, nongovernmental
organizations, the private sector, and individuals
and families. This supports the fundamental
principle that, in many situations, emergency management and
homeland security operations start at the
local level and expand to include Federal, state, territorial,
tribal, regional, and private sector assets as the
affected jurisdiction requires additional resources and
capabilities. Plans must, therefore, integrate
vertically to ensure a common operational focus. Similarly,
horizontal integration ensures that individual
department and agency EOPs fit into the jurisdiction’s plans,
and that each department or agency
understands, accepts, and is prepared to execute identified
mission assignments. Incorporating vertical
and horizontal integration into a shared planning community
ensures that the sequence and scope of an
operation are synchronized.
“Let our advance worrying become advanced thinking
and planning.”
Winston Churchill
A shared planning community increases the likelihood of
integration and synchronization, makes
planning cycles more efficient and effective, and makes plan
maintenance easier.
Applicability and Scope
The Federal Emergency Management Agency (FEMA)
recommends that teams responsible for
developing EOPs use CPG 101 to guide their efforts. It provides
a context for emergency planning in
light of other existing plans and describes a universal planning
process. This Guide recognizes that many
jurisdictions across the country have already developed EOPs
that address many emergency management
operations. Therefore, CPG 101 establishes no immediate
requirements, but suggests that the next
iteration of all EOPs follow this guidance.
Additionally, regulatory requirements may necessitate the use
of additional guides for the development of
certain EOP annexes (e.g., the requirements for the Radiological
Emergency Preparedness Program).
CPG 101 has been designed to complement the use of those
guides where required by law or regulation.
Intro-1
Comprehensive Preparedness Guide 101
Supersession
CPG 101 replaces State and Local Guide 101, which is
rescinded. In addition, CPG 101 Version 2.0
supersedes CPG 101 Version 1.0, which is rescinded. CPG 101
Version 2.0 also supersedes the Interim
CPG 301, which is rescinded.
How to Use This Guide
CPG 101 is designed to help both novice and experienced
planners navigate the planning process. Used in
its entirety, this Guide provides information and instruction on
the fundamentals of planning and their
application. Chapters 1 and 2 lay the foundation for planning
efforts by providing information on the
basics of planning (Chapter 1) and the environment within
which planners function (Chapter 2). With an
understanding of these fundamentals, the Guide then transitions
from theory to practice by discussing the
different plan formats and functions (Chapter 3) and moving
into an explanation of the planning process
(Chapter 4). A detailed checklist, building upon Chapters 3 and
4, is provided in Appendix C. Because
Appendix C provides a set of detailed questions to consider
throughout the planning process, users are
encouraged to copy or remove this checklist and employ it as
they work through the planning process in
Chapter 4.
Suggested Training
To use this Guide to its fullest, users will benefit from training
in emergency management and emergency
planning. Appendix D provides a suggested list of training
courses to increase users’ understanding of
emergency management and emergency planning concepts.
National Incident Management System
Implementation
In November 2005, FEMA’s National Integration Center
published guides for integrating National
Incident Management System (NIMS) concepts into EOPs.1
CPG 101 incorporates the concepts and
suggestions found in those documents, which have been
discontinued.
Administrative Information
Terms and acronyms in the text come from the FEMA
Acronyms, Abbreviations, and Terms; the National
Response Framework (NRF); the NIMS; or the Homeland
Security Act of 2002. Websites referenced in
this Guide were active at the time of its publication.
CPG 101 uses the following contextual definitions for incident,
state, and local government throughout
the document:
• Incident means an occurrence or event—natural,
technological, or human-caused—that requires a
response to protect life, property, or the environment (e.g.,
major disasters, emergencies, terrorist
attacks, terrorist threats, civil unrest, wildland and urban fires,
floods, hazardous materials
[HAZMAT] spills, nuclear accidents, aircraft accidents,
earthquakes, hurricanes, tornadoes, tropical
1 State NIMS Integration: Integrating the National Incident
Management System into State Emergency Operations Plans and
Standard Operating Procedures
Local and Tribal NIMS Integration: Integrating the National
Incident Management System into Local and Tribal Emergency
Operations Plans and Standard Operating Procedures
Intro-2
Introduction and Overview
storms, tsunamis, war-related disasters, public health and
medical emergencies, other occurrences
requiring an emergency response).
• State means any state of the United States, and includes the
District of Columbia, the Commonwealth
of Puerto Rico, the Virgin Islands, Guam, American Samoa, the
Commonwealth of the Northern
Mariana Islands, a Native American Tribe or organization,2 an
Alaska native village or Regional
Native Corporation, and any possession of the United States.
• Local government means:
– A county, municipality, city, town, township, local public
authority, school district, special
district, intrastate district, council of governments (regardless
of whether the council of
governments is incorporated as a not-for-profit corporation
under state law), regional or interstate
government entity, or agency or instrumentality of a local
government
– A rural community, unincorporated town or village, or other
public entity.
Revision Process
FEMA will revise CPG 101, as needed, and issue change pages
through the publication distribution
system and online through approved sources.
FEMA welcomes recommendations on how to improve this
Guide so it better serves the needs of the
emergency management community. Provide recommendations
for improving this Guide to:
[email protected], ATTN: CPG Initiative – 101.
2 FEMA recognizes that a tribe’s right of self-government flows
from the inherent sovereignty of tribes as nations and that the
Federally-recognized tribes have a unique and direct
relationship with the Federal Government.
Intro-3
Comprehensive Preparedness Guide 101
Intro-4
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1. The Basics of Planning
Overview
The elected and appointed leaders in each jurisdiction are
responsible for ensuring that necessary and
appropriate actions are taken to protect people and property
from any threat or hazard. When threatened
by any hazard, citizens expect elected or appointed leaders to
take immediate action to help them resolve
the problem. Citizens expect the government to marshal its
resources, channel the efforts of the whole
community—including voluntary organizations and the private
sector—and, if necessary, solicit
assistance from outside the jurisdiction.
Residents and all sectors of the community have a critical role
and shared responsibility to take
appropriate actions to protect themselves, their families and
organizations, and their properties. Planning
that includes the whole community builds a resilient
community.3
This chapter serves as a foundation for the rest of the Guide by
providing an overview of the basics of
planning. It describes how risk-informed, community-based
planning supports decision making. This
chapter also discusses key planning concepts, effective
planning, and planning pitfalls.
Planning Fundamentals
Planning Principles
A
p
pplying the following principles to the planning process is key
to developing an all-hazards plan for
rotecting lives, property, and the environment:
Planning must be community-based,
representing the whole population and its
needs. Understanding the composition of the
population—such as accounting for people with
disabilities, others with access and functional
needs, and for the needs of children—must occur
from the outset of the planning effort. For
example, the demographics of the population, including its
resources and needs, have a profound effect on
evacuation, shelter operations, and family reunification.4
Another key consideration is the integration of
household pets and service animals into the planning process.
Many individuals may make decisions on
whether to comply with protective action measures based on the
jurisdiction’s ability to address the
concerns about their household pets and service animals.
Establishing a profile of the community will also
let planners know if courses of action are feasible. For example,
if the majority of the actual resident
population do not own cars, then planning efforts must account
for greater transportation resource
requirements than if the population was predominately
composed of car-owning households. The
businesses that comprise your jurisdiction must also be a part of
your demographics—your jurisdiction
Community-based planning is the concept that
planning must not only be representative of the actual
population within the community, but also must involve
the whole community in the planning process. The
process for engaging the whole community in
community-based planning is discussed in Chapter 4.
3 Per the Department of Homeland Security Risk Lexicon
(http://www.dhs.gov/xlibrary/assets/dhs_risk_lexicon.pdf),
resiliency is the
ability for governments, infrastructures, systems, businesses,
and citizenry to resist, absorb, recover from, or adapt to an
adverse
occurrence that may cause harm or destruction to our health,
safety, economic well-being, essential services, or public
confidence.
4 Planners should ensure compliance with the requirements of
Title VI of the Civil Rights Act of 1964, Executive Order
13166, the
Americans with Disabilities Act, Section 504 of the
Rehabilitation Act, and other Federal, state, or local laws and
anti-discrimination
laws.
