March 2009

CONTENTS

iii

CONTENTS

Comprehensive Preparedness Guide 101

March 2009

C O N T E N T S

PREFACE ……………………………………………………………………………………………………………………………………… Preface-1 Acknowledgments ……………………………………………………………………………………………………………………… Preface-2

INTRODUCTION AND OVERVIEW ……………………………………………………………………………………………….. Intro-1 Introduction ………………………………………………………………………………………………………………………………….. Intro-1

Purpose ……………………………………………………………………………………………………………………………………. Intro-1 Applicability and Scope ……………………………………………………………………………………………………………. Intro-2 Supersession ……………………………………………………………………………………………………………………………. Intro-2 Authorities ……………………………………………………………………………………………………………………………… Intro-2 How to Use this Guide ………………………………………………………………………………………………………………. Intro-3 Recommended Training …………………………………………………………………………………………………………….. Intro-4 NIMS Compliance and Integration …………………………………………………………………………………………….. Intro-5 Administrative Information ………………………………………………………………………………………………………. Intro-5 Revision Process ……………………………………………………………………………………………………………………… Intro-6

SECTION 1: PLANNING FUNDAMENTALS AND PROCESS

1. PLANNING FUNDAMENTALS ………………………………………………………………………………………………………….. 1-1 Planning Principles …………………………………………………………………………………………………………………………….. 1-1 Strategic, Operational, and Tactical Planning …………………………………………………………………………………………. 1-4 Supporting Planning Approaches ………………………………………………………………………………………………………….. 1-6 Plan Integration ………………………………………………………………………………………………………………………………….. 1-6 Plan Synchronization ………………………………………………………………………………………………………………………….. 1-7 Planning Pitfalls ……………………………………………………………………………………………………………………………….. 1-10

2. PLANNING CONSIDERATIONS ……………………………………………………………………………………………………….. 2-1 Information Sharing ……………………………………………………………………………………………………………………………. 2-3 Planning for Adaptive Versus Non-Adaptive Risks …………………………………………………………………………………. 2-4 Planning Strategies for Prevention and Protection ………………………………………………………………………………….. 2-4 Planning Strategies for Response and Recovery …………………………………………………………………………………….. 2-5 Planning in Support of Overall Preparedness …………………………………………………………………………………………. 2-7

3. THE PLANNING PROCESS ……………………………………………………………………………………………………………….. 3-1 Overview …………………………………………………………………………………………………………………………………………… 3-1 Characteristics of Effective Planning Processes …………………………………………………………………………………….. 3-2 Steps in the Planning Process ………………………………………………………………………………………………………………. 3-2 Step 1: Form a Collaborative Planning Team …………………………………………………………………………………………. 3-3 Step 2: Understand the Situation …………………………………………………………………………………………………………… 3-9

Conduct Research ………………………………………………………………………………………………………………………….. 3-9 Analyze the Information ……………………………………………………………………………………………………………….. 3-11

iv

March 2009

Step 3: Determine Goals and Objectives ……………………………………………………………………………………………… 3-13 Step 4: Plan Development ………………………………………………………………………………………………………………….. 3-15

Develop and Analyze Courses of Action, Identify Resources …………………………………………………………….. 3-15 Step 5: Plan Preparation, Review, and Approval …………………………………………………………………………………… 3-18

Write the Plan ……………………………………………………………………………………………………………………………… 3-18 Approve and Disseminate the Plan ………………………………………………………………………………………………… 3-19

Step 6: Plan Refinement and Execution ……………………………………………………………………………………………….. 3-20 Exercise the Plan and Evaluate Its Effectiveness ……………………………………………………………………………… 3-20 Review, Revise, and Maintain the Plan …………………………………………………………………………………………… 3-23

4. LINKING FEDERAL, STATE, TERRITORIAL, TRIBAL, AND LOCAL PLANS ………………………………… 4-1 Emergency Planning Requirements ………………………………………………………………………………………………………. 4-1

The National Incident Management System ………………………………………………………………………………………. 4-2 The National Response Framework ………………………………………………………………………………………………….. 4-4

Relationship between Federal Plans and State EOPs ………………………………………………………………………………. 4-7 Federal Emergency Plans at the National Level ………………………………………………………………………………… 4-7 Federal Emergency Plans at the Regional Level ………………………………………………………………………………… 4-8 State Emergency Operations Plan …………………………………………………………………………………………………….. 4-8

Linking Federal, State, Territorial, Tribal, and Local Emergency Plans……………………………………………………. 4-11

SECTION 2: PLANNING APPLICATION — DEVELOPING AN EMERGENCY OPERATIONS PLAN

5. EMERGENCY OPERATIONS PLAN FORMATS ………………………………………………………………………………… 5-1 The Emergency Operations Plan as a CONPLAN…………………………………………………………………………………… 5-1

