Incident Action Planning Guide Revision1 August2015
Incident Action Planning Guide Revision1 August2015
Incident Action Planning Guide Revision1 August2015
Incident
PlanningAction
Guide
Planning Guide
Revision 1 / July 2015
Revision 1
July 2015
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Table of Contents
Chapter 1: Introduction ................................................................................................................... 1
Purpose ........................................................................................................................................ 1
Applicability and Scope .............................................................................................................. 1
Supersession ................................................................................................................................ 1
Authorities and Foundational Documents................................................................................... 1
Chapter 2: What is An Incident Action Plan?................................................................................. 3
Incident Action Planning............................................................................................................. 5
Incident Action Plan Considerations........................................................................................... 6
Resolving Inconsistencies between FEMA and State, Tribal, or Territorial Incident Action
Plan Guidance ......................................................................................................................... 7
Multiple Incident Action Plans ............................................................................................... 7
Incident Action Planning with Tribal Governments............................................................... 7
Planning Process Phases.............................................................................................................. 8
IAP Forms during the Process..................................................................................................... 9
Initial IAP.................................................................................................................................. 11
Deliberate Plans .................................................................................................................... 11
Using a FEMA Deliberate Plan to Develop an IAP ............................................................. 12
Linking National/Regional Support Plans to Incident Action Planning ................................... 12
Chapter 3: Phase 1—Understand The Situation ........................................................................... 13
Gaining Initial Situational Awareness ...................................................................................... 13
Collection.............................................................................................................................. 13
Analysis................................................................................................................................. 13
Dissemination ....................................................................................................................... 14
Ongoing Assessment/Situational Awareness........................................................................ 14
Establishing Initial Incident Priorities .................................................................................. 14
Developing the Action Planning Team................................................................................. 16
Initiating Incident Action Planning....................................................................................... 16
Conducting Incident Action Planning Meetings and Briefings ............................................ 16
Chapter 4: Phase 2—Establish Incident Objectives...................................................................... 21
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Responsibilities ......................................................................................................................... 21
Priorities .................................................................................................................................... 21
Incident Objectives.................................................................................................................... 22
Unified Coordination Group Develops and Updates Objectives .............................................. 24
The Command & General Staff Meeting .................................................................................. 24
Chapter 5: Phase 3 - Develop the Plan.......................................................................................... 26
Strategies ................................................................................................................................... 26
Determining Strategies.......................................................................................................... 27
Determining Tactics.............................................................................................................. 27
Assigning Resources and Describing Work Assignments.................................................... 28
Identify the Reporting Location............................................................................................ 30
Determine Logistical Support Needs to Complete the Assignment ..................................... 30
Using the Operational Planning Worksheet .............................................................................. 30
The Operations Tactics Meeting ............................................................................................... 32
Chapter 6: Phase 4 - Prepare and Disseminate the Plan ............................................................... 34
Planning Section Responsibilities ............................................................................................. 35
Planning Section Chief ......................................................................................................... 35
Resource Unit........................................................................................................................ 36
Situation Unit ........................................................................................................................ 38
Planning Support Unit........................................................................................................... 39
Command/General Staff ....................................................................................................... 39
Logistics Section................................................................................................................... 41
Air Operations Branch (Operations Section)........................................................................ 41
Additional Items to the IAP .................................................................................................. 41
The Planning Meeting........................................................................................................... 41
Printing and Distributing the IAP ......................................................................................... 42
Chapter 7: Phase 5 - Execute, Evaluate, and Revise the Plan....................................................... 43
Operations Briefing ................................................................................................................... 43
Assess Progress and Effectiveness........................................................................................ 44
Ending Incident Action Planning.......................................................................................... 45
Annex 1: Acronyms ...................................................................................................................... 46
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Annex 2: Glossary......................................................................................................................... 48
Appendix A: How to Develop Incident Objectives ...................................................................... 51
Appendix B: Incident Command System Map Symbols .............................................................. 56
Appendix C: Job Aids for Staff Preparing FEMA ICS Forms for the IAP .................................. 57
Appendix D: Final Quality Assurance Checklist.......................................................................... 65
Appendix E: Maintaining Situational Awareness Throughout the Life Cycle of the Incident..... 66
Incorporating Deliberate Plans into Initial Situation Assessment............................................. 66
Post Initial Situation Awareness ........................................................................................... 68
Information Collection Plan ...................................................................................................... 68
Situational Awareness Products ................................................................................................ 68
Situation Reports................................................................................................................... 69
Spot Reports.......................................................................................................................... 69
Situation Update Briefing.......................................................................................................... 69
Responsibilities ......................................................................................................................... 70
Summary ................................................................................................................................... 70
Table of Figures
Figure 1: IAPs Developed Across All Echelons of an Incident...................................................... 4
Figure 2: The Planning “P” – The Incident Action Planning Process ............................................ 8
Figure 3: The Operations “O” – The Operational Period Cycle of the Incident Action Planning
Process ............................................................................................................................................ 9
Figure 4: Where ICS Forms are executed during the Incident Action Planning Process ............. 11
Figure 5: Phase 1 of the Incident Action Planning Process .......................................................... 16
Figure 6: Phase 2 of the Incident Action Planning Process .......................................................... 21
Figure 7: Phase 3 of the Incident Action Planning Process .......................................................... 26
Figure 8: Phase 4 of the Incident Action Planning Process .......................................................... 34
Figure 9: Phase 5 in the Incident Action Planning Process .......................................................... 43
Figure 10: Incident Command Map and Symbols ........................................................................ 56
Figure 11: Understanding the Situation ........................................................................................ 68
Table of Tables
Table 1: ICS Forms and Description ............................................................................................ 10
Table 2: Linkage between Incident Action Planning Process and Deliberate Plans .................... 12
Table 3: Core Capabilities by Mission Area (from National Preparedness Goal) ...................... 15
Table 4: Priorities—Objectives—Strategies—Tactics, Tasks, Work Assignments ..................... 23
Table 5: Sample Agenda for the C&GS meeting.......................................................................... 25
Table 6: Sample Agenda for the Operations Tactics Meeting ...................................................... 33
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Table 7: IAP Components and Sequence of Assembly ................................................................ 35
Table 8: Assignment Lists Dos and Don'ts ................................................................................... 36
Table 9: Sample Agenda Items for the Planning Meeting ............................................................ 42
Table 10: Sample Agenda for Operations Briefing ...................................................................... 43
Table 11: Relating Incident Objectives to Incident Priorities....................................................... 51
Table 12: Suggestions for Writing Incident Objectives................................................................ 52
Table 13: Examples of Good Incident Objectives ........................................................................ 54
Table 14: Deliberate Plan Elements and their Application in IAPs.............................................. 66
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CHAPTER 1: INTRODUCTION
Purpose
This guide is intended to promote the effectiveness of incident operations by standardizing the
incident action planning process. The guide describes how the Federal Emergency Management
Agency (FEMA) applies the Incident Command System (ICS) incident action planning process.
It also defines the specific roles and responsibilities of the various organizations, and establishes
standards for incident action planning on FEMA incidents. This guide also communicates to
partners the details of how the Agency conducts the incident action planning process. In addition,
it serves as a reference for incident management personnel and provides the basis for incident
action planning staffing and exercising. Finally, this guide informs required training, position
task books, and development of courses in alignment with the FEMA Qualification System.
Supersession
This document supersedes the Incident Action Planning Guide (January 2012).
• Robert T. Stafford Disaster Relief and Emergency Assistance Act (Public Law 93-288, as
amended, 42 U.S.C. §§ 5121-5207), November 1988
• Title 44 of the Code of Federal Regulations, Emergency Management and Assistance,
December 1991
• Homeland Security Act (Public Law 107-296, as amended, 6 U.S.C. §§ 101 et seq.),
November 2002
• Homeland Security Presidential Directive 5, “Management of Domestic Incidents,”
February 2003
1
• Post-Katrina Emergency Management Reform Act of 2006 (Public Law 109-295, 6
U.S.C. § 701), October 4, 2006
• National Response Framework, May 2013
• National Mitigation Framework, May 2013
• National Disaster Recovery Framework, September 2011
• National Incident Management System, December 2008
• The Federal Emergency Management Agency Publication 1, November 2010
• Incident Management and Support Keystone, January 2011
• Comprehensive Preparedness Guide 101 - Developing and Maintaining Emergency
Operations Plans, Version 2.0, November 2010
• Presidential Policy Directive 8, “National Preparedness,” March 2011
• National Preparedness Goal, September 2011
• FEMA Incident Management Handbook (FEMA B-761/Interim Change 1), expires
January 1, 2013
• FEMA Operational Planning Keystone, February 2014
• FEMA Operational Planning Manual, February 2014
2
CHAPTER 2: WHAT IS AN INCIDENT ACTION PLAN?
Effective incident management helps to ensure that the efforts of all players are coordinated and
synchronized to achieve the best results. The National Incident Management System (NIMS) is a
systematic, proactive approach to guide departments and agencies at all levels of government,
NGOs, and the private sector to work together seamlessly
and manage incidents.
Incident
1
For FEMA, the Incident Action Plan (IAP) is a plan that The NIMS glossary defines incident as
is central to managing the response to an incident using “an occurrence, natural or manmade, that
ICS. The team that is managing an incident develops an requires a response to protect life or
IAP each operational period, the time scheduled for property.” For the purposes of this guide,
executing a given set of actions as specified in the IAP, the term incident is used to refer to
using the standard ICS incident action planning process. incidents in which FEMA is involved,
The IAP itself communicates the incident objectives and generally in support of and in partnership
the tactics that will be used to manage the incident during with State, Local, Tribal, and Territorial
(SLTT) governments.
the operational period that the plan covers.
The incident action planning process provides a tool to synchronize operations at the incident
level and ensure that incident operations are conducted in support of incident objectives. A
disciplined system of planning phases and meetings fosters collaboration and partnerships, and
focuses incident operations.
Over many years of managing all types and sizes of incidents, ICS practitioners have developed
and refined the incident action planning process as a way to plan and execute operations on any
incident. Incident action planning is more than producing an IAP. It is a set of activities, repeated
each operational period, that provides a consistent rhythm and structure to incident management.