1-1
Comprehensive Preparedness Guide 101
may house the only business providing a critical resource to
your area or the Nation. By fully
understanding the composition and requirements of the actual
population (including all segments of the
community), community-based plans will lead to improved
response and recovery activities and,
ultimately, overall preparedness.
Planning must include participation from all stakeholders in the
community. Effective planning
ensures that the whole community is represented and involved
in the planning process. The most realistic
and complete plans are prepared by a diverse planning team,
including representatives from the
jurisdiction’s departments and agencies, civic leaders,
businesses, and organizations (e.g., civic, social,
faith-based, humanitarian, educational, advocacy, professional)
who are able to contribute critical
perspectives and/or have a role in executing the plan. The
demographics of the community will aid in
determining who to involve as the planning team is constructed.
Including community leaders
representative of the entire community in planning reinforces
the expectation that the community
members have a shared responsibility and strengthens the public
motivation to conduct planning for
themselves, their families, and their organizations. For example,
it is essential to incorporate individuals
with disabilities or specific access and functional needs and
individuals with limited English proficiency,
as well as the groups and organizations that support these
individuals, in all aspects of the planning
process. When the plan considers and incorporates the views of
the individuals and organizations
assigned tasks within it, they are more likely to accept and use
the plan.
Planning uses a logical and analytical problem-solving process
to help address the complexity and
uncertainty inherent in potential hazards and threats. By
following a set of logical steps that includes
gathering and analyzing information, determining operational
objectives, and developing alternative ways
to achieve the objectives, planning allows a jurisdiction or
regional response structure to work through
complex situations. Planning helps a jurisdiction identify the
resources at its disposal to perform critical
tasks and achieve desired outcomes/target levels of
performance. Rather than concentrating on every
detail of how to achieve the objective, an effective plan
structures thinking and supports insight,
creativity, and initiative in the face of an uncertain and fluid
environment. While using a prescribed
planning process cannot guarantee success, inadequate plans
and insufficient planning are proven
contributors to failure.
Planning considers all hazards and threats. While the causes of
emergencies can vary greatly, many of
the effects do not. Planners can address common operational
functions in their basic plans instead of
having unique plans for every type of hazard or threat. For
example, floods, wildfires, HAZMAT releases,
and radiological dispersal devices may lead a jurisdiction to
issue an evacuation order and open shelters.
Even though each hazard’s characteristics (e.g., speed of onset,
size of the affected area) are different, the
general tasks for conducting an evacuation and shelter
operations are the same. Planning for all threats and
hazards ensures that, when addressing emergency functions,
planners identify common tasks and those
responsible for accomplishing the tasks.
Planning should be flexible enough to address both traditional
and catastrophic incidents. Scalable
planning solutions are the most likely to be understood and
executed properly by the operational
personnel who have practice in applying them. Planners can test
whether critical plan elements are
sufficiently flexible by exercising them against scenarios of
varying type and magnitude. In some cases,
planners may determine that exceptional policies and
approaches are necessary for responding to and
recovering from catastrophic incidents. These exceptional
planning solutions should be documented
within plans, along with clear descriptions of the triggers that
indicate they are necessary.
Plans must clearly identify the mission and supporting goals
(with desired results). More than any
other plan element, the clear definition of the mission and
supporting goals (which specify desired
results/end-states) enables unity of effort and consistency of
purpose among the multiple groups and
1-2
1. The Basics of Planning
activities involved in executing the plan. Every other plan
element should be designed and evaluated
according to its contributions to accomplishing the missi on and
…
Revised 9/07 Incident Annex -1 of 4
Incident
Annexes
Revised 9/07 Incident Annex -2 of 4
Incident Specific Annexes Introduction
Purpose
This section provides an overview of the annexes applicable to
situations requiring
specialized, incident-specific implementation of the Emergency
Operations Plan (EOP).
Background
The Incident Annexes address contingency or hazard situations
requiring specialized
application of the EOP. The annexes in the sections that follow
address the following
situations:
• Catastrophic Incident
• Dam Safety
• Flooding Incident
• Severe Weather
• Hazardous Materials Incident
• Terrorism Incident Law Enforcement
• Warning
• Airport
• Pandemic Flu (in development)
• Continuity of Operations (in development)
Incident Annexes are organized alphabetically. Policies and
procedures in the
Catastrophic Incident Annex are overarching and applicable for
all hazards. Similarly,
the mechanisms in the Terrorism Incident Law Enforcemen t and
Investigation Annex
apply when terrorism is associated with any incident.
Incident Annex Contents
The annexes describe the policies, situation, concept of
operations, and responsibilities
pertinent to the type of incident in question.
Policies: Each annex explains unique authorities pertinent to
that incident, the special
actions or declarations that may result, and any special policies
that may apply.
Situation: Each annex describes the incident situation as well
as the planning
assumptions, and outlines the approach that will be used if key
assumptions do not hold.
Concept of Operations: Each annex describes the concept of
operations appropriate
to the incident, unique aspects of the organizational approach,
notification and activation
processes, and specialized incident-related actions.
Each annex also details the coordination structures and
positions of authority that are
unique to the type of incident, the specialized response teams or
unique resources
needed, and other special considerations.
Revised 9/07 Incident Annex -3 of 4
Responsibilities: Each Incident Annex identifies the
coordinating and cooperating
agencies involved in an incident-specific response; in some
cases, this responsibility is
held jointly by two or more departments.
The overarching nature of functions described in these annexes
frequently involves
either the support to, or the cooperation of, all departments and
agencies involved in
incident management efforts. In some cases, actions detailed in
the annex also
incorporate various components of local agencies and other
departments and agencies
to ensure seamless integration of and transitions between
preparedness, prevention,
response, recovery, and mitigation activities.
The responsibilities of the coordinating agency and cooperating
agencies are identified
below:
Coordinating Department
Coordinating agencies described in the EOP annexes support the
incident management
mission by providing the leadership, expertise, and authorities
to implement critical and
specific aspects of the response. In some annexes, the
responsibilities of the
coordinating agency may be shared or delegated based on the
nature or the location of
the incident.
The coordinating agency is responsible for:
• Orchestrating a coordinated delivery of those functions and
procedures identified
in the annex;
• Providing staff for operations functions at fixed and field
facilities;
• Notifying and sub-tasking cooperating agencies;
• Managing tasks with cooperating agencies, as well as
appropriate State
agencies;
• Working with appropriate private sector organizations to
maximize use of
available resources;
• Supporting and keeping ESFs and other organizational
elements informed of
annex activities;
• Planning for short-term and long-term support to incident
management and
recovery operations; and
• Maintaining trained personnel to provide appropriate support.
Cooperating Agency
The coordinating agency will notify cooperating agencies when
their assistance is
needed. Cooperating agencies are responsible for:
• Conducting operations, when requested by the coordinating
agency, using their
own subject-matter experts, capabilities, or resources;
• Participating in planning for incident management and
recovery operations and
development of supporting operational plans, standard operating
procedures,
checklists, and other tools.
Revised 9/07 Incident Annex -4 of 4
• Furnishing available personnel, equipment, or other resources
support as
requested by the Coordinating Agency.
• Participating in training and exercises aimed at continuous
improvement of
prevention, response and recovery capabilities; and
• Nominating new technologies or procedures to improve
performance.