State, Territorial, Tribal, and Local EOPs ………………………………………………………………………………………….. 5-2 Structuring an EOP …………………………………………………………………………………………………………………………….. 5-3

Traditional Functional Format …………………………………………………………………………………………………………. 5-4 Emergency Support Function (ESF) Format …………………………………………………………………………………….. 5-6 Agency-/Department-Focused Format ……………………………………………………………………………………………… 5-8

Using Planning Templates …………………………………………………………………………………………………………………. 5-10 Additional Types of Plans ………………………………………………………………………………………………………………….. 5-11

Procedural Documents ………………………………………………………………………………………………………………….. 5-12 Determining Whether to Use a Plan or Procedural Document ……………………………………………………………. 5-14

v

CONTENTS

Comprehensive Preparedness Guide 101

March 2009

6. EMERGENCY OPERATIONS PLAN CONTENT ……………………………………………………………………………….. 6-1 The Basic Plan …………………………………………………………………………………………………………………………………… 6-1

Introductory Material ……………………………………………………………………………………………………………………… 6-1 Purpose, Scope, Situation, and Assumptions ……………………………………………………………………………………… 6-2 Concept of Operations ……………………………………………………………………………………………………………………. 6-3 Organization and Assignment of Responsibilities ………………………………………………………………………………. 6-3 Direction, Control, and Coordination ……………………………………………………………………………………………….. 6-4 Information Collection and Dissemination ………………………………………………………………………………………… 6-4 Communications ……………………………………………………………………………………………………………………………. 6-4 Administration, Finance, and Logistics …………………………………………………………………………………………….. 6-5 Plan Development and Maintenance ………………………………………………………………………………………………… 6-5 Authorities and References ……………………………………………………………………………………………………………… 6-5

Supporting Annexes ……………………………………………………………………………………………………………………………. 6-6 Functional, Support, Emergency Phase, or Agency-Focused Annex Content …………………………………………. 6-6

Hazard-, Threat-, or Incident-Specific Annexes or Appendices…………………………………………………………………. 6-9 Annex and/or Appendix Implementing Instructions ………………………………………………………………………….. 6-10 Special Preparedness Programs ……………………………………………………………………………………………………… 6-11

SECTION 3: APPENDICES

APPENDIX A: AUTHORITIES AND REFERENCES ……………………………………………………………………………. A-1

APPENDIX B: GLOSSARY AND LIST OF ACRONYMS ……………………………………………………………………….. B-1

APPENDIX C: EOP DEVELOPMENT GUIDE ………………………………………………………………………………………. C-1

APPENDIX D: HAZARD MITIGATION PLANNING …………………………………………………………………………….D-1

FIGURES

1.1 Planning Horizons …………………………………………………………………………………………………………………………….. 1-8

1.2 Forward and Reverse Planning ………………………………………………………………………………………………………….. 1-9

2.1 Homeland Security Mission Areas ……………………………………………………………………………………………………… 2-2

2.2 Suggested Preparedness Estimate Format ………………………………………………………………………………………….. 2-7

3.1 Comparison of Published Planning Processes …………………………………………………………………………………….. 3-1

vi

March 2009

3.2 Process for Completing the Planning Steps ………………………………………………………………………………………… 3-3

3.3 “Yellow Sticky” Chart ……………………………………………………………………………………………………………………. 3-16

4.1 Relationships of the National Preparedness Initiatives to State, Territorial, Tribal, and Local Emergency Planning ………………………………………………………………………………………………. 4-3

4.2 Federal and State Planning Relationships ………………………………………………………………………………………… 4-10

4.3 Linkages between Federal, Regional, and State and Local Plans ……………………………………………………….. 4-11

5.1 Traditional Functional EOP Format ………………………………………………………………………………………………….. 5-5

5.2 Emergency Support Function EOP Format ………………………………………………………………………………………… 5-7

5.3 Agency-/Department-Focused EOP Format ……………………………………………………………………………………….. 5-9

C.1 Process for Completing the Planning Steps ……………………………………………………………………………………….. C-4

TABLES

3.1 Potential Members of a Larger Community Planning Team ………………………………………………………………… 3-6

3.2 Sample Hazards List ……………………………………………………………………………………………………………………….. 3-12

6.1 Comparison of Potential Functional Annex Structures ……………………………………………………………………….. 6-8

D.1 CPG 101 and Mitigation Planning Process Comparison ……………………………………………………………………..D-2

PREFACE

Preface-1

PREFACE

Comprehensive Preparedness Guide 101

March 2009

P R E FA C E

This Comprehensive Preparedness Guide, CPG 101, expands on the Federal Emergency Management Agency’s (FEMA’s) efforts to provide guidance about response and recovery planning to State, Territorial, Tribal, and Local governments. It also extends those planning concepts into the prevention and protection mission areas. Some predecessor material can be traced back to the 1960s-era Federal Civil Defense Guide. Long-time emergency management practitioners also will recognize the influence of Civil Preparedness Guide 1-8, Guide for the Development of State and Local Emergency Operations Plans, and State and Local Guide (SLG) 101, Guide for All-Hazards Emergency Operations Planning, in this document.