ICS practitioners have developed and refined a set of forms that assist incident personnel in
completing the incident action planning process. Incident leaders must ensure that the plan meets
the needs of the incident and that form completion does not become the primary focus of the
planning process. FEMA has modified some standard ICS forms to address the implementation
of assistance programs and the requirements for assigning Federal resources.
The Operations Section has the primary responsibility for incident action planning and execution
of the IAP. The Planning Section is responsible for producing the IAP and informing operations
decision making through situational analysis, and adopting and executing applicable deliberate
plans. This supports the tasks per the Incident Management Handbook (IMH). Furthermore, all
1
NIMS defines an IAP as an oral or written plan containing the general objectives reflecting the overall strategy for
managing an incident. FEMA requires a written plan.
3
members of the Unified Coordinating Group (UCG) and
the Command and General Staff (C&GS) play specific
Determining the Operational Period
and essential roles in the process. When incidents are
complex, applying the incident action planning process The UCG determines the length of the
accurately, consistently, and completely is essential to operational period, which is typically 24
hours at the beginning of incident. The
the success of incident operations. When each member UCG subsequently reviews and may
plays his or her part correctly, the process can bring order adjust the length of subsequent
to the often chaotic world of managing complex operational periods as incident response
incidents, and it enables incident management personnel activities progress.
to address problems that seem insurmountable.
2
The State may create its own IAP prior to forming a joint IAP.
4
Incident Action Planning
The IAP is the vehicle by which the senior leaders of an incident—the Governor of an affected
State, through the State Coordinating Officer (SCO); the Tribal/Territorial Chair/Council through
the Tribal Coordinating Officer (TCO); and the President, through the Federal Coordinating
Officer (FCO)—communicate their expectations and provide clear guidance to those managing
an incident. The incident action planning process requires collaboration and participation among
all incident partners involved in the incident (Emergency Support Functions [ESFs],
NGOs/private sector, STT, etc.) to achieve unity of effort through the disciplined incident action
planning process.
The IAP identifies incident objectives and provides essential information regarding incident
organization, resource allocation, work assignments, safety, and weather. A well-conceived,
complete IAP facilitates successful incident operations and provides a basis for evaluating
performance in achieving incident objectives.
ICS is used on all incidents in which FEMA coordinates Federal response efforts—both Stafford
Act and non-Stafford Act. IAPs and the incident action planning process are used for all Level I
and II incidents and for some Level III incidents. 3
3
Consult the FEMA Incident Management and Support Keystone and Incident Management Manual for more detail
about incident level classifications.
5
Why is an IAP useful to incident personnel?
• Gives staff the clear objectives of STT and Federal leaders. Staff validate that their
actions are in support of those objectives and tailor their efforts to support them.
• Shows how individuals fit in the organization.
• Provides a road map of all operations during an operational period to help individuals
understand how their efforts affect the success of the operation.
• Clearly identifies work assignments to be accomplished.
• Provides a tool to communicate what your organization is doing to ensure that it is
properly supported.
• Provides a tool for staff so they can best synchronize and de-conflict their efforts by
showing what the entire operation is doing.
• Provides a schedule of the key events during operational periods.
• Provides information about safety and phone numbers of key staff, and graphically
represents the incident area.
• Informs partners at other echelons (FEMA regional and national levels) of the objectives
at the incident level for the next operational period and the specific resources and actions
that will be applied to achieving those objectives.
In the absence of an IAP, the UCG should consider utilizing an Incident Strategic Plan and/or
other established planning products (Situation Report, etc.) and refer to those appropriate
guidance documents for additional information.
6
Resolving Inconsistencies between FEMA and State, Tribal, or Territorial
Incident Action Plan Guidance
Some STT agencies have protocols for
incident action planning that vary from Managing More Than One Incident
FEMA’s process. In such cases and in the
A UCS may begin managing one incident and
interests of achieving unity of effort, the
be required to take on another disaster in the
UCG may make adjustments to the IAP and same geographic area—which will likely
to the incident action planning process. To increase the size and complexity of the incident
resolve the conflict, the UCG may agree to management organization. The UCG may
refer to the Federal/State (or tribal/territorial) decide to include all incidents assigned to the
joint IAP by other names such as the Incident UCS in a single IAP. The Planning Cycle and
Coordination Plan. operational periods for all of the disasters will
be the same, allowing for efficient and effective
Multiple Incident Action Plans use of the staff’s time. The UCG will be
developing priorities for each disaster as it
ICS doctrine states there is one IAP per
develops the incident objectives in coordination
incident. FEMA aligns incidents to the Joint with the Operations Section Chief.
Field Office (JFO) or FCO identified in the
declaration. FEMA may, therefore, have
multiple incidents aligned with a single JFO or FCO. A single IAP will suffice for multiple
FEMA incidents resulting from the same disaster or emergency. For example, the hurricane that
has a pre-landfall emergency declaration and then a post-landfall major disaster declaration
would have a single IAP. A single IAP may also suffice for multiple unrelated incidents if
activities and timing significantly overlap. When one IAP is used for multiple declarations, each
declaration number shall be listed on the cover page.
A FEMA Tribal Affairs Specialist (TBSP) may be assigned to facilitate and coordinate
communication with tribal officials. When collaborating with tribal partners, it is important to
understand the culture of the particular tribe(s). The TBSP may provide important background
and cultural information to the UCG, and Planning/Operations Section personnel.
It is important that the Planning Section Chief (PSC) works with the TBSP during the incident
action planning process to:
7
Planning Process Phases
The Planning “P” (figure 2) depicts the phases and activities in the incident action planning
process. The leg of the “P” includes the initial steps to gain awareness of the situation and
establish the organization for incident management. Although maintaining situational awareness
is essential throughout the life cycle of the incident, the steps in Phase 1 are done only one time.
Once Phase 1 steps have been accomplished, incident management shifts into a cycle of planning
and operations, informed by ongoing situational awareness, which continues and is repeated each
operational period. This cycle, which is depicted in the barrel of the “P,” becomes the Operations
“O” (figure 3).
8
Figure 3: The Operations “O” – The Operational Period Cycle of the Incident Action Planning Process
Some forms used in the IAP process are not contained in the published IAP. The FEMA ICS
Form 201 (Incident Briefing Form) is not included in the IAP but may be used to conduct the
incident briefing. While not included in the published IAP, the Operational Planning Worksheet
(FEMA ICS Form 215) is an important form. FEMA ICS Form 215 is used to document key
tasks and resource needs of the Operations Section. These forms are initially populated prior to
the Operations Tactics meeting, and refined following the meeting. FEMA ICS Form 215s are
finalized in the planning meeting to determine which tasks will occur during the next operational
period. Tasks approved by the Operations Section Chief (OSC) are transferred to the
Assignment List (FEMA ICS Form 204).
9
Table 1: ICS Forms and Description
Form Description
Provides the plan number, incident name, declaration
FEMA ICS Form 200 (Cover Sheet) numbers, initial operating facility (IOF)/JFO address,
approval blocks
FEMA ICS Form 201 (Incident
Description of current situation
Briefing) 4
4
The ICS Form 201 is used in the process but is not included in the final IAP.
5
The ICS Form 215 is used in the process but is not included in the final IAP.
10
These forms are completed in the five phases of the Planning “P” as shown in figure 4.
Figure 4: Where ICS Forms are executed during the Incident Action Planning Process
Initial IAP
In the beginning of an incident, the situation can be chaotic and situational awareness hard to
obtain, especially in no-notice incidents. Regional deliberate plans and the first Regional Support
Plans (RSPs) may be used to determine priorities and objectives for the initial IAP when
situational awareness and other sources of information are limited. Thereafter, the IAP should
continue to reference and adapt the objectives and tasks in deliberate plans.
Deliberate Plans
Deliberate plans can provide a common starting point for the incident, regional, and national
levels. This ensures that there is a common understanding of the actions that need to occur and
what resources are necessary to ensure an efficient stand up of operations in the initial
operational period of an incident. Deliberate plans are an important starting point in the absence
of information. Planners and operators must determine the most current situational awareness to
understand the points of departure from the plan.
11
Using a FEMA Deliberate Plan to Develop an IAP
FEMA develops deliberate plans in conjunction with SLTT planners to ensure that the Agency’s
actions during an incident are in support of SLTT response (table 2). These plans are often
excellent tools to initiate the development of an initial IAP, particularly for Phase 1 and Phase 2
of the IAP process. Knowing how to read and extract pertinent information from a FEMA
deliberate plan to support IAP development is not a difficult process. The base plan contains the
primary information on which the operation will be based. The plan contains information on the
situation, mission, execution, finance and administration, and oversight and coordination. The
annexes contain more information in the same format. Annexes are used to provide more
detailed information than is found in the base plan.
Table 2: Linkage between Incident Action Planning Process and Deliberate Plans
12
CHAPTER 3: PHASE 1—UNDERSTAND THE
SITUATION
Effective actions during Phase 1 may mean the difference between a successfully managed
incident and one in which effective incident management is achieved slowly or not at all. Phase 1
is accomplished only once, at the beginning of incident action planning for any incident. Phase 1
activities focus on the actions that take place before joint incident action planning begins as team
members work to understand the situation and establish initial incident priorities.
Analysis
Analysis breaks down problems and issues into manageable smaller elements. In this way,
complex problems that appear to be daunting may have achievable fixes. Analysis also allows
13
for the identification of sub-issues and problem areas that can be solved through effective
decision making and planning.
Information analysis begins during Phase 1 and continues throughout the incident. This analysis
consists of correlating, comparing, and filtering the available information to determine the
critical issues and the potential for changes in the situation. This analysis allows leaders to
understand what is going on for each operational period as well as the impacts of those issues
both currently and in the future.
Dissemination
Information shall be disseminated in a timely manner and provided in a readable format that the
audience can easily understand. Doing this effectively during Phase 1, and throughout the
incident, minimizes confusion, reduces duplication of effort, and facilitates effective and
efficient management of incident resources.
When senior officials establish priorities for the incident, a recommended approach is to
articulate priorities based on the core capabilities described in the National Preparedness Goal
(see table 3). The core capabilities provide a standard list of the essential prevention, protection,
mitigation, response, and recovery activities to properly execute disaster operations. Framing
incident priorities in terms of the core capabilities improves understanding through consistent
titles, ensures that all the mission areas are considered, and helps to keep priorities focused
strategically on desired outcomes.