CoverHazard Vulnerability AssessmentLocation:Bobsville,
OKDate Updated:7/17/20XXCompleted by:APUSAdapted from
FEMA IS-559 Toolkit
Matrix-NatHazard Vulnerability Matrix -
NaturalLocation:Bobsville, OKDate
Completed:7/17/20XXCompleted
by:APUSHazardProbabilityImpactFrequencyDistributionList
specific hazards which could occur in your community. Include
only natural hazards.HighMajor50
yrsRegionalModerateMinor10 yrsCounty-wideLowNone5-10
yrsLocalizedNone2-3 yrsN/Aevery yearseveral times per
yearWinter StormHighMajor2-3 yrsLocalizedSevere
ThunderstormHighMinorseveral times per yearCounty-
wideTornadoesModerateMajor2-3
yrsLocalizedDroughtModerateMajor5-10
yrsRegionalWildfireModerateMinor5-10 yrsLocalizedDust
StormModerateMinor10
yrsRegionalEarthquakesModerateNoneseveral times per
yearLocalizedHeat WaveLowMinor2-3
yrsRegionalFloodingLowMinor5-10 yrsCounty-
wideHurricaneLowMinor50 yrsRegionalAdapted from FEMA
IS-559 Toolkit
Matrix-TechHazard Vulnerability Matrix -
TechnologicalLocation:Bobsville, OKDate
Completed:7/17/20XXCompleted
by:APUSHazardProbabilityImpactFrequencyDistributionList
specific hazards which could occur in your community. Include
only technology-caused hazards.HighMajor50
yrsRegionalModerateMinor10 yrsCounty-wideLowNone5-10
yrsLocalizedNone2-3 yrsN/Aevery yearseveral times per
yearInformation Technology FailureHighMinorseveral times per
yearLocalizedCommunicationsHighMinorevery
yearLocalizedWaterModerateMajor5-10
yrsLocalizedPowerModerateMinor2-3 yrsCounty-
wideGasModerateMinor10
yrsLocalizedSewageModerateMinor50 yrsLocalizedHazardous
Materials ReleaseLowMajor50 yrsCounty-wideRadiological
AccidentLowMajor50 yrsRegionalStructural
Failure/CollapseLowMinor50 yrsLocalizedSupply Chain
InterruptionLowMinor2-3 yrsLocalizedAircraft
CrashLowMinor10 yrsRegionalAdapted from FEMA IS-559
Toolkit
Matrix-ManHazard Vulnerability Matrix -
HumanLocation:Bobsville, OKDate
Completed:7/17/20XXCompleted
by:APUSHazardProbabilityImpactFrequencyDistributionList
specific hazards which could occur in your community. Include
only adversarial or human-caused hazards on this
tab.HighMajor50 yrsRegionalModerateMinor10 yrsCounty-
wideLowNone5-10 yrsLocalizedNone2-3 yrsN/Aevery
yearseveral times per yearCow Chip FestivalHighMajorevery
yearLocalizedState High School Rowing
ChampionshipHighMajorevery yearLocalizedTransportation
AccidentsHighMinorseveral times per
yearLocalizedTheft/vandalismModerateMinorseveral times per
yearLocalizedCivil DisturbanceModerateMinorseveral times per
yearLocalizedCybercrimeModerateMinorevery
yearRegionalPollution (Air, Water, Land)ModerateMinorevery
yearCounty-wideEntrapment/RescueModerateMinorevery
yearLocalizedLost/Abuducted Child/ElderlyModerateMinor2-3
yrsCounty-wideInfectious disease outbreakLowMajor5-10
yrsCounty-wideTerrorism CBRNE, ECOLowMajor50
yrsRegionalActive shooterLowMajor50
yrsLocalizedArsonLowMinor10 yrsLocalizedSupermax
PrisonLowMinor50 yrsRegionalHostage IncidentLowMinor50
yrsLocalizedAdapted from FEMA IS-559 Toolkit
Vuln-NatHazard Vulnerability Spreadsheet -
NaturalLocation:Bobsville, OKDate
Completed:7/17/20XXCompleted by:APUSType of
HazardHistorical OccurrenceProbability of OccurenceHuman
ImpactProperty ImpactBusiness ImpactMitigation
ActivitiesInternal ResourcesExternal ResourcesTotalSourced
from Hazard Vulnerability MatrixHas not occurred - 1 < 5% -
1Low - 1Low - 1Low - 1Low - 1Low - 1Low - 1Low: <
2.0Every 51-100 yrs - 2 5-10% - 2Low - 2Low - 2Low - 2Low -
2Low - 2Low - 2Every 11-50 yrs - 3 10-20% - 3Med - 3Med -
3Med - 3Med - 3Med - 3Med - 3Med: 2.1-3.5Every 5-10 yrs - 4
20-40% - 4High - 4High - 4High - 4High - 4High - 4High -
4High: > 3.5Every 1-4 yrs - 5 > 40% - 5High - 5High - 5High -
5High - 5High - 5High - 5Winter Storm554255233.625Severe
Thunderstorm553225233.125Tornadoes555555134.25Drought44
3224223.125Wildfire333513223.25Dust
Storm121423122.75Earthquakes431111113.125Heat
Wave232122232.625Flooding442333133.375Hurricane1111111
12.5Adapted from FEMA IS-559 Toolkit
Vuln-TechHazard Vulnerability Spreadsheet -
TechnologicalLocation:Bobsville, OKDate
Completed:7/17/20XXCompleted by:APUSType of
HazardHistorical OccurrenceProbability of OccurenceHuman
ImpactProperty ImpactBusiness ImpactMitigation
ActivitiesInternal ResourcesExternal ResourcesTotalSourced
from Hazard Vulnerability MatrixHas not occurred - 1 < 5% -
1Low - 1Low - 1Low - 1Low - 1Low - 1Low - 1Low: <
2.0Every 51-100 yrs - 2 5-10% - 2Low - 2Low - 2Low - 2Low -
2Low - 2Low - 2Every 11-50 yrs - 3 10-20% - 3Med - 3Med -
3Med - 3Med - 3Med - 3Med - 3Med: 2.1-3.5Every 5-10 yrs - 4
20-40% - 4High - 4High - 4High - 4High - 4High - 4High -
4High: > 3.5Every 1-4 yrs - 5 > 40% - 5High - 5High - 5High -
5High - 5High - 5High - 5Information Technology
Failure552153233.5Communications552153233.5Water3351555
32.75Power155153143.375Gas324132133.125Sewage324252223
.5Hazardous Materials Release224342243. 125Radiological
Accident115341143.25Structural
Failure/Collapse223532333.125Supply Chain
Interruption133154332.625Aircraft
Crash411113312.375Adapted from FEMA IS-559 Toolkit
Vuln-ManHazard Vulnerability Spreadsheet -
HumanLocation:Bobsville, OKDate
Completed:7/17/20XXCompleted by:APUSType of
HazardHistorical OccurrenceProbability of OccurenceHuman
ImpactProperty ImpactBusiness ImpactMitigation
ActivitiesInternal ResourcesExternal ResourcesTotalSourced
from Hazard Vulnerability MatrixHas not occurred - 1 < 5% -
1Low - 1Low - 1Low - 1Low - 1Low - 1Low - 1Low: <
2.0Every 51-100 yrs - 2 5-10% - 2Low - 2Low - 2Low - 2Low -
2Low - 2Low - 2Every 11-50 yrs - 3 10-20% - 3Med - 3Med -
3Med - 3Med - 3Med - 3Med - 3Med: 2.1-3.5Every 5-10 yrs - 4
20-40% - 4High - 4High - 4High - 4High - 4High - 4High -
4High: > 3.5Every 1-4 yrs - 5 > 40% - 5High - 5High - 5High -
5High - 5High - 5High - 5Cow Chip Festival555255433.5State
High School Rowing Championship555255433.5Transportation
Accidents553223233.375Theft/vandalism55123311 3.625Civil
Disturbance431133123Cybercrime542131133.5Pollution (Air,
Water,
Land)542221133.5Entrapment/Rescue533113322.875Lost/Abud
ucted Child/Elderly522113322.625Infectious disease
outbreak325132243Terrorism CBRNE,
ECO114241133.125Active
shooter114131213Arson113531333Supermax
Prison312111132.625Hostage Incident113111332.25Adapted
from FEMA IS-559 Toolkit
RiskIdx-NatHazard Vulnerability Matrix -
NaturalLocation:Bobsville, OKDate
Completed:7/17/20XXCompleted
by:APUSHazardFrequencyMagnitudeWarning
TimeSeveritySpecial Characteristics & Planning
ConsiderationsRisk PrioritySourced from Hazard Vulnerability
MatrixUnlikelyNegligible24+
hoursNegligibleLowPossibleLimited12-24
hoursLimitedMediumLikelyCritical6-12
hoursCriticalHighHighly
LikelyCatastrophicMinimalCatastrophicWinter StormHighly
LikelyCatastrophic12-24 hoursCriticalDOT & private snow
removal, power/gas gridHighSevere