While CPG 101 maintains its link to the past, it also reflects the changed reality of the current operational planning environment. Hurricane Hugo and the Loma Prieta earthquake influenced the development of CPG 1-8. Hurricane Andrew and the Midwest floods shaped the contents of SLG 101. In a similar way, CPG 101 reflects the impacts of the September 11, 2001, terrorist attacks and recent major disasters, such as Hurricanes Katrina and Rita, on the emergency planning community. CPG 101 integrates concepts from the National Preparedness Guidelines (NPG), National Incident Management System (NIMS), National Response Framework (NRF), National Strategy for Information Sharing (NSIS), and National Infrastructure Protection Plan (NIPP), and it incorporates recommendations from the 2005 Nationwide Plan Review. CPG 101 also serves as a companion document to the Integrated Planning System (IPS) mandated by Annex I of Homeland Security Presidential Directive (HSPD)-8, and it fulfills the requirement that the IPS address State and local planning. Additionally, CPG 101 also references the Target Capabilities List (TCL) that outlines the fundamental capabilities essential to implementing the National Preparedness Guidelines. As part of a larger planning modernization effort, CPG 101 provides methods for State, Territorial, Tribal, and Local planners to:

• Develop sufficiently trained planners to meet and sustain planning requirements;

• Identify resource demands and operational options across all homeland security mission areas throughout the planning process;

• Link planning, preparedness, and resource and asset management processes and data in a virtual environment;

• Prioritize plans and planning efforts to best support emergency management and homeland security strategies and allow for their seamless transition to execution;

• Produce and tailor the full range of combined Federal, State, Territorial, Tribal, and Local government options according to changing circumstances; and

• Quickly produce plans on demand, with revisions as needed.

This Guide provides emergency and homeland security managers and other emergency services personnel with FEMA’s recommendations on how to address the entire planning process — from forming a planning team, through writing and maintaining the plan, to executing the plan. It also encourages emergency and homeland security managers to follow a process that addresses all of the hazards and threats that might impact their jurisdiction through a suite of operations plans (OPLANs) connected to a single, integrated concept plan (CONPLAN).

Terms and acronyms in the text emphasized with bold type come from the FEMA Acronyms, Abbreviations, and Terms (FAAT) or the National Incident Management System (NIMS). The glossary lists most terms used in CPG 101 that have FAAT or NIMS definitions. Bold and italic type is used for terms or acronyms first identified in this CPG.

Preface-2

March 2009

Over the past five years, many communities developed multi-hazard mitigation plans, addressing many of the same hazards as their emergency operations plan (EOP). In fact, the hazard identification and risk assessment sections of these plans should be the same (while mitigation plans are only required to address natural hazards, communities are encouraged to address man-made and technological hazards as well). Communities are encouraged to coordinate their mitigation and emergency management planning efforts to reduce duplication of effort.

This Guide should help State, Territorial, Tribal, and Local governments produce operations plans that:

• Serve as the basis for effective response to any hazard that threatens the jurisdiction;

• Integrate prevention, protection, and mitigation activities with traditional response and recovery planning; and

• Facilitate coordination with the Federal government during incidents that require the implementation of the NRF (includes consultation and coordination in support of unilateral Federal government actions under its authorities and pursuant to the National Implementation Plan for the Global War on Terror).

Additionally, CPG 101 incorporates concepts that come from operations planning research and day-to-day experience:

• Effective plans convey the goals and objectives of the intended operation and the actions needed to achieve them.

• Successful operations occur when organizations know their roles, accept them, and understand how they fit into the overall plan.

• The process of planning is just as important as the document that results from it.

• Plans are not scripts followed to the letter but are flexible and adaptable to the actual situation.

This Guide is part of a larger series of planning-related CPGs published by FEMA. CPG 101 discusses the steps used to produce an emergency operations plan, possible plan structures, and what goes into the basic plan and its annexes. Follow-on guides will provide detailed information about planning considerations for different functions, hazards, and threats.

CPG 101 is the foundation for State and local planning in the United States. Planners in other disciplines and organizations may find portions of this Guide useful in the development of their operations plans. FEMA-141, Emergency Management Guide for Business and Industry, provides additional information for developing emergency response plans for private sector organizations.

ACKNOWLEDGMENTS

A working group composed of more than 40 members from State and local governments, professional associations, and universities developed CPG 101.

INTRODUCTION AND OVERVIEW

March 2009

Intro-