14
Table 3: Core Capabilities by Mission Area (from National Preparedness Goal)
Federal and SLTT deliberate plans may identify or suggest incident response priorities. Clear
initial priorities are important to establishing unity of effort early in the incident response
process. When the members of the team clearly understand the priorities, they are equipped to
act decisively and make better decisions. While many things vie for attention, especially in the
immediate aftermath of a disaster, not everything can be a priority. The axiom that “if everything
is a priority, then nothing is a priority” clearly applies to incident management.
15
Developing the Action Planning Team
Incident action planning requires a collaborative effort by all members of the UCS and State
partners. This collaboration must also include other key Federal, tribal, local, NGOs, and private-
sector partners. The incident action planning process fosters teamwork and unity of effort by
promoting communication, cooperation, and coordination. While staff in the Planning Section is
responsible for facilitating the incident action planning process and producing the final plan, the
section primarily responsible for incident action planning and executing the IAP is the
Operations Section. All elements of the UCS support and participate in the process, and the UCG
provides the leadership to ensure success.
16
• boundaries and scope of the incident
• number of displaced survivors
• sheltering information
• critical infrastructure damage assessment, locations, and types
• status of communications and other utilities
• incident facilities, types, and location
• resources on hand, en route, and on order
• STT (if applicable) emergency management organization and facilities
• location of the IOF
• health-related concerns, including fatalities and injuries
• life-saving operations
• arrangements for use of military resources (i.e., joint force command)
Some of the situation information for use in the initial incident briefing can be found in the
following documentation:
The work product from this briefing is the RA delegating the authority for incident management
and the control of assigned Federal resources to the FCO in writing. The delegation of authority
document includes detailed instructions (leader’s intent) for the conduct of the incident
management and the RA’s priorities. This initial briefing will include the transition procedures
from the region to the incident operational level. The initial incident briefing also gives the FCO
and C&GS situational information, including constraints and limitations, to make informed
decisions.
17
Forming the Unified Coordination Group
Following the initial incident briefing, the FCO typically begins efforts to establish the UCG,
including contacting the SCO/TCO and jointly determining the need for other UCG members.
Once the UCG is formed, members discuss: 6
• priorities
• issues and concerns
• integration of Federal, STT, and other stakeholders in a single incident management
organization
• joint incident action planning
• logistical processes and resource ordering
• joint information center requirements
• roles and authorities
As indicated above, incident priorities should be developed based on the National Preparedness
Goal. These priorities help to establish the order of importance for incident objectives developed
during Phase 2 of the incident action planning process.
6
See the IMH for further guidance on the UCG discussion/meeting.
18
Next, the FCO, OSC, or PSC describes the initial strategies proposed to address the initial
priorities and how the initial strategies are to be accomplished. The PSC or FCO then announces
the start time, duration of, and incident action planning meeting schedule for the first operational
period.
The results from the initial C&GS meeting are as follows: (1) all UCS members understand UCG
expectations, guidance, and direction (leader’s intent) for the incident and initial strategies; (2)
the C&GS has a clear understanding of direction and guidance to begin developing the
organization; and (3) agreement is reached regarding the time and duration of the initial
operational period and the incident action planning meeting schedule.
The OSCs’ goal is to design an ICS-compliant organization that meets the leader’s intent, the
Agency’s mission, and the incident’s needs. This decision has a significant effect on operational
outcomes and the achievability of IAPs. It also impacts the Logistics Section, Planning Section,
Finance/Administration Section, and Safety. The OSCs design the incident carefully, because
once the organization is established it is difficult to change. For further information on
organizational structure, refer to the Incident Management Manual.
19
To do this, they validate current situational information and analyze it regarding current
conditions, damage assessment, scale of the incident, and resource status (i.e., availability of
personnel, equipment supplies, and facilities). They also review any pertinent deliberate plans.
The C&GS and their STT counterparts then coordinate closely with the OSCs to determine
whether the proposed geographic or functional incident design will affect how other
organizational elements are structured.
Ultimately, the OSC determines what facilities (disaster recovery centers [DRCs], staging areas,
operations field offices, aviation facilities, camps, fueling stations, etc.) are required to meet
incident needs. The OSC then discusses these findings and recommendations with the FCO and
SCO/TCO, or designee, for approval.
Once approved, information regarding C&GS organizations is provided to the Planning Section
for the GIS Unit to build the initial incident map and to the Resource Unit to develop the initial
Incident Organization Chart (FEMA ICS Form 207).
To determine resource requirements the C&GS and STT counterparts consult with the Planning
Section Resources Unit to identify resources currently assigned. The consultation also yields
such details as the kind and type of each resource, current location and status, identifier if
assigned, and supervisor’s contact information. If a required resource is not currently available,
the C&GS members and STT counterparts contact the Logistics Section Ordering Unit to
determine what resources have been ordered. Finally, if a required resource is neither currently
available nor on order, the appropriate C&GS members and STT counterparts order them
through the established ordering processes. More detailed information on the resource ordering
process can be found in Phase 3.
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CHAPTER 4: PHASE 2—ESTABLISH INCIDENT
OBJECTIVES
During Phase 2, the UCG establishes incident objectives and provides the guidance necessary to
achieve these objectives (figure 6).
Incident objectives drive the incident organization as it conducts response, recovery, and
mitigation activities. The UCG establishes these objectives based on incident priorities, which
are informed by situational awareness, leader’s intent, and delegations of authority.
Responsibilities
The UCG develops incident objectives and provides the guidance necessary for developing,
resourcing, implementing, and evaluating the results of incident objectives. As the leader of
Federal response efforts, the FCO is personally responsible for the development of incident
objectives for FEMA. The C&GS often provide input to the UCG/FCO regarding incident status
and operational requirements to support the development of incident objectives and the guidance
to achieve them. Planning Section staff document the incident objectives on the IAP Incident
Objectives (FEMA ICS Form 202).
Priorities
Incident priorities initially established by leadership during Phase 1 are reviewed and modified
as required during each operational period and help to clarify the order and importance of
incident objectives (table 4). While incident objectives are based on requirements, priorities
guide the allocation of resources to objectives. Although priorities help determine incident
21
objectives, they are not listed on the 202. Senior leaders sometimes include non-operational
priorities in their guidance. When this happens, these non-operational priorities are generally not
addressed in the incident action planning process.
Incident Objectives
Management by objective is a key characteristic of NIMS and one that FEMA follows. Incident
objectives, per NIMS, are “statements of guidance and direction needed to select appropriate
strategy(s) and the tactical direction of resources. Incident objectives are based on realistic
expectations of what can be accomplished when all allocated resources have been effectively
deployed.”
Incident objectives must be flexible enough to allow for strategic and tactical alternatives.
Incident objectives set guidance and strategic direction but do not specify tactics. Incident
objectives drive response and recovery activities. Simply stated, incident objectives answer the
question of what must be accomplished. For example, Complete debris clearance from critical
transportation corridors within 72 hours.
Good Incident Objectives:
In the initial stages of an incident response, objectives
• are concise and stated in the
will often be quite general. For example, Conduct
form of a command
registrations and outreach in all affected counties • begin with an action verb (but
with major damage is an acceptable incident objective not “continue” or “maintain”)
in the immediate aftermath of a storm. As response • provide “actionable guidance”
work progresses, situational awareness improves, and for the Operations Section
resources status becomes clearer, objectives can • address incident operations,
become more specific, for example, Register not administrative and internal
individuals in shelters in designated counties. support activities
Incident objectives can be distinguished from tasks or work assignments by the fact that
objectives do not answer specific questions. Tasks and work assignments identify specific
resources and specific locations, and must be accomplished within the operational period.
Incident objectives, on the other hand, do not specify who will accomplish the action and are not
necessarily to be achieved in the current operational period. Appendix A provides more
information on how to develop incident objectives.
The UCG formulates incident objectives based on several factors: incident priorities and other
direction from a higher authority, the situation, and members’ professional judgment and
experience. Incident objectives should be clear, measurable, achievable, and flexible. They
include sufficient detail to ensure understanding, but are not so prescriptive as to preclude
innovation.
22
Table 4: Priorities—Objectives—Strategies—Tactics, Tasks, Work Assignments
Guidance
Description Developer Examples
Element
Initially established by the
Define the intent of leaders, in general terms, competent authorities, e.g.,
with regard to the most important things that Governor, Tribal Chair/Council,
Priorities must be accomplished. They are generally FEMA Administrator, FEMA RA; Search and rescue operations
expressed in terms of the core capabilities subsequently reviewed and
defined in the National Preparedness Goal. adjusted throughout the life
cycle of an incident by the UCG
Define what must be accomplished to achieve
Complete all search and rescue
Objectives the priorities and based on best knowledge of UCG
operations by 12 March
the current situation and the resources available
Deploy FEMA Urban Search and Rescue
teams, Emergency Management
Carefully devised plans of action to achieve one Assistance Compact search and rescue
or more objectives. Strategies describe what assets from Kentucky and Indiana, and
Strategies OSC
actions and resources are required in working to Canadian search and rescue teams to
achieve the specific objective. work in a unified operation under the
tactical control of Memphis Fire
Services.
California Task Force-3 will report to
Define how specific actions will be performed to
Memphis Fire Station 19 at the corner
achieve a planned outcome. Tactics specify who,
of Chelsea and Boxwood Street at 0600
what, where, and when in describing the
[of the operational period} with all
Tactics/ deployment and direction of resources for
equipment and support personnel to
Tasks implementing strategies to achieve incident OSC
deploy and operate under the direction
objectives. Tactics/tasks/ work assignments are
of Memphis Fire Services until 1800.
initially recorded on Form 215 and subsequently
Specific direction for the team will be
reflected on the Form 204 and included in the
provided by Memphis Fire Service
IAP for the given operational period.
officials.
23
FEMA has established guidelines to ensure that incident objectives are handled consistently:
• Incident objectives are displayed on the 202. They are numbered sequentially from the
beginning of the incident to its conclusion and are not renumbered for each operational
period.
o Either cross out or remove incident objectives that have been achieved.
o Incident objectives can be modified and maintain the same tracking number as long
as the intent of the objective does not change.
o If an objective is modified, it is assigned a new sub-letter under the same objective
number, and the old objective is retired. For example, if objective 2 is modified, it
becomes 2a, and objective 2 is retired. If this objective is modified again, it
becomes 2b, and 2a is retired.