ThunderstormLikelyCatastrophic12-24 hoursCriticalEarly
Warning System, building
codesMediumTornadoesLikelyCritical6-12
hoursCatastrophicEarly Warning System, building
codesHighDroughtPossibleCatastrophic24+ hoursLimitedWater
rationingLowWildfirePossibleCatastrophicMinimalCatastrophic
Agricultural landHighDust StormPossibleCatastrophic12-24
hoursLimitedAgricultural
landLowEarthquakesPossibleCatastrophicMinimalNegligibleTo
wer, bridgeLowHeat WavePossibleCatastrophic24+
hoursLimitedPower grid overload, Marina
accessLowFloodingLikelyLimited6-12 hoursCriticalBobsville
creek bridgeMediumHurricaneUnlikelyNegligible24+
hoursNegligibleCoastal Refugee housingLowAdapted from
FEMA IS-559 Toolkit
RiskIdx-TechHazard Vulnerability Matrix -
TechnologicalLocation:Bobsville, OKDate
Completed:7/17/20XXCompleted
by:APUSHazardFrequencyMagnitudeWarning
TimeSeveritySpecial Characteristics & Planning
ConsiderationsRisk PrioritySourced from Hazard Vulnerability
MatrixUnlikelyNegligible24+
hoursNegligibleLowPossibleLimited12-24
hoursLimitedMediumLikelyCritical6-12
hoursCriticalHighHighly
LikelyCatastrophicMinimalCatastrophicInformation Technology
FailurePossibleLimitedMinimal LimitedBackup battery power
supply and generator
LowCommunicationsPossibleCriticalMinimalCriticalBackup
battery power supply and generator
MediumWaterPossibleCatastrophicMinimalCatastrophicBackup
generator for reservoir treatment
HighPowerLikelyCatastrophi cMinimalCriticalBackup power
generatorsHighGasUnlikelyCriticalMinimalCriticalMediumSewa
gePossibleCriticalMinimalCriticalBackup generator for
treatment plantMediumHazardous Materials
ReleasePossibleLimitedMinimalCatastrophicHazmat training,
basic PPEMediumRadiological
AccidentUnlikelyCatastrophicMinimalCatastrophicDisaster Co
Nuclear Power Plant, maintain evacuation routeLowStructural
Failure/CollapseUnlikelyLimitedMinimalCriticalTower,
bridgeLowSupply Chain InterruptionPossibleCritical12-24
hoursCriticalInterstate ramps, bridgeLowAircraft
CrashPossibleLimitedMinimalLimitedNational Guard & Private
AirlinesLowAdapted from FEMA IS-559 Toolkit
RiskIdx-ManHazard Vulnerability Matrix -
HumanLocation:Bobsville, OKDate
Completed:7/17/20XXCompleted
by:APUSHazardFrequencyMagnitudeWarning
TimeSeveritySpecial Characteristics & Planning
ConsiderationsRisk PrioritySourced from Hazard Vulnerability
MatrixUnlikelyNegligible24+
hoursNegligibleLowPossibleLimited12-24
hoursLimitedMediumLikelyCritical6-12
hoursCriticalHighHighly
LikelyCatastrophicMinimalCatastrophicCow Chip
FestivalHighly LikelyCriticalMinimalCriticalEstablished event,
mutual aid arrangementsHighState High School Rowing
ChampionshipHighly LikelyCriticalMinimalCriticalEstablished
event, mutual aid arrangementsHighTransportation
AccidentsLikelyNegligibleMinimalLimitedBridge, maintain
evacuation route. Race track
MediumTheft/vandalismLikelyNegligibleMinimalNegligibleLow
Civil DisturbancePossibleLimitedMinimalLimitedTown Hall
meetingsLowCybercrimePossibleNegligibleMinimalLimitedGov
t offices, universityLowPollution (Air, Water,
Land)PossibleCritical12-24 hoursLimitedLake/Reservoir,
agricultural
byproductLowEntrapment/RescuePossibleNegligibleMinimalLi
mitedCreek rapids, lake, livestockLowLost/Abuducted
Child/ElderlyUnlikelyNegligibleMinimalLimitedLowInfectious
disease outbreakPossibleCritical24+ hoursCriticalTransport to
larger hospitalsMediumTerrorism CBRNE,
ECOUnlikelyLimitedMinimalCriticalMass gatherings, Govt
Offices, Schools, Ag landMediumActive
shooterPossibleLimitedMinimalCriticalMass gatherings, Govt
Offices,
SchoolsMediumArsonUnlikelyLimitedMinimalLimitedMass
gatherings, Govt Offices, SchoolsMediumSupermax
PrisonUnlikelyCritical6-12 hoursLimitedAlert
systemLowHostage
IncidentUnlikelyNegligibleMinimalLimitedGovt offices,
universityLowAdapted from FEMA IS-559 Toolkit

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November 2010 comprehensive preparedness guide (cpg) 101

  • 1. November 2010 Comprehensive Preparedness Guide (CPG) 101 Version 2.0 Developing and Maintaining Emergency Operations Plans I am pleased to announce the release of Version 2.0 of Comprehensive Preparedness Guide 101: Developing and Maintaining Emergency Operations Plans. Comprehensive Preparedness Guide (CPG) 101 provides guidance for developing emergency operations plans. It promotes a common understanding of the fundamentals of risk-informed planning and decision
  • 2. making to help planners examine a hazard or threat and produce integrated, coordinated, and synchronized plans. The goal of CPG 101 is to assist in making the planning process routine across all phases of emergency management and for all homeland security mission areas. This Guide helps planners at all levels of government in their efforts to develop and maintain viable, all-hazards, all-threats emergency plans. Based on input from state, territorial, tribal, and local officials from across the United States, this update of CPG 101 expands on the fundamentals contained in the first version. With this edition, greater emphasis is placed on representing and engaging the whole community—to include those with access and functional needs, children, and those with household pets and service animals. Residents and all sectors of the community have a critical role and shared responsibility to take appropriate actions to protect themselves, their families and organizations, and their properties. Planning that engages and includes the whole community serves as the focal point for building a collaborative and resilient community. CPG 101 is the foundation for state, territorial, tribal, and local emergency planning in the United States. Planners in other disciplines, organizations, and the private sector, as well as other levels of government, may find this Guide useful in the development of their emergency operations plans. While CPG 101 maintains its link to previous guidance, it also reflects the reality of the current operational planning environment. This Guide integrates key concepts from national
  • 3. preparedness policies and doctrines, as well as lessons learned from disasters, major incidents, national assessments, and grant programs. W. Craig Fugate Administrator, Federal Emergency Management Agency This page intentionally left blank. Preface Comprehensive Preparedness Guide (CPG) 101 provides Federal Emergency Management Agency (FEMA) guidance on the fundamentals of planning and developing emergency operations plans (EOP). CPG 101 shows that EOPs are connected to planning efforts in the areas of prevention, protection, response, recovery, and mitigation. Version 2.0 of this Guide expands on these fundamentals and encourages emergency and homeland security managers to engage the whole community in addressing all risks that might impact their jurisdictions.
  • 4. While CPG 101 maintains its link to previous guidance, it also reflects the reality of the current operational planning environment. This Guide integrates key concepts from national preparedness policies and doctrines, as well as lessons learned from disasters, major incidents, national assessments, and grant programs. CPG 101 provides methods for planners to: • Conduct community-based planning that engages the whole community by using a planning process that represents the actual population in the community and involves community leaders and the private sector in the planning process • Ensure plans are developed through an analysis of risk • Identify operational assumptions and resource demands • Prioritize plans and planning efforts to support their seamless transition from development to execution for any threat or hazard • Integrate and synchronize efforts across all levels of government. CPG 101 incorporates the following concepts from operational planning research and day-to-day experience: • The process of planning is just as important as the resulting document. • Plans are not scripts followed to the letter, but are flexible and adaptable to the actual situation. • Effective plans convey the goals and objectives of the
  • 5. intended operation and the actions needed to achieve them. Successful operations occur when organizations know their roles, understand how they fit into the overall plan, and are able to execute the plan. This Guide is part of a series of CPGs published by FEMA. CPG 101 discusses the steps used to produce an EOP, possible plan structures, and components of a basic plan and its annexes. CPGs provide detailed information about planning considerations for specific functions, hazards, and threats. CPG 101 is the foundation for state, territorial, tribal, and local emergency planning in the United States. Planners in other disciplines, organizations, and the private sector, as well as other levels of government, may find this Guide useful in the development of their EOPs. i Comprehensive Preparedness Guide 101 ii This page intentionally left blank. Contents INTRODUCTION AND OVERVIEW
  • 6. ....................................................................................... INTRO-1 Purpose ............................................................................................... ........................................... Intro-1 Applicability and Scope ............................................................................................... ................. Intro-1 Supersession ............................................................................................... ................................... Intro-2 How to Use This Guide ............................................................................................... .................. Intro-2 Suggested Training ............................................................................................... ......................... Intro-2 National Incident Management System Implementation .............................................................. Intro-2 Administrative Information ............................................................................................... ............ Intro-2 Revision Process ............................................................................................. .. ............................. Intro-3 1. THE BASICS OF PLANNING ............................................................................................... ............ 1-1 Overview ............................................................................................... .............................................. 1-1 Planning Fundamentals ............................................................................................... ........................ 1-1
  • 7. Planning Principles ............................................................................................... ........................ 1-1 Strategic, Operational, and Tactical Planning ............................................................................... 1-4 Planning Approaches ............................................................................................... ..................... 1-5 Plan Integration ............................................................................................... .............................. 1-6 Plan Synchronization ............................................................................................... ..................... 1-7 Common Planning Pitfalls ............................................................................................... ............. 1-7 Planning Considerations ............................................................................................... ....................... 1-8 2. UNDERSTANDING THE PLANNING ENVIRONMENT: FEDERAL, STATE, AND LOCAL PLANS ............................................................................................... ....................................................... 2-1 Overview ............................................................................................... .............................................. 2-1 Relationship Between Federal Plans and State Emergency Operations Plans .................................... 2-1 The National Incident Management System
  • 8. ................................................................................. 2-1 The National Response Framework .............................................................................................. 2-2 Federal Emergency Plans at the National and Regional Level s ................................................... 2-4 State, Territorial, and Tribal Emergency Operations Plans .......................................................... 2-5 Local Emergency Operations Plans .............................................................................................. 2-5 Linking Federal, State, and Local Emergency Plans ........................................................................... 2-6 3. FORMAT AND FUNCTION: IDENTIFYING THE RIGHT PLAN FOR THE JOB ................. 3-1 Overview ............................................................................................... .............................................. 3-1 The Emergency Operations Plan ............................................................................................... .......... 3-1 State and Local Emergency Operations Plans .............................................................................. 3-2 Structuring an Emergency Operations Plan........................................................................................ . 3-3 Traditional Functional Format ............................................................................................... ....... 3-4 Emergency Support Function Format ........................................................................................... 3-5
  • 9. Agency-/Department-Focused Format .......................................................................................... 3- 7 Using Planning Templates ............................................................................................... .................... 3-9 Additional Types of Plans ............................................................................................... .................... 3-9 Procedural Documents ............................................................................................... ................. 3-10 Emergency Operations Plan Content ............................................................................................... .. 3-12 The Basic Plan ............................................................................................... ............................. 3-12 iii Comprehensive Preparedness Guide 101 iv Supporting Annexes ............................................................................................... ..................... 3-15 Hazard-, Threat-, or Incident-Specific Annexes ......................................................................... 3-18
  • 10. 4. THE PLANNING PROCESS ............................................................................................... .............. 4-1 Overview ............................................................................................... .............................................. 4-1 Steps in the Planning Process ............................................................................................... ............... 4-1 Step 1: Form a Collaborative Planning Team ............................................................................... 4-2 Step 2: Understand the Situation ............................................................................................... .... 4-7 Step 3: Determine Goals and Objectives .................................................................................... 4-11 Step 4: Plan Development ............................................................................................... ............ 4-12 Step 5: Plan Preparation, Review, and Approval ........................................................................ 4-16 Step 6: Plan Implementation and Maintenance ........................................................................... 4-25 APPENDIX A: AUTHORITIES AND REFERENCES ...................................................................... A-1 APPENDIX B: LIST OF ACRONYMS AND GLOSSARY ............................................................... B-1 APPENDIX C: EMERGENCY OPERATIONS PLAN DEVELOPMENT GUIDE ........................ C-1 APPENDIX D: SUGGESTED TRAINING .......................................................................................... D-
  • 11. 1 Introduction and Overview Purpose Comprehensive Preparedness Guide (CPG) 101 provides guidelines on developing emergency operations plans (EOP). It promotes a common understanding of the fundamentals of risk-informed planning and decision making to help planners examine a hazard or threat and produce integrated, coordinated, and synchronized plans. The goal of CPG 101 is to make the planning process routine across all phases of emergency management and for all homeland security mission areas. This Guide helps planners at all levels of government in their efforts to develop and maintain viable all-hazards, all-threats EOPs. Accomplished properly, planning provides a methodical way to engage the whole community in thinking through the life cycle of a potential crisis, determining required capabilities, and establishing a framework for roles and responsibilities. It shapes how a community envisions and shares a desired outcome, selects effective ways to achieve it, and communicates expected results. Each jurisdiction’s plans must reflect what that community will do to address its specific risks with the unique resources it has or can obtain. Planners achieve unity of purpose through coordination and integration of plans across all levels of government, nongovernmental organizations, the private sector, and individuals
  • 12. and families. This supports the fundamental principle that, in many situations, emergency management and homeland security operations start at the local level and expand to include Federal, state, territorial, tribal, regional, and private sector assets as the affected jurisdiction requires additional resources and capabilities. Plans must, therefore, integrate vertically to ensure a common operational focus. Similarly, horizontal integration ensures that individual department and agency EOPs fit into the jurisdiction’s plans, and that each department or agency understands, accepts, and is prepared to execute identified mission assignments. Incorporating vertical and horizontal integration into a shared planning community ensures that the sequence and scope of an operation are synchronized. “Let our advance worrying become advanced thinking and planning.” Winston Churchill A shared planning community increases the likelihood of integration and synchronization, makes planning cycles more efficient and effective, and makes plan maintenance easier. Applicability and Scope The Federal Emergency Management Agency (FEMA) recommends that teams responsible for developing EOPs use CPG 101 to guide their efforts. It provides a context for emergency planning in light of other existing plans and describes a universal planning process. This Guide recognizes that many jurisdictions across the country have already developed EOPs
  • 13. that address many emergency management operations. Therefore, CPG 101 establishes no immediate requirements, but suggests that the next iteration of all EOPs follow this guidance. Additionally, regulatory requirements may necessitate the use of additional guides for the development of certain EOP annexes (e.g., the requirements for the Radiological Emergency Preparedness Program). CPG 101 has been designed to complement the use of those guides where required by law or regulation. Intro-1 Comprehensive Preparedness Guide 101 Supersession CPG 101 replaces State and Local Guide 101, which is rescinded. In addition, CPG 101 Version 2.0 supersedes CPG 101 Version 1.0, which is rescinded. CPG 101 Version 2.0 also supersedes the Interim CPG 301, which is rescinded. How to Use This Guide CPG 101 is designed to help both novice and experienced planners navigate the planning process. Used in its entirety, this Guide provides information and instruction on the fundamentals of planning and their application. Chapters 1 and 2 lay the foundation for planning efforts by providing information on the basics of planning (Chapter 1) and the environment within which planners function (Chapter 2). With an understanding of these fundamentals, the Guide then transitions from theory to practice by discussing the
  • 14. different plan formats and functions (Chapter 3) and moving into an explanation of the planning process (Chapter 4). A detailed checklist, building upon Chapters 3 and 4, is provided in Appendix C. Because Appendix C provides a set of detailed questions to consider throughout the planning process, users are encouraged to copy or remove this checklist and employ it as they work through the planning process in Chapter 4. Suggested Training To use this Guide to its fullest, users will benefit from training in emergency management and emergency planning. Appendix D provides a suggested list of training courses to increase users’ understanding of emergency management and emergency planning concepts. National Incident Management System Implementation In November 2005, FEMA’s National Integration Center published guides for integrating National Incident Management System (NIMS) concepts into EOPs.1 CPG 101 incorporates the concepts and suggestions found in those documents, which have been discontinued. Administrative Information Terms and acronyms in the text come from the FEMA Acronyms, Abbreviations, and Terms; the National Response Framework (NRF); the NIMS; or the Homeland Security Act of 2002. Websites referenced in this Guide were active at the time of its publication. CPG 101 uses the following contextual definitions for incident, state, and local government throughout the document:
  • 15. • Incident means an occurrence or event—natural, technological, or human-caused—that requires a response to protect life, property, or the environment (e.g., major disasters, emergencies, terrorist attacks, terrorist threats, civil unrest, wildland and urban fires, floods, hazardous materials [HAZMAT] spills, nuclear accidents, aircraft accidents, earthquakes, hurricanes, tornadoes, tropical 1 State NIMS Integration: Integrating the National Incident Management System into State Emergency Operations Plans and Standard Operating Procedures Local and Tribal NIMS Integration: Integrating the National Incident Management System into Local and Tribal Emergency Operations Plans and Standard Operating Procedures Intro-2 Introduction and Overview storms, tsunamis, war-related disasters, public health and medical emergencies, other occurrences requiring an emergency response). • State means any state of the United States, and includes the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, the Commonwealth of the Northern Mariana Islands, a Native American Tribe or organization,2 an Alaska native village or Regional Native Corporation, and any possession of the United States.