• The UCG prioritizes incident objectives as operational period requirements dictate.
Incident objectives are listed on the 202 in order of priority, regardless of their tracking
number. The first listed objective is therefore the highest priority. The last listed objective
is the lowest priority.
• a common understanding among the UCG of the incident’s issues and the key
requirements of the response and recovery
• agreement regarding incident priorities and objectives for the next operational period
• recognition of constraints and limitations affecting accomplishment of incident
objectives, and operational guidance (for accomplishing incident objectives) that
accounts for and mitigates identified limitations
The work product from this meeting is a documented list of incident objectives (i.e., a FEMA
ICS Form 202) in preparation for the C&GS Meeting.
The PSC facilitates this meeting. The UCG presents the priorities and incident objectives and
articulates guidance on how incident operations will proceed. The participants review the
24
incident objectives and discuss strategies for accomplishing the objectives. Table 5 provides a
sample agenda.
Table 5: Sample Agenda for the C&GS meeting
25
CHAPTER 5: PHASE 3 - DEVELOP THE PLAN
Operational planning is a continuous process, but time-specific operational planning begins
immediately following the C&GS meeting. The Operations Section develops strategies to meet
incident objectives and tactics to accomplish the strategies (figure 7). Operations Section staff
match the work required to execute the tactics to resources to create work assignments, which are
documented on the Form 215. As work assignments are developed, the Safety Officer, Logistics
Section Chief, Security Manager, and others review the work assignments and provide input.
Strategies
Strategies are ways to achieve incident objectives. Strategies may be developed during all phases
of an operation and by all elements involved in the operation and are not restricted to specific,
short- or long-term operational periods. Strategies describe what actions and resources are
required to achieve specific objectives and are distinct from tactics, which address the conduct of
specific operations. A strategy describes how things work; tactics describe what must be done.
For example:
• Strategy: Establish a mix of fixed and mobile DRCs to provide easy access to FEMA
programs for survivors at the following locations: [list of locations follow]
• Tactics: Identify when, where, and the type of DRC to be established.
26
Determining Strategies
Strategy Development Tips
The process of developing strategies does not
occur during a formal meeting. It is OSCs often hold an informal meeting with
Operations Section staff members, who have
accomplished in the period between the operations planning responsibilities, to develop
C&GS Meeting and the Operations Tactics the operations strategies and to:
Meeting. • solicit broad input
• ensure that staff understand and agree on
The Operations Section staff begins the the strategies developed
process of developing strategies immediately • adjust strategies in consultation with
when they receive the incident objectives for branch directors and group supervisors
an operational period. The OSC develops Good strategies:
strategies collaboratively with section staff • are feasible, practical, suitable, and likely
and in consultation with others such as to achieve the desired outcome
Logistics, Safety, and Security personnel to • meet acceptable safety norms
ensure that the strategies are fully supportable. • are cost effective
All strategies must be weighed against • reflect sound environmental practices
• consider political implications
available resources, time, and the probability
• address core capabilities
of achieving the desired outcomes.
Determining Tactics
Tactics define specific actions to be performed to achieve a planned outcome. Tactics specify
who, what, where, and when for implementing strategies to achieve incident objectives. Tactics
describe the deployment and direction of resources, based on the strategy to accomplish the
incident objectives. Once the strategies have been developed, Operations personnel are
responsible for developing the tactics to implement the strategies taking into account constraints,
limitations, and other considerations. Examples of considerations for determining resource
requirements include what resources are available for the next operational period and whether
any road closures or hazardous conditions may affect tactical implementation. Once the kind,
type, and qualification of available resources are known and any constraints or limitations are
identified, a course of action (COA) can be developed.
1. Determine what has to be done to implement a strategy and what method(s) are likely to
achieve success.
27
2. Develop a list of resources (personnel, teams, equipment, supplies, and facilities) that are
required.
3. Provide a list of resources available (done by the Resource Unit).
4. Compare the resources required with resources available and discuss the findings with
the OSC prior to the Operations Tactics Meeting.
5. Draft the COA based on this analysis.
Additional personnel, supplies, services, and equipment required to implement the COA are
requested. This is done with the understanding that resources will usually not arrive in time to be
applied in the next operational period.
Once that COA has been developed and the requisite resources identified, Operations Section
personnel select specific resources to perform specific work assignments. They then write work
assignments for each resource and identify reporting locations.
On incidents that are organized geographically, functional branches/groups assign their resources
to geographic operations branches/divisions where the resources will be employed during the
operational period. While assigned to a geographical operations branch/division, these resources
are under the supervision of the Operations Branch Director-Geographic (OPBD). Resources
assigned to the division are directly supervised by other personnel outside of the division, such as
an OPBD, functional branch director/group supervisor, or ESFs/other Federal agencies/Recovery
Support Functions. The functional branches/groups plan the tactical activities and assign their
resources through the IAP to operations branches or divisions to perform designated work
assignments during the operational period. While assigned to a division, these resources are
under the management of the division supervisor (DIVS). However, the DIVS does not have
28
“direct supervisory authority” for any of the “resources assigned to the division.” Resources that
are not so assigned remain under the supervision of the appropriate functional branch/group.
Those resources assigned to a geographic branch/division are under the supervision of the
assigned OPBD/DIVS. That DIVS ensures that the work assignments prepared by the functional
branches, groups, and ESFs are carried out as prescribed in the work assignment. Functional
branches, groups, and ESFs may modify work assignments in coordination with the appropriate
geographic OPBD/DIVS. Conversely, if changes are needed to meet SLTT officials’ concerns
that affect functional resources assigned and their work assignments, the DIVS consults with the
OPBD, the appropriate functional branch director, the group supervisor, and the ESF lead.
If a resource will be assigned to more than one branch or division during a single operational
period, a work assignment is prepared for each. If a particular resource will be doing multiple
tasks in a single division, Operations Section personnel combine the work assignments on a
single line on the FEMA ICS Form 215 and the appropriate FEMA ICS Form 204.
• task to be accomplished
• objective being supported
• reporting time and location
• level of effort required to accomplish the task
• any special equipment required
• logistical support needs
• any contact information
• any constraints or limitations
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Identify the Reporting Location
The reporting location is where the assigned resource reports at the beginning of the operational
period. This is not the branch, division, group, or ESF but the physical location to which the
resource must report. Examples of reporting locations are:
Sometimes a specific time for arrival may also be necessary as part of the work location. This
could be a direction to not arrive before or after a certain time, or a period in which the work
assignment needs to be initiated. This information should be included with the reporting location
when relevant.
Functional operations branches/groups, ESFs, and geographic branches/divisions use the Form
215 to document the assignment of resources and supporting information as determined above.
The worksheet is designed to capture work assignment information and to aid in both the
operations review process and preparation of the FEMA ICS Form 204.
For each assigned resource, the following general guidelines must be entered on the FEMA ICS
Form 215:
1. In the “Objective” column, indicate the number of the incident objective or objectives that
the task supports. This will help inform the UCG of activities associated with each objective.
If a task is not associated with any objective, the UCG may need to adjust the objectives or
the task should be reconsidered.
2. Include only resources that are either on hand or that the Ordering Unit verifies have been
ordered and will be on hand for the assignment.
3. Enter the incident name.
4. Enter the date and time the form was prepared.
5. Enter the date and time for the operational period.
6. Enter the geographic branch number.
a. If the resource is being assigned to a functional group, leave blank.
7. Indicate a geographic or functional operations organization assignment, citing the following
according to the level of the incident:
a. Where applicable, for Level I and II incidents involving a geographic branch, show
the branch number (I, II, III, etc.) and division letter (A, B, C, etc.).
b. For Level I and II incidents involving a functional branch, cite the branch (IA, PA,
HM, etc.) and any operational branches/groups such as air operations, staging, and
disaster emergency communications.
c. For Level III incidents, cite the functional group (IA, PA, HM, etc.) and any
operational groups such as air operations, staging, and disaster emergency
communications.
8. Enter the resource identifier for the assigned resource.
a. Consult with the Planning Section’s Resource Unit for resource identification
information.
b. When there are multiple resources of the same kind and type ensure each resource has
an individual resource identifier assigned (i.e. Mobile DRC #3, Disaster Survivor
Assistance Crew #3, etc.).
9. Enter the contact name and phone number for the resource.
a. Consult with the Planning Section’s Resource Unit to identify the resource contact
name and number.
10. Enter the number of people or the quantity of the resource.
31
a. the number of people assigned to the resource (i.e. Crews, Task Force, etc.) or
b. the quantity of the resource (liters of water, number of meals ready to eat, number of
tarps, etc.)
11. Enter the work assignment.
12. Enter the reporting location and time (as needed).
a. For operational periods longer than one day, the date must be added if needed.
13. Logistical needs should include what is on hand, what is required and the delta (if any).
a. This will be helpful to stimulate discussion with Logistics Section personnel during
the Operations Tactics Meeting. It may also necessitate a change in strategies to
address shortfalls.
14. Under “Additional information,” list safety issues, security concerns, etc. that may affect the
associated task.
Once the draft worksheet is completed, it is transmitted electronically to the Resources Unit prior
to the Operations Tactics Meeting. The PSC and OSC negotiate the actual deadline for the
FEMA ICS Form 215, and the OSC is responsible for ensuring that the deadline is met.
The Resources Unit captures all FEMA ICS Form 215s and prepares them for display, review,
and editing at the Operations Tactics Meeting.
Participants in the Operations Tactics Meeting include functional branch directors (or designee
for branch planning); functional group supervisors (when no branch director is assigned); ESF
leads; the geographic branch director (operations branch directors) and division supervisors (if
requested by the OSC); the Resource Unit Leader (RESL); the Logistics Section Chief (LSC);
and the Safety Officer and Liaison Officer, and others as invited by the OSC.
Informational items available at the Operations Tactics Meeting, supplied by the Planning
Section, include the list of current incident objectives, a large incident map, a list of operational
resources (including the unassigned resources available for assignment), and displays of any
other information pertinent to the meeting. Table 6 provides an example agenda of an Operations
Tactics Meeting; the actual agenda should be tailored as applicable.