  • 16. • Local government means: – A county, municipality, city, town, township, local public authority, school district, special district, intrastate district, council of governments (regardless of whether the council of governments is incorporated as a not-for-profit corporation under state law), regional or interstate government entity, or agency or instrumentality of a local government – A rural community, unincorporated town or village, or other public entity. Revision Process FEMA will revise CPG 101, as needed, and issue change pages through the publication distribution system and online through approved sources. FEMA welcomes recommendations on how to improve this Guide so it better serves the needs of the emergency management community. Provide recommendations for improving this Guide to: [email protected], ATTN: CPG Initiative – 101. 2 FEMA recognizes that a tribe’s right of self-government flows from the inherent sovereignty of tribes as nations and that the Federally-recognized tribes have a unique and direct relationship with the Federal Government. Intro-3 Comprehensive Preparedness Guide 101
  • 17. Intro-4 This page intentionally left blank. 1. The Basics of Planning Overview The elected and appointed leaders in each jurisdiction are responsible for ensuring that necessary and appropriate actions are taken to protect people and property from any threat or hazard. When threatened by any hazard, citizens expect elected or appointed leaders to take immediate action to help them resolve the problem. Citizens expect the government to marshal its resources, channel the efforts of the whole community—including voluntary organizations and the private sector—and, if necessary, solicit assistance from outside the jurisdiction. Residents and all sectors of the community have a critical role and shared responsibility to take appropriate actions to protect themselves, their families and organizations, and their properties. Planning that includes the whole community builds a resilient community.3 This chapter serves as a foundation for the rest of the Guide by providing an overview of the basics of planning. It describes how risk-informed, community-based planning supports decision making. This chapter also discusses key planning concepts, effective planning, and planning pitfalls.
  • 18. Planning Fundamentals Planning Principles A p pplying the following principles to the planning process is key to developing an all-hazards plan for rotecting lives, property, and the environment: Planning must be community-based, representing the whole population and its needs. Understanding the composition of the population—such as accounting for people with disabilities, others with access and functional needs, and for the needs of children—must occur from the outset of the planning effort. For example, the demographics of the population, including its resources and needs, have a profound effect on evacuation, shelter operations, and family reunification.4 Another key consideration is the integration of household pets and service animals into the planning process. Many individuals may make decisions on whether to comply with protective action measures based on the jurisdiction’s ability to address the concerns about their household pets and service animals. Establishing a profile of the community will also let planners know if courses of action are feasible. For example, if the majority of the actual resident population do not own cars, then planning efforts must account for greater transportation resource requirements than if the population was predominately composed of car-owning households. The businesses that comprise your jurisdiction must also be a part of your demographics—your jurisdiction
  • 19. Community-based planning is the concept that planning must not only be representative of the actual population within the community, but also must involve the whole community in the planning process. The process for engaging the whole community in community-based planning is discussed in Chapter 4. 3 Per the Department of Homeland Security Risk Lexicon (http://www.dhs.gov/xlibrary/assets/dhs_risk_lexicon.pdf), resiliency is the ability for governments, infrastructures, systems, businesses, and citizenry to resist, absorb, recover from, or adapt to an adverse occurrence that may cause harm or destruction to our health, safety, economic well-being, essential services, or public confidence. 4 Planners should ensure compliance with the requirements of Title VI of the Civil Rights Act of 1964, Executive Order 13166, the Americans with Disabilities Act, Section 504 of the Rehabilitation Act, and other Federal, state, or local laws and anti-discrimination laws. 1-1 Comprehensive Preparedness Guide 101 may house the only business providing a critical resource to your area or the Nation. By fully understanding the composition and requirements of the actual population (including all segments of the community), community-based plans will lead to improved
  • 20. response and recovery activities and, ultimately, overall preparedness. Planning must include participation from all stakeholders in the community. Effective planning ensures that the whole community is represented and involved in the planning process. The most realistic and complete plans are prepared by a diverse planning team, including representatives from the jurisdiction’s departments and agencies, civic leaders, businesses, and organizations (e.g., civic, social, faith-based, humanitarian, educational, advocacy, professional) who are able to contribute critical perspectives and/or have a role in executing the plan. The demographics of the community will aid in determining who to involve as the planning team is constructed. Including community leaders representative of the entire community in planning reinforces the expectation that the community members have a shared responsibility and strengthens the public motivation to conduct planning for themselves, their families, and their organizations. For example, it is essential to incorporate individuals with disabilities or specific access and functional needs and individuals with limited English proficiency, as well as the groups and organizations that support these individuals, in all aspects of the planning process. When the plan considers and incorporates the views of the individuals and organizations assigned tasks within it, they are more likely to accept and use the plan. Planning uses a logical and analytical problem-solving process to help address the complexity and uncertainty inherent in potential hazards and threats. By following a set of logical steps that includes
  • 21. gathering and analyzing information, determining operational objectives, and developing alternative ways to achieve the objectives, planning allows a jurisdiction or regional response structure to work through complex situations. Planning helps a jurisdiction identify the resources at its disposal to perform critical tasks and achieve desired outcomes/target levels of performance. Rather than concentrating on every detail of how to achieve the objective, an effective plan structures thinking and supports insight, creativity, and initiative in the face of an uncertain and fluid environment. While using a prescribed planning process cannot guarantee success, inadequate plans and insufficient planning are proven contributors to failure. Planning considers all hazards and threats. While the causes of emergencies can vary greatly, many of the effects do not. Planners can address common operational functions in their basic plans instead of having unique plans for every type of hazard or threat. For example, floods, wildfires, HAZMAT releases, and radiological dispersal devices may lead a jurisdiction to issue an evacuation order and open shelters. Even though each hazard’s characteristics (e.g., speed of onset, size of the affected area) are different, the general tasks for conducting an evacuation and shelter operations are the same. Planning for all threats and hazards ensures that, when addressing emergency functions, planners identify common tasks and those responsible for accomplishing the tasks. Planning should be flexible enough to address both traditional and catastrophic incidents. Scalable planning solutions are the most likely to be understood and executed properly by the operational