32
Table 6: Sample Agenda for the Operations Tactics Meeting
During the meeting, the OSC may determine the following options for a submitted work
assignment:
• Approve FEMA ICS Form 204 conversion into the final IAP
• Disapprove for not supporting an objective, not field-based, no longer applicable, etc.
• Retain for a future operational period
• Capture the information in another format (i.e. FEMA ICS Form 213 General Message,
Action Tracker, etc.)
At the conclusion of the meeting, copies of the approved FEMA ICS Form 215s are made
available to the Resource Unit either electronically or uploaded to a web-based application. It is
important that the Operations entities provide the FEMA ICS Form 215s in a timely manner so
that the Planning Section has adequate time to prepare and conduct quality assurance on the
required information for the IAP meetings.
33
CHAPTER 6: PHASE 4 - PREPARE AND
DISSEMINATE THE PLAN
Phase 4 (figure 8) begins when the Planning Section receives the approved FEMA ICS Form
215s from the Operations Section at the conclusion of the Operations Tactics Meeting. It ends
with the IAP being approved at the planning meeting and signed by the UCG. The Planning
Section (Planning Support Unit Leader) is responsible for completing the appropriate IAP forms
and assembling the IAP. Other sections contribute key information and supporting documents.
At the end of this phase, a draft IAP has been approved by the UCG. The items that make up the
IAP are listed in table 7, along with pertinent information on each item.
34
Table 7: IAP Components and Sequence of Assembly
• Overseeing the IAP’s Preparation—The PSC oversees the preparation and assembling of
the draft IAP to ensure that it is completed in time to be presented at the planning
meeting. The PSC ensures the quality and completeness of the IAP, which includes
coordinating with other sections and functions. The PSC adjudicates requests to add
items to the IAP.
• Reviewing the Assembled Draft—The PSC schedules time with the OSC to review the
IAP prior to the Planning Meeting.
• Facilitating the Planning Meeting—The PSC is responsible for scheduling, managing,
and facilitating the Planning Meeting. (See the planning meeting section below.)
35
• Ensuring the IAP is approved—While all players in the incident action planning process
contribute to the success of the plan, the PSC is responsible for obtaining the UCG’s
approval for the IAP.
Resource Unit
The Resource Unit is responsible for preparing a number of forms that are key to the IAP. Those
forms include the following:
Dos Don’ts
• Sequence FEMA ICS Form 204 according • Do not modify the form or use a modified form.
to the organization chart for the Operations
Section (e.g., Branch I and Divisions A • Do not include work assignments that are not
through G, followed by Branch II and in direct support of incident objectives.
Divisions H through N, followed by IA • Do not include work assignments for OSCs,
Branch and Groups, PA Branch and branch directors, division or group supervisors,
Groups, HM Branch and Groups, etc.) and managers assigned in the JFO on the
• If the incident is organized geographically, FEMA ICS Form 204 if they are administrative
organize the FEMA ICS Form 204s in nature or relate to personnel management.
geographically; if the incident is organized • Do not include more than one work assignment
functionally, organize the FEMA ICS Form line for an individual, task force, team or crew
204s functionally. on the FEMA ICS Form 204 for any particular
division. Combine multiple work assignments
• List all resources working in a particular
division on that division’s FEMA ICS Form and display them on one assignment line. A
204. particular individual, task force, team, or crew
may, however, be assigned to more than one
• Specify exactly which resource (individual, division on FEMA ICS Form 204 when assigned
task force, team, crew, or squad with a to work locations in other divisions.
designation number or other specific
nomenclature) is responsible for each work • Do not leave blocks blank. Where information
assignment. for a block is not available, use placeholders
(“TBD,” “N/A,” or “UNK”) to indicate that the
• Ensure that names, contact numbers, and topic of the block has been addressed.
resource identifiers are correct.
36
Important considerations when preparing the FEMA ICS Form 205 A are as follows:
• Include only positions at (i.e., personnel assigned to) the division/group supervisor and
unit leaders levels and above.
• Ensure that the information on the plan is consistent with the information on the Incident
Organization Chart (FEMA ICS Form 207).
• Once the JFO is established, ensure that contact numbers listed for FCO, SCO, TCO, and
other key staff are desk phone numbers for their administrative assistants. Do not list
personal cell phone numbers for any staff members. Include government-issued cell
phone numbers, if available.
• Include the USNG coordinates with the incident facility location/address. If the address is
not known, specify only the USNG coordinates.
The Planning Section Resource Unit prepares and maintains the Incident Organization Chart,
using the following important considerations:
• Include geographic branch director(s) and/or division supervisors on incidents that are
organized geographically. Use program branches (IA, PA, and HM), Air Operations
Branch, etc. when applicable. (See IMH, Chapter 5, Operations Section).
• Include the major components of the C&GS organization on the organization chart. Also,
include FEMA program areas when they are assigned, which are typically organized and
displayed as branches but may be displayed as groups on smaller incidents.
• Display the organization on the organization chart according to the general incident
organization structure in the IMH.
• Show deputy positions box in the same box as the primary position. Deputies do not have
separate organizations under them. If there is a need for additional positions to
accommodate span of control, assign assistants.
• Ensure that position titles and names on the organization chart are consistent with the
position titles and names on the Form 205 A and throughout the IAP.
• Include only division/group supervisor and unit leader positions and above on general
staff organization charts. Include only managers/advisors and above on command staff
organization charts.
• Include no more than two organization charts in the IAP (typically one for C&GS
organization and one for the Operations Section).
37
Situation Unit
The Situation Unit is responsible for the preparing the Incident Objectives (FEMA ICS Form
202), Meeting Schedule (FEMA ICS Form 230), and coordinating the development of the
Incident Map with the GIS Unit. The SITL also delivers the situation briefings at the C&GS
meeting and the Planning Meeting and may brief at the operations briefing. The SITL also
develops and maintains other key information items, including maps and situational displays that
are typically posted in the Planning Meeting room.
Important considerations when preparing the Form 202 include the following:
Important considerations when preparing the Form 230 include the following:
• List and conduct the following for each operational period: C&GS Meeting, Operations
Tactics Meeting, Planning Meeting, and Operations Briefing.
• Use common terminology, as identified in the IMH, to describe all meetings and
briefings. (Refer to IMH chapter 9 for further guidance.)
• Do not include items on the schedule that are not meetings or briefings.
38
Incident Map
The incident map is an essential IAP component that identifies key incident facilities and
operational boundaries. The Situation Unit provides information and coordinates with the GIS
Unit to produce the map.
Important considerations when preparing the incident map include the following:
Command/General Staff
The Safety Officer, Logistics Section, and the Operations Section’s Air Operation Branch are
also responsible for preparing and maintaining certain components of the IAP.
39
Safety Officer
The Safety Officer is
The Safety Officer is responsible for identifying any responsible for creating the
risks or threats for incident personnel and developing following:
the general safety message on the FEMA ICS Form
202, Safety Analysis (FEMA ICS Form 215 A), and • FEMA ICS Form 202:
General Safety Message
the Medical Plan (FEMA ICS Form 206).
• FEMA ICS Form 206:
General Safety Message on FEMA ICS Form 202 Medical Plan
• FEMA ICS Form 208: Site
The Safety Officer prepares the general safety message Safety Plan (as applicable)
to be included on the Form 202 for each IAP. The • FEMA ICS Form 215A:
message focuses on information that is relevant and IAP Safety Analysis
actionable to field personnel for operations during the
The Safety Officer, or designee,
operational period. The message may be changed for
attends and provides a high-level
each operational period based on conditions. safety briefing at the Operations
Medical Plan (FEMA ICS Form 206) Tactics meeting when Command
Staff support is required.
The Medical Plan (FEMA ICS Form 206) is key to the
welfare of incident personnel and is included in all
IAPs. The FEMA ICS Form 206 provides important
information on medical emergency procedures and the locations and phone numbers of medical
aid facilities, emergency medical transportation, and hospitals in the incident area. The Medical
Plan includes how to contact Emergency Services, local urgent care centers, and hospitals in the
applicable areas.
Important considerations when preparing the FEMA ICS Form 206 are as follows:
• List urgent care and hospital emergency rooms as well as incident aid stations established
at the JFO and incident camps in block 5, “Incident Medical Aid Stations.”
• Indicate the emergency phone number in block 6, “Transportation.”
• If any ambulances are assigned to the incident, include the locations and phone numbers
in block 6.
• In block 7, “Hospitals,” list not only the facility that normally services the main JFO but
also the hospitals located throughout the incident area. (Typically, those selected have
emergency room capability.).
• Include sufficient information in block 8, “Emergency Medical Procedures,” to enable
incident employees to know what to do and whom to notify in the case of a medical
emergency.
40
assignment. This analysis assists Operations Section personnel in altering tactics, if necessary, to
promote the safety of the field personnel. If this alters the work assignments or the resources
required, the Safety Officer confers with the OSC and the PSC so that the Form 204 can be
adjusted.
Logistics Section
On incidents where radio communications are used, this section is responsible for preparing the
Incident Radio Communications Plan (FEMA ICS Form 205) and the traffic plan.
Traffic Plan
The traffic plan is included in the IAP, when required, but does not have an ICS Form number.
The Ground Support Unit prepares the traffic plan when incident personnel must be informed of
special traffic requirements, including required routes of travel, missing directional signage on
incident transportation routes, and special driving conditions.
41
Table 9: Sample Agenda Items for the Planning Meeting
In the planning meeting, the OSC elaborates, as necessary, on the strategy and tactics to be
employed during the operational period.
The target audience for the IAP is branch directors, division and group supervisors, task force
leaders, team leaders, crew leaders, squad leaders, and incident support staff. Field supervisors
are responsible for ensuring their staff can access the IAP. When optional ICS forms are included
in the IAP, they must be available to all recipients as part of the IAP. The Planning Section
Documentation Unit collects and archives all original IAP forms.
42
CHAPTER 7: PHASE 5 - EXECUTE, EVALUATE, AND
REVISE THE PLAN
Phase 5 (figure 9) begins with the operations briefing and continues as the IAP is executed and
evaluated in preparation for it to be revised during the next operational period.
Operations Briefing
The OSC conducts the operations briefing before each operational period begins, ensuring that
those who need the information have access to it. The purpose is to roll out the IAP for the
upcoming operational period. The OSC may adjust work assignments or resource allocations
during the briefing. Table 10 lists topics that are typically addressed in the operations briefing;
the actual agenda should be tailored as applicable.
Table 10: Sample Agenda for Operations Briefing
43
C&GS members receive the briefing if they are supporting field personnel identified in the IAP.
Attendees also include branch directors, division/group supervisors, and others as needed.
Once the IAP has been distributed and the operations briefing has been held, the IAP is executed.
As field personnel perform their work assignments, supervisors assess the progress and the
effectiveness of the work. This assessment often requires field visits to observe progress.
Individuals, crews, and task forces inform their supervisors of the status of assignments.
Changes are often required to reassign resources or modify work assignments during the
operational period. The changes can come from the field level, in which case changes are
communicated up to the OSC through the branch directors, division supervisors, and group
supervisors. The OSC, in turn, communicates the changes to the Planning Section. Changes can
also come from other sources and would be communicated from the OSC down to the branch
directors, division supervisors, and group supervisors.
Information required to evaluate the work conducted based on the last IAP is collected in a
number of ways. An essential source is reports from field personnel. During supervisory visits,
field personnel provide assessments of their effectiveness during the operational period.
Supervisors pass information to the Planning Section Situation Unit. If field personnel do not
provide input on their work during each operational period—and the Situation Unit does not
provide a method to gather field input—then the effectiveness of the subsequent IAP may be
compromised.
44
Ending Incident Action Planning
As an incident progresses and a steady operational tempo is achieved, the UCG will consider
ending incident action planning. No set rules exist on when to stop developing IAPs. This
decision lies with the FCO and the UCG. The following criteria
may be helpful. Examples of Post-IAP
products used by JFO
Consider halting incident action planning when: personnel can include:
• Response activities have ended • Incident Strategic
• There is no remaining threat to life or property Plan
• Work occurring in the JFO is primarily programmatic • SITREP
• All ESF resources except staff have been demobilized
• Operations are being conducted under a Recovery Support Function organization
• The operational period is longer than six days
• Most Planning Section efforts are focused on reporting rather than planning
• A Recovery Support Strategy is in place and being executed
• The transition from a JFO and a standard ICS structure to a National Disaster Recovery
Framework structure is underway or complete
45
ANNEX 1: ACRONYMS
C&GS Command and General Staff
HM Hazard Mitigation
IA Individual Assistance
46
NSP National Support Plan
PA Public Assistance
RA Regional Administrator
47
ANNEX 2: GLOSSARY
Assistant: the title indicates a level of technical capability, qualifications, and responsibility
subordinate to the primary positions. Assistants except for subordinates of principal Command
Staff positions (External Affairs, Safety, Chief of Staff, and Liaison Officers) are not FEMA
Qualification System positions and will not have position task books. Assistants must be
qualified at the next lower level to the principal position. Assistants may be used to alleviate
span of control issues or assigned technical responsibilities.
Branch: the organizational level having functional or geographical responsibility for major
aspects of incident operations. A branch is organizationally situated between the section chief
and the division or group in the Operations Section, and between the section and units in the
Logistics Section. Branches are identified either by the use of Roman numerals or by functional
area.
Chain of Command: the orderly line of authority within the ranks of the incident management
organization.
Constraint: requirement that dictates or prohibits an action, thus restricting freedom of action.
Deputy: a fully qualified individual who, in the absence of a superior, can be delegated the
authority to manage a functional operation or to perform a specific task. In some cases, a deputy
can act as relief for a superior and therefore must be fully qualified in the position. Deputies must
be fully qualified in the position for which they are assigned. Deputies are used to share position
responsibilities and serve as acting during the absence of the primary superior. Deputies are not
used to alleviate span-of-control issues. An FCO can assign a deputy to perform specific tasks.
Division: the organizational level responsible for operations within a defined geographic area.
Divisions are established when the number of resources exceeds the manageable span of control
of the Section Chief. See Group.
Essential Element of Information: important and standard information items that incident
managers need to make timely and informed decisions. EEIs also provide context and contribute
to analysis. EEIs are also included in situation reports.
48
Group: an organizational subdivision established to divide the incident management structure
into functional areas of operation. Groups are composed of resources assembled to perform a
special function not necessarily within a single geographic division. See Division.
Incident Objective: statement of guidance and direction needed to select the appropriate
strategy (or strategies) and the tactical direction of resources. Incident objectives are based on
realistic expectations of what can be accomplished when all allocated resources have been
effectively deployed. Incident objectives must be clear, achievable and measurable, yet flexible
enough to allow strategic and tactical alternatives.
Incident Planning: planning associated with an actual or potential incident, likely under
emergency conditions, that involves developing procedures for responding to actual or projected
effects.
Joint Field Office: a temporary Federal facility established to provide a central point for Federal
and SLTT governments and private-sector and nongovernmental organizations with
responsibility for incident oversight, direction, and/or assistance to effectively coordinate and
direct prevention, preparedness, response, and recovery actions. Typically, the JFO is located at
or near the incident area of operations. The JFO may be co-located with the State EOC.
Operational Period: the time scheduled for executing a given set of operation actions as
specified in the IAP. Operational periods can be of various lengths, although usually they last 12
to 24 hours immediately after an incident and longer as more time passes.
Priority: Incident priorities identify the most important needs and the core capabilities needed to
address those needs. Priorities facilitate the development of incident objectives and establish
their order of importance. Developed by the UCG, priorities also guide the employment and
allocation of resources.
Span of Control: the number of resources for which a supervisor is responsible, usually
expressed as the ratio of supervisors to individuals. Under NIMS, an appropriate span of control
is between 1:3 and 1:7, with optimal being 1:5, or between 1:8 and 1:10 for many large-scale law
enforcement operations.
Tactic: the deployment and directing of resources on an incident to accomplish the objectives
designated by a strategy.
49
Task Force: any combination (number and mixture) of resources assembled to support a specific
mission or operational need. All resource elements within a task force must have common
communications and a designated leader. A task force may be pre-established and sent to an
incident, or formed at an incident.
Unified Coordination Group: the structure that executes unified command and leads incident
activities at the field level to achieve unity of effort. Its purpose is to establish and achieve shared
objectives. The UCG is comprised of senior leaders representing State and Federal interests and,
in certain circumstances, tribal governments, local jurisdictions, or the private sector. The FCO is
responsible for establishing the UCG.
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APPENDIX A: HOW TO DEVELOP INCIDENT
OBJECTIVES
Incident objectives are the focal point for conducting response and recovery activities. They
represent the UCG’s intent for the conduct of the incident. Writing good incident objectives can
be as challenging as it is important. The following basic rules may be helpful.
Answers… Documented
Based On
Who? What? Where? When? in IAP
Governor, Regional
Incident Priorities
Administrator guidance
Incident priorities,
Incident Objectives
situation, resources
Tasks/Work
Incident objectives
Assignments
Note: A black dot means always; open circle means sometimes; blank means never.
Incident objectives:
• Are concise statements of what needs to be done or attained; they are not descriptions of
specific tasks.
• May include details on where and when; they do not indicate how or why.
• Should not address normal, inherent incident management activities, e.g., “Initiate
incident action planning,” “Gain situational awareness,” “Deploy liaisons to the State
EOC.” 7
• Are established for every operational period but need not be accomplished or
accomplishable in that single operational period; they frequently carry over from one
operational period to the next.
7
Such activities are important and should be tracked by the appropriate elements of the UCS but should not be
included in the IAP.
51
• Are the exclusive responsibility of the UCG and are generally developed with input and
assistance from the command staff and general staff.
• Are typically general during the initial operational periods of an incident and become
more specific, in terms of where and by when, as awareness of the situation improves.
• Must be measurable to make it possible to determine when a given objective has been
accomplished, achieved, or attained.
• Should address outcomes rather than outputs or program specifics whenever possible.
• Are specifically intended to guide incident operations and are not the appropriate place to
highlight the concerns of specific constituencies.
Table 12 provides more suggestions for words to use and avoid when writing incident objectives.
It also suggests the functional areas that are typically the focus of incident objectives.
Table 12: Suggestions for Writing Incident Objectives
52
In the IAP, on FEMA ICS Form 202:
• Display only incident objectives—do not include priorities, strategies, or other extraneous
information.
• Assign individual tracking numbers to incident objectives serially from the beginning of
the incident to its conclusion.
• Do not renumber incident objectives. Each objective retains its original tracking number
until the objective is accomplished or achieved at which point the objective and its
tracking number are retired.
• Once an incident objective has been retired, do not include it on the ICS Form 202.
• If an objective is modified but retains its original intent, assign its tracking number a new
sub-letter and retire the original objective. For example, if objective 2 is modified, its
tracking number becomes 2a, and objective 2 is retired. If that objective is subsequently
modified again, the objective becomes 2b, and 2a is retired.
• If an incident objective is modified in a way that changes its original intent, retire the
original objective and assign revised objective a new tracking number.
• Prioritize incident objectives based on urgency, operational period requirements, and
guidance from the UCG.
o List the incident objectives on the ICS Form 202 in order of their priority,
regardless of their tracking number. The first objective listed is the highest
priority. The last listed objective is the lowest priority.
o Let incident priorities guide the prioritization of objectives. “While objectives
must be based on requirements,” the Incident Management and Support Keystone
states, “the status in which they must be addressed is guided by priorities.”
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Examples of Incident Objectives
Table 13 provides examples of good objectives from IAPs. This list is not exhaustive and only
meant to illustrate the rules above.