  • 22. personnel who have practice in applying them. Planners can test whether critical plan elements are sufficiently flexible by exercising them against scenarios of varying type and magnitude. In some cases, planners may determine that exceptional policies and approaches are necessary for responding to and recovering from catastrophic incidents. These exceptional planning solutions should be documented within plans, along with clear descriptions of the triggers that indicate they are necessary. Plans must clearly identify the mission and supporting goals (with desired results). More than any other plan element, the clear definition of the mission and supporting goals (which specify desired results/end-states) enables unity of effort and consistency of purpose among the multiple groups and 1-2 1. The Basics of Planning activities involved in executing the plan. Every other plan element should be designed and evaluated according to its contributions to accomplishing the missi on and … Revised 9/07 Incident Annex -1 of 4 Incident Annexes
  • 23. Revised 9/07 Incident Annex -2 of 4 Incident Specific Annexes Introduction Purpose This section provides an overview of the annexes applicable to situations requiring specialized, incident-specific implementation of the Emergency Operations Plan (EOP). Background The Incident Annexes address contingency or hazard situations requiring specialized application of the EOP. The annexes in the sections that follow address the following situations: • Catastrophic Incident • Dam Safety • Flooding Incident • Severe Weather • Hazardous Materials Incident • Terrorism Incident Law Enforcement • Warning
  • 24. • Airport • Pandemic Flu (in development) • Continuity of Operations (in development) Incident Annexes are organized alphabetically. Policies and procedures in the Catastrophic Incident Annex are overarching and applicable for all hazards. Similarly, the mechanisms in the Terrorism Incident Law Enforcemen t and Investigation Annex apply when terrorism is associated with any incident. Incident Annex Contents The annexes describe the policies, situation, concept of operations, and responsibilities pertinent to the type of incident in question. Policies: Each annex explains unique authorities pertinent to that incident, the special actions or declarations that may result, and any special policies that may apply. Situation: Each annex describes the incident situation as well as the planning assumptions, and outlines the approach that will be used if key assumptions do not hold. Concept of Operations: Each annex describes the concept of operations appropriate to the incident, unique aspects of the organizational approach, notification and activation
  • 25. processes, and specialized incident-related actions. Each annex also details the coordination structures and positions of authority that are unique to the type of incident, the specialized response teams or unique resources needed, and other special considerations. Revised 9/07 Incident Annex -3 of 4 Responsibilities: Each Incident Annex identifies the coordinating and cooperating agencies involved in an incident-specific response; in some cases, this responsibility is held jointly by two or more departments. The overarching nature of functions described in these annexes frequently involves either the support to, or the cooperation of, all departments and agencies involved in incident management efforts. In some cases, actions detailed in the annex also incorporate various components of local agencies and other departments and agencies to ensure seamless integration of and transitions between preparedness, prevention, response, recovery, and mitigation activities. The responsibilities of the coordinating agency and cooperating agencies are identified below:
  • 26. Coordinating Department Coordinating agencies described in the EOP annexes support the incident management mission by providing the leadership, expertise, and authorities to implement critical and specific aspects of the response. In some annexes, the responsibilities of the coordinating agency may be shared or delegated based on the nature or the location of the incident. The coordinating agency is responsible for: • Orchestrating a coordinated delivery of those functions and procedures identified in the annex; • Providing staff for operations functions at fixed and field facilities; • Notifying and sub-tasking cooperating agencies; • Managing tasks with cooperating agencies, as well as appropriate State agencies; • Working with appropriate private sector organizations to maximize use of available resources; • Supporting and keeping ESFs and other organizational elements informed of annex activities;
  • 27. • Planning for short-term and long-term support to incident management and recovery operations; and • Maintaining trained personnel to provide appropriate support. Cooperating Agency The coordinating agency will notify cooperating agencies when their assistance is needed. Cooperating agencies are responsible for: • Conducting operations, when requested by the coordinating agency, using their own subject-matter experts, capabilities, or resources; • Participating in planning for incident management and recovery operations and development of supporting operational plans, standard operating procedures, checklists, and other tools. Revised 9/07 Incident Annex -4 of 4 • Furnishing available personnel, equipment, or other resources support as requested by the Coordinating Agency. • Participating in training and exercises aimed at continuous improvement of prevention, response and recovery capabilities; and • Nominating new technologies or procedures to improve
  • 28. performance. CoverHazard Vulnerability AssessmentLocation:Bobsville, OKDate Updated:7/17/20XXCompleted by:APUSAdapted from FEMA IS-559 Toolkit Matrix-NatHazard Vulnerability Matrix - NaturalLocation:Bobsville, OKDate Completed:7/17/20XXCompleted by:APUSHazardProbabilityImpactFrequencyDistributionList specific hazards which could occur in your community. Include only natural hazards.HighMajor50 yrsRegionalModerateMinor10 yrsCounty-wideLowNone5-10 yrsLocalizedNone2-3 yrsN/Aevery yearseveral times per yearWinter StormHighMajor2-3 yrsLocalizedSevere ThunderstormHighMinorseveral times per yearCounty- wideTornadoesModerateMajor2-3 yrsLocalizedDroughtModerateMajor5-10 yrsRegionalWildfireModerateMinor5-10 yrsLocalizedDust StormModerateMinor10 yrsRegionalEarthquakesModerateNoneseveral times per yearLocalizedHeat WaveLowMinor2-3 yrsRegionalFloodingLowMinor5-10 yrsCounty- wideHurricaneLowMinor50 yrsRegionalAdapted from FEMA IS-559 Toolkit Matrix-TechHazard Vulnerability Matrix - TechnologicalLocation:Bobsville, OKDate Completed:7/17/20XXCompleted by:APUSHazardProbabilityImpactFrequencyDistributionList specific hazards which could occur in your community. Include only technology-caused hazards.HighMajor50 yrsRegionalModerateMinor10 yrsCounty-wideLowNone5-10 yrsLocalizedNone2-3 yrsN/Aevery yearseveral times per yearInformation Technology FailureHighMinorseveral times per yearLocalizedCommunicationsHighMinorevery yearLocalizedWaterModerateMajor5-10
  • 29. yrsLocalizedPowerModerateMinor2-3 yrsCounty- wideGasModerateMinor10 yrsLocalizedSewageModerateMinor50 yrsLocalizedHazardous Materials ReleaseLowMajor50 yrsCounty-wideRadiological AccidentLowMajor50 yrsRegionalStructural Failure/CollapseLowMinor50 yrsLocalizedSupply Chain InterruptionLowMinor2-3 yrsLocalizedAircraft CrashLowMinor10 yrsRegionalAdapted from FEMA IS-559 Toolkit Matrix-ManHazard Vulnerability Matrix - HumanLocation:Bobsville, OKDate Completed:7/17/20XXCompleted by:APUSHazardProbabilityImpactFrequencyDistributionList specific hazards which could occur in your community. Include only adversarial or human-caused hazards on this tab.HighMajor50 yrsRegionalModerateMinor10 yrsCounty- wideLowNone5-10 yrsLocalizedNone2-3 yrsN/Aevery yearseveral times per yearCow Chip FestivalHighMajorevery yearLocalizedState High School Rowing ChampionshipHighMajorevery yearLocalizedTransportation AccidentsHighMinorseveral times per yearLocalizedTheft/vandalismModerateMinorseveral times per yearLocalizedCivil DisturbanceModerateMinorseveral times per yearLocalizedCybercrimeModerateMinorevery yearRegionalPollution (Air, Water, Land)ModerateMinorevery yearCounty-wideEntrapment/RescueModerateMinorevery yearLocalizedLost/Abuducted Child/ElderlyModerateMinor2-3 yrsCounty-wideInfectious disease outbreakLowMajor5-10 yrsCounty-wideTerrorism CBRNE, ECOLowMajor50 yrsRegionalActive shooterLowMajor50 yrsLocalizedArsonLowMinor10 yrsLocalizedSupermax PrisonLowMinor50 yrsRegionalHostage IncidentLowMinor50 yrsLocalizedAdapted from FEMA IS-559 Toolkit Vuln-NatHazard Vulnerability Spreadsheet - NaturalLocation:Bobsville, OKDate Completed:7/17/20XXCompleted by:APUSType of