Table 13: Examples of Good Incident Objectives
54
Example Incident Objectives
32 Schedule and conduct applicant briefings
33 Conduct applicant briefings focused on expedited Immediate Needs Funding and categories A
and B relief
34 Conduct 14 Applicant Briefings by DD Month YYYY
35 Focus and execute Housing Inspections in coastal areas that are without power
36 Conduct registration operations
37 Transition 90% of the current sheltered population into a better housing solution by DD Month
YYYY
38 Contact applicants to determine their needs for expedited category A and B projects
39 Contact applicants to identify needs for expedited categories A and B project worksheets;
schedule kick-off meetings within 21 days of Request for Public Assistance approval
40 Conduct 200 Public Assistance exploratory calls to set-up kick-off meetings by DD Month YYYY
41 Provide feeding and other life-sustaining commodities to survivors
42 Restore power, feed survivors, and provide Individual Assistance registration, and housing
inspection services
43 Provide technical assistance to [City], [County], and [County] Hazard Mitigation Programs to
expedite and enable municipalities to meet their obligations under the Hazard Mitigation
Grants Program
44 Identify and address unmet needs and integrate long-term recovery planning with daily
operations in the most severely impacted areas
45 Conduct initial community assessments for expedited recovery
46 Raise awareness of the new Advisory Base Flood Elevation data by reaching out to affected
communities and using that data to support reconstruction efforts
47 Implement Personalized Applicant Assistant Services to address the remaining temporary
sheltered hotel population and assist other eligible applicants in identifying interim housing
solutions
48 Identify the scope of the mold issue in disaster housing, determine assets available to address
the problem, and provide courses of actions to state and local government partners
49 Determine the need and validate the capacity of communities to engage in Community
Planning and Capacity Building
50 Provide commodities to designated points of distribution and isolated communities
51 Provide technical assistance to local building inspectors for the assessment and
determination of substantially damaged structures located within the floodplain
52 Provide building code and mitigation technique information to minimize damage from future
events
53 Increase flood insurance coverage under the National Flood Insurance Program
54 Identify housing resources for applicants impacted by the severe storms
55 Execute Housing Mission: identify housing resources for applicants; install temporary housing
units for applicant occupancy
56 Execute Housing Mission: identify housing resources for applicants; place 26 applicants in
temporary housing units by DD Month YYYY
57 Install 20 temporary housing units and make 18 units ready for occupancy by COB DD Month
YYYY
58 Assist 12 communities to develop their long-term community recovery plans and/or strategies
59 Conduct Disaster Case Management in support of [State] in 14 counties; transition to State
ownership by DD Month YYYY
60 Provide technical assistance to [State] in developing strategies to retain major employers
affected by [Incident]
55
APPENDIX B: INCIDENT COMMAND SYSTEM MAP
SYMBOLS
SYMBOL FEATURE REPRESENTED
Joint Field Office
Helispot (identifier)
Branch Office
Division Office
Hazard/Incident Origin
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APPENDIX C: JOB AIDS FOR STAFF PREPARING
FEMA ICS FORMS FOR THE IAP
Using these job aid checklists will enhance the consistency of and provide standardization
among all IAPs, with the goal of improving the execution of incident-level operations.
Standardized IAPs are necessary for FEMA employees and all interagency, SLTT, and private-
sector partners—to have a common expectation of how IAPs will be developed, formatted, and
compiled. IAPs are critical to incident field personnel in facilitating their situational awareness
and understanding work assignments. The individual checklists below can be provided to the
staff members responsible for assembling each piece of the IAP.
Situation
The Cover Sheet (FEMA ICS Form 200) will include the following:
Unit Leader
Title: Joint Incident Action Plan
Plan number (the first IAP developed is #1: subsequent IAPs are numbered sequentially)
Incident name that describes the nature of the disaster (severe storms, tornadoes,
flooding, etc.)
FEMA Declaration Number (e.g. FEMA-XXXX-XX (EM/DR)-
XX(State/Tribe/Territory))
State and other participating UCG members’ declaration numbers
Joint Field Office (or initial operating facility) address and USNG
Operational period date and time
IAP approval signature blocks for the SCO/TCO, FCO, and any other UCG member(s).
Logos (black and white only) may be used for FEMA, the State, and any other UCG
member organizations
IAP approval signature blocks for the SCO/TCO, FCO and any other UCG member
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Incident Objectives (FEMA ICS Form 202)
The Incident Objectives (FEMA ICS Form 202) is the first page of the IAP. This form not only describes
the UCG’s incident objectives but also provides weather and safety considerations for use during the next
operational period.
Situation
Incident Objectives (FEMA ICS 202) will include the following:
Unit Leader
In Block 5, only incident objectives will be displayed.
Number the incident objectives:
• Sequentially from the beginning of the incident to its conclusion.
• Do not renumber them for each operational period.
List the incident objectives in order of priority, regardless of their tracking number.
• The objective listed first is the highest priority.
• The objective listed last is the lowest priority.
Remove numbered incident objectives that have been achieved.
Note: Archive completed FEMA ICS Form 202 for future reference.
Modify an incident objective if necessary and maintain the same tracking number as long
as the original intent of the objective does not change.
Write out the incident objectives so that they provide actionable guidance for Operations.
Do not focus incident objectives so tightly that they become essentially similar to work
assignments.
Do not list “priorities” or “incident priorities” on the Form 202.
In Block 6, focus the weather message on weather that incident personnel can expect for
the operational period.
In Block 7, focus the safety message on information that is relevant and actionable to
field personnel.
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Incident Telephone Communication Plans (FEMA ICS Form 205 A)
The purpose of this form is to inform incident personnel regarding which radio communications channels
are in use and which specific purpose each has been assigned. It is acceptable for Planning Sections to
replace the Incident Radio Communications Plan (FEMA ICS Form 205) in the IAP, where appropriate,
with a modified version, entitled the Incident Telephone Communications Plan (FEMA ICS Form 205 A).
The plan is a combined Organization Assignment List (FEMA ICS Form 203) and Form 205 that includes
professional contact telephone/cell phone numbers and professional email address (optional) for each
person listed. It also identifies if they are FEMA, State, or from other federal agencies. The inclusion of
both the Form 203 and Form 205 A in the IAP is unnecessarily duplicative and therefore confusing—
adding to the length of the IAP without providing additional needed information.
The Incident Telephone Communication Plan (FEMA ICS Form 205A) will include Resource
the following: Unit Leader
Only those positions and personnel assigned to division/group supervisors, unit leaders
and above.
Note: The exception to this is a Level III, event and the Form 205 A is no longer than one page
in the IAP.
Ensure that this plan does not become the incident phone directory.
Ensure that this plan corresponds with the incident organization chart with correct names
assigned to specific positions.
Contact numbers listed for FCO, SCO/TCO, and other key staff are the desk numbers for
their administrative assistants.
Do not show personal cell phones numbers or personal email addresses for any incident
staff.
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Incident Organization Chart (FEMA ICS Form 207)
Incident Organization Charts (FEMA ICS 207) are important for incident personnel to understand how
the incident is organized, what positions are filled, what the reporting structures are, and who is filling
these positions. On Level I and II incidents, the organization charts include unit leaders, group/division
supervisors positions, and above. Organizations will be configured according to incident needs and
current accepted program structure. These charts should accurately reflect the organization.
Resource
Incident Organization Chart (FEMA ICS Form 207) will include the following: Unit Leader
Chart displayed in way that is consistent with examples provided in the Incident
Management Handbook.
Position naming conventions that conform to the position names in the IMH.
Deputy positions shown in the same box as the primary position.
Deputies will not be shown with separate organization structures.
• If there is a need for another position to manage the span of control then the use
of assistants is appropriate.
The names on the chart are consistent with the names on the Form 205 A.
Ensure that on Level I and II incidents, the following occurs:
• Command staff includes only managers/advisors and above.
• The organization charts include unit leaders/group and division supervisors
positions and above only
• The organizations are configured according to incident needs.
• The Operations Section organization is organized geographically, unless there is
a compelling reason to organize functionally.
For a Level III incident, the following occurs:
• The organization is arranged functionally. (In rare situations, it can also be
organized geographically.)
• Include, as necessary, all the positions/names of the whole organization on the
chart.
On incidents that are organized geographically, the organization chart will include the following:
• Geographic branch director(s) and division supervisors
• Program branch directors, group supervisors, task force leaders, managers, and
crew leaders (IA, PA, and HM)
• Air Operations Branch
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Incident Map
The incident map is an important IAP component for incident field personnel, which enables them to
locate critical incident facilities and operational geographic boundaries, and other critical information
such as declared counties. On Level I and II incidents, the incident map is extremely important for those
doing incident action planning. FEMA program branches in Operations and others (e.g., ESFs) need to
know where the geographic branches and divisions boundaries are located within the incident area so they
can assign their resources to the correct branch and division on the Operational Planning Worksheet
(FEMA ICS Form 215). The incident map is the responsibility of the Planning Section’s Situation Unit,
however, the updating and viability is the responsibility of the Operations Section Chief. Incident maps
should be produced in black and white using standardized fill patterns (i.e., vertical horizontal, and
diagonal) to indicate IA, PA, IA/PA, and Hazard Mitigation Grant Program if declared.
Situation
The incident map will include the following:
Unit Leader
Incident geographic branches and division boundaries
Critical operational facilities such as the following:
• Staging Areas, both Federal and State
• Operations field offices
• Helibases, fixed wing bases
• Disaster Recovery Centers
• Incident camps or other support facilities
• Designated counties
Ensure that the naming and identification map symbols, are all in accordance with IMH
Chapters 9 through 30 and appendix B of this document.
Ensure that incident map legends use black and white patterns, not color.
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Assignment List (FEMA ICS Form 204)
Assignment Lists (FEMA ICS Form 204) are critical for informing field staff about their assignments,
duties, responsibilities, and key personnel contact information for an operational period. As a result, Form
204 should be complete, accurate, and organized in a manner that facilitates staff’s understanding of
operational work assignment details. Using the Operational Planning Worksheets (FEMA ICS Form 215),
the Operations Section develops the FEMA ICS Form 204. Once Operations approves them, the FEMA
ICS Form 215s are given to the Planning Section to prepare the FEMA ICS Form 204s. Once the UCG’s
members affirm that the general staff can support the plan at the Planning Meeting, and the UCG then
approves the operational plan, the FEMA ICS Form 204s are included in the IAP for duplication and
distribution.
Resource
The Assignment List (FEMA ICS Form 204) will include the following:
Unit Leader
Do not use a modified FEMA ICS Form 204.
Do not include work assignments that are not in direct support of incident objectives.
Do not include for work assignments OSCs, geographic and program branch directors,
division supervisors, and managers assigned in the JFO if they are administrative in
nature or relate to personnel management.
Sequence the list according to the Incident Organization Chart (FEMA ICS Form 207)
for Operations.
Example: Branch I and Divisions A through G, Branch II and Divisions H through N, IA
Branch and Groups, PA Branch and Groups, HM Branch and Groups etc.
Complete the list in a way that is clear and provides information for field staff to
understand their task, reporting location, reporting time, and key personnel contact
information.