  • 30. HazardHistorical OccurrenceProbability of OccurenceHuman ImpactProperty ImpactBusiness ImpactMitigation ActivitiesInternal ResourcesExternal ResourcesTotalSourced from Hazard Vulnerability MatrixHas not occurred - 1 < 5% - 1Low - 1Low - 1Low - 1Low - 1Low - 1Low - 1Low: < 2.0Every 51-100 yrs - 2 5-10% - 2Low - 2Low - 2Low - 2Low - 2Low - 2Low - 2Every 11-50 yrs - 3 10-20% - 3Med - 3Med - 3Med - 3Med - 3Med - 3Med - 3Med: 2.1-3.5Every 5-10 yrs - 4 20-40% - 4High - 4High - 4High - 4High - 4High - 4High - 4High: > 3.5Every 1-4 yrs - 5 > 40% - 5High - 5High - 5High - 5High - 5High - 5High - 5Winter Storm554255233.625Severe Thunderstorm553225233.125Tornadoes555555134.25Drought44 3224223.125Wildfire333513223.25Dust Storm121423122.75Earthquakes431111113.125Heat Wave232122232.625Flooding442333133.375Hurricane1111111 12.5Adapted from FEMA IS-559 Toolkit Vuln-TechHazard Vulnerability Spreadsheet - TechnologicalLocation:Bobsville, OKDate Completed:7/17/20XXCompleted by:APUSType of HazardHistorical OccurrenceProbability of OccurenceHuman ImpactProperty ImpactBusiness ImpactMitigation ActivitiesInternal ResourcesExternal ResourcesTotalSourced from Hazard Vulnerability MatrixHas not occurred - 1 < 5% - 1Low - 1Low - 1Low - 1Low - 1Low - 1Low - 1Low: < 2.0Every 51-100 yrs - 2 5-10% - 2Low - 2Low - 2Low - 2Low - 2Low - 2Low - 2Every 11-50 yrs - 3 10-20% - 3Med - 3Med - 3Med - 3Med - 3Med - 3Med - 3Med: 2.1-3.5Every 5-10 yrs - 4 20-40% - 4High - 4High - 4High - 4High - 4High - 4High - 4High: > 3.5Every 1-4 yrs - 5 > 40% - 5High - 5High - 5High - 5High - 5High - 5High - 5Information Technology Failure552153233.5Communications552153233.5Water3351555 32.75Power155153143.375Gas324132133.125Sewage324252223 .5Hazardous Materials Release224342243. 125Radiological Accident115341143.25Structural Failure/Collapse223532333.125Supply Chain Interruption133154332.625Aircraft
  • 31. Crash411113312.375Adapted from FEMA IS-559 Toolkit Vuln-ManHazard Vulnerability Spreadsheet - HumanLocation:Bobsville, OKDate Completed:7/17/20XXCompleted by:APUSType of HazardHistorical OccurrenceProbability of OccurenceHuman ImpactProperty ImpactBusiness ImpactMitigation ActivitiesInternal ResourcesExternal ResourcesTotalSourced from Hazard Vulnerability MatrixHas not occurred - 1 < 5% - 1Low - 1Low - 1Low - 1Low - 1Low - 1Low - 1Low: < 2.0Every 51-100 yrs - 2 5-10% - 2Low - 2Low - 2Low - 2Low - 2Low - 2Low - 2Every 11-50 yrs - 3 10-20% - 3Med - 3Med - 3Med - 3Med - 3Med - 3Med - 3Med: 2.1-3.5Every 5-10 yrs - 4 20-40% - 4High - 4High - 4High - 4High - 4High - 4High - 4High: > 3.5Every 1-4 yrs - 5 > 40% - 5High - 5High - 5High - 5High - 5High - 5High - 5Cow Chip Festival555255433.5State High School Rowing Championship555255433.5Transportation Accidents553223233.375Theft/vandalism55123311 3.625Civil Disturbance431133123Cybercrime542131133.5Pollution (Air, Water, Land)542221133.5Entrapment/Rescue533113322.875Lost/Abud ucted Child/Elderly522113322.625Infectious disease outbreak325132243Terrorism CBRNE, ECO114241133.125Active shooter114131213Arson113531333Supermax Prison312111132.625Hostage Incident113111332.25Adapted from FEMA IS-559 Toolkit RiskIdx-NatHazard Vulnerability Matrix - NaturalLocation:Bobsville, OKDate Completed:7/17/20XXCompleted by:APUSHazardFrequencyMagnitudeWarning TimeSeveritySpecial Characteristics & Planning ConsiderationsRisk PrioritySourced from Hazard Vulnerability MatrixUnlikelyNegligible24+ hoursNegligibleLowPossibleLimited12-24 hoursLimitedMediumLikelyCritical6-12 hoursCriticalHighHighly
  • 32. LikelyCatastrophicMinimalCatastrophicWinter StormHighly LikelyCatastrophic12-24 hoursCriticalDOT & private snow removal, power/gas gridHighSevere ThunderstormLikelyCatastrophic12-24 hoursCriticalEarly Warning System, building codesMediumTornadoesLikelyCritical6-12 hoursCatastrophicEarly Warning System, building codesHighDroughtPossibleCatastrophic24+ hoursLimitedWater rationingLowWildfirePossibleCatastrophicMinimalCatastrophic Agricultural landHighDust StormPossibleCatastrophic12-24 hoursLimitedAgricultural landLowEarthquakesPossibleCatastrophicMinimalNegligibleTo wer, bridgeLowHeat WavePossibleCatastrophic24+ hoursLimitedPower grid overload, Marina accessLowFloodingLikelyLimited6-12 hoursCriticalBobsville creek bridgeMediumHurricaneUnlikelyNegligible24+ hoursNegligibleCoastal Refugee housingLowAdapted from FEMA IS-559 Toolkit RiskIdx-TechHazard Vulnerability Matrix - TechnologicalLocation:Bobsville, OKDate Completed:7/17/20XXCompleted by:APUSHazardFrequencyMagnitudeWarning TimeSeveritySpecial Characteristics & Planning ConsiderationsRisk PrioritySourced from Hazard Vulnerability MatrixUnlikelyNegligible24+ hoursNegligibleLowPossibleLimited12-24 hoursLimitedMediumLikelyCritical6-12 hoursCriticalHighHighly LikelyCatastrophicMinimalCatastrophicInformation Technology FailurePossibleLimitedMinimal LimitedBackup battery power supply and generator LowCommunicationsPossibleCriticalMinimalCriticalBackup battery power supply and generator MediumWaterPossibleCatastrophicMinimalCatastrophicBackup generator for reservoir treatment HighPowerLikelyCatastrophi cMinimalCriticalBackup power
  • 33. generatorsHighGasUnlikelyCriticalMinimalCriticalMediumSewa gePossibleCriticalMinimalCriticalBackup generator for treatment plantMediumHazardous Materials ReleasePossibleLimitedMinimalCatastrophicHazmat training, basic PPEMediumRadiological AccidentUnlikelyCatastrophicMinimalCatastrophicDisaster Co Nuclear Power Plant, maintain evacuation routeLowStructural Failure/CollapseUnlikelyLimitedMinimalCriticalTower, bridgeLowSupply Chain InterruptionPossibleCritical12-24 hoursCriticalInterstate ramps, bridgeLowAircraft CrashPossibleLimitedMinimalLimitedNational Guard & Private AirlinesLowAdapted from FEMA IS-559 Toolkit RiskIdx-ManHazard Vulnerability Matrix - HumanLocation:Bobsville, OKDate Completed:7/17/20XXCompleted by:APUSHazardFrequencyMagnitudeWarning TimeSeveritySpecial Characteristics & Planning ConsiderationsRisk PrioritySourced from Hazard Vulnerability MatrixUnlikelyNegligible24+ hoursNegligibleLowPossibleLimited12-24 hoursLimitedMediumLikelyCritical6-12 hoursCriticalHighHighly LikelyCatastrophicMinimalCatastrophicCow Chip FestivalHighly LikelyCriticalMinimalCriticalEstablished event, mutual aid arrangementsHighState High School Rowing ChampionshipHighly LikelyCriticalMinimalCriticalEstablished event, mutual aid arrangementsHighTransportation AccidentsLikelyNegligibleMinimalLimitedBridge, maintain evacuation route. Race track MediumTheft/vandalismLikelyNegligibleMinimalNegligibleLow Civil DisturbancePossibleLimitedMinimalLimitedTown Hall meetingsLowCybercrimePossibleNegligibleMinimalLimitedGov t offices, universityLowPollution (Air, Water, Land)PossibleCritical12-24 hoursLimitedLake/Reservoir, agricultural byproductLowEntrapment/RescuePossibleNegligibleMinimalLi
  • 34. mitedCreek rapids, lake, livestockLowLost/Abuducted Child/ElderlyUnlikelyNegligibleMinimalLimitedLowInfectious disease outbreakPossibleCritical24+ hoursCriticalTransport to larger hospitalsMediumTerrorism CBRNE, ECOUnlikelyLimitedMinimalCriticalMass gatherings, Govt Offices, Schools, Ag landMediumActive shooterPossibleLimitedMinimalCriticalMass gatherings, Govt Offices, SchoolsMediumArsonUnlikelyLimitedMinimalLimitedMass gatherings, Govt Offices, SchoolsMediumSupermax PrisonUnlikelyCritical6-12 hoursLimitedAlert systemLowHostage IncidentUnlikelyNegligibleMinimalLimitedGovt offices, universityLowAdapted from FEMA IS-559 Toolkit