Do not include objective numbers on the work assignment.
Note: It is the responsibility of the OSC to ensure work assignments are consistent with the
FEMA ICS Form 202 during the Objectives Strategies Meeting.
Ensure that all resources are listed on the appropriate FEMA ICS Form 204.
Ensure that division or functional forms include no more than one work assignment line
for an individual, crew, or task force.
• A particular individual, crew, or task force may be assigned to more than one
division form when assigned to work locations in other divisions.
• Multiple work assignments are combined and displayed on one assignment line.
No blank blocks on the list.
Note: Where information for a block is not available, use placeholders whenever possible to
indicate that the topic of the block has been addressed (TBD, N/A, UNK, etc.).
The following are detailed appropriately:
• Logistical needs
• Safety considerations
• Coordination requirements
• Critical support information
In Block 11, any special communication requirements, if different than those identified in
the FEMA ICS Form 205 A, are fully described
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Medical Plan (FEMA ICS Form 206)
The Medical Plan (FEMA ICS Form 206) is critical for the safety of incident personnel when a medical
emergency occurs. FEMA ICS Form 206 provides important information to incident personnel such as
the following: medical emergency procedures, the locations of medical aid facilities within the incident
area, emergency medical transportation locations with contact numbers—including those of hospitals
located in or near the incident area. The responsibility for the development of the FEMA ICS Form 206 is
the Safety Officer.
Safety
Medical Plan (FEMA ICS 206) will include the following:
Officer
The form being used is the official FEMA ICS Form 206 and has not been modified.
Include in Block 3 (incident medical aid stations), both urgent care and hospital
emergency rooms located within the incident area, and incident aid stations that may be
established at the JFO and incident camps.
Include in Block 4, whether 911 is the contact number for all emergency transportation
needs in all affected areas of the incident.
• If 911 is not the contact for all emergency transportation needs, then the IAP
must reflect the information for each municipality.
• If an ambulance is assigned to the incident then the correct location and contact
numbers must be included.
Include in Block 7, (hospitals) not only the hospital that would service the JFO, but also
selected hospitals with emergency room capability located throughout the incident area.
Fill Block 6, correctly and with enough information so an incident employee will know
what to do and who to notify in the case of an accident or other medical emergency.
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Daily Meeting Schedule (FEMA ICS Form 230)
The Daily Meeting Schedule (FEMA ICS Form 230) provides incident staff with the information
regarding what, where and when critical incident meetings will take place during the operational cycle.
The schedule also lays out the purpose of the meetings. Incident action planning meetings and briefings
will always be included in this schedule. The meeting schedule also ensures that other meetings do not
conflict with incident action planning meetings (i.e., Command and General Staff Meeting, Objectives
Strategies Meeting, Planning Meeting, and the Operations Briefing). The meeting schedule should reflect
the incident action planning cycle for the operational period, and include other critical incident meetings
as needed.
Situation
The Daily Meeting Schedule (FEMA ICS Form 230) will include the following:
Unit Leader
A C&GS meeting consisting of the UCG (FCO, SCO/TCO, and any other UCG
Coordinator) and staff will be conducted and listed on the meeting schedule for each
operational period.
The Objective Strategies Meeting will be conducted and listed on the meeting schedule
for each operational period.
The Operations Briefing will be held every operational period and listed on the meetings
schedule for each operational period.
• Planning Meeting will be conducted and listed on the meeting schedule for each
operational period.
• All incident action planning meetings and briefings will have IMH compliant
names
Items that are not meetings are not included.
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APPENDIX D: FINAL QUALITY ASSURANCE
CHECKLIST
The checklist below is intended to serve as a tool that the PSC uses before granting final
approval to the IAP.
Do the tasks listed on the Assignment List(s) (FEMA ICS Form 204) support the Incident
Objectives (FEMA ICS Form 202)?
Does the incident map reflect the operation elements identified on the Incident
Organization Chart (FEMA ICS Form 207) or the FEMA ICS Form 204?
Does the Incident Telephone Communications Plan (FEMA ICS Form 205 A) provide
information on the operation elements identified on the FEMA ICS Form 207 or the
FEMA ICS Form 204?
Are all assigned radio frequencies, trunked radio systems, and talk group assignments
identified on the Incident Radio Communications Plan (FEMA ICS Form 205), and does
the information reflect the operation elements identified on the FEMA ICS Form 207 or
the FEMA ICS Form 204?
Does information on the Medical Plan (FEMA ICS Form 206) identify the closest
medical facility to each operation element identified on the incident map, the FEMA ICS
Form 207, or the FEMA ICS Form 204? Does it identify what should be done if someone
is injured or is seriously ill?
Does the IAP use common Incident Command System terminology throughout the
document?
Does the Meeting Schedule (FEMA ICS Form 230) contain at a minimum, the following?
• appropriate incident action planning meetings
• strategy meetings
• team meetings
• public meetings
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APPENDIX E: MAINTAINING SITUATIONAL
AWARENESS THROUGHOUT THE LIFE CYCLE OF
THE INCIDENT
It is necessary for FEMA to have an understanding of what is going on when, where, how, by
whom, and with what throughout the life cycle of an incident. This type of information provides
situational awareness. Initial situational awareness typically comes via the initial situation
assessment which is facilitated by deliberate plans. Subsequent situational awareness comes
through the information collection process. This appendix provides further information regarding
both of these processes.
Deliberate
Description Application Examples
Plan Element
Earthquake Magnitude
Provides baseline
expectations for the Allows IMAT to identify Hurricane Strength
content of the rest of the potentiality for plan use Regional Response
Assumptions
plan, including magnitude, and applicability of Coordination Center
impacts, location(s), and operational requirements Capability
operational capabilities
Resource Availability
Provides IMAT with initial Demographics
framework for
Provides construct for Climate
understanding the
Risk Analysis considering where
potential impacts, Geology
potential risk exists
including those that may
not be typically considered Cascading Impacts
66
Deliberate
Description Application Examples
Plan Element
Incorporates risk analysis
and assumptions into Informs process for Transportation Impacts &
currently understood determining delivery of Associated Timeline
Projected timelines to give resources, allows for Delays
Timelines framework for expected expectations to be
timelines for delivery of managed between State Facility Availability and
resources, capabilities, and FEMA Stand-up Times
and program delivery
Personnel Needs
Gives IMAT baseline for
Personnel & Provides specific, agreed-
Mission Assignment Anticipated Shortfalls &
Resource upon resource
scope, personnel ordering Federal Resource
Requirements requirements based on
requirements, JFO size Requirements
the assumed, modeled
needs, and logistics
impacts Commodity Shortfalls &
footprint requirements
Federal Requirements
Gives guidelines for a Resource Request Times
Detailed list of actions
time-phased approach to
required to bring forth Logistics Footprint
coordinate provision of
Operational personnel and resources Establishment
required resources to the
Checklists required. May provide Timeframes
State. Helps to manage
tactical assignment and
tasks within specific Anticipated Timeline for
anticipated force laydown.
operational periods. Resource Delivery
EEI: Important and
standard information
items that incident
managers need to make Pre-Approved EEI List
timely and informed Provides initial input into
EEIs/CIRs decisions the Planning Section- Pre-Approved CIR List
derived ICP.
CIR: Particular elements of
information specifically
requested by incident
leaders
Incident Support Base
List
Gives parameters for
Listing of preapproved Mobilization Center List
Logistics and Operations
Existing facilities and their
to identify resource Pre-Approved JFO Sites
Facilities anticipated use given the
allocation and logistics
plan scenario Points of Distribution Plan
capabilities/limitations
State/Federal Staging
Area List
Pre-determined list of joint Pre-Approved Priorities
Incident State/FEMA initial Gives baseline to IMAT for List
Priorities & priorities and supporting initial objectives
Objectives objectives for the specific development Pre-Approved Objectives
incident List
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Post Initial Situation Awareness
After the initial efforts to gain situational awareness (Phase 1), the iterative information
collection process begins during Phase 2 and continues to inform all aspects of incident action
planning throughout the life cycle of the incident. This process includes the collection, analysis,
and dissemination of information to assist operations and support functions in planning for
providing support and resources to survivors during each operational period.
8
Refer to the Incident Management Manual.
68
Situation Reports
The Planning Section produces Situation Reports, which are the primary summary of
information of the immediately completed operational period. Situation reports address EEIs, as
well as other pertinent information for the last operational period. Situation reports are also tied
directly to IAPs; reports should reflect the results of IAP work assignments. By reporting on the
results of work assignments the Situation Report can inform adjustments to objectives, strategies,
or priorities of the coming operational period.
Spot Reports
Information for Spot Reports may be generated by any element at the incident level. These
reports provide information on occurrences and/or conditions that may have an immediate and
significant effect on current operations. Spot Reports can provide information that is important to
incident objectives and tactics (e.g., severe weather or hazmat spills). Spot Reports often add
value to incident action planning efforts by providing timely information on significant aspects
of the incident. In the early stages of a response, Spot Reports may be the only source of
Situational Awareness until the planning cycle begins and the Situation Report is generated.
Gathering Information
69
Responsibilities
The Command Staff and the Operations, Logistics, and Finance and Administration
Sections are responsible for regularly providing the Planning Section with clear, timely, and
accurate information.
The Planning Section is responsible for providing the Operations Section with information
products needed for effective decision making. Two units within the Planning Section are
principally responsible for providing these information products: the Situation and Resource
units.
The Situation Unit processes requests for information; develops reports, briefings, and
presentations; collects and analyzes information; and integrates geospatial and technical
information for situational awareness. This unit is the primary organization responsible for
maintaining situational awareness within the incident organization. The unit works with the
GIS Unit to prepare and maintain incident maps.
The Resources Unit develops and maintains the Incident Organization Chart (FEMA ICS
Form 207) depicting the C&GS, as well as an organizational chart depicting only the
Operations Section. The unit also develops the Incident Telephone Communications Plan
(FEMA ICS Form 205 A) for each operational period detailing key staff and their contact
information.
Summary
Applying accurate and timely situational awareness in each operational period includes:
Effective situational awareness is supported by Situation Reports, Spot Reports, and briefings,
which in turn, support the development of incident objectives, tactics, and work assignments.
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FEMA P-914
Catalog No. 12137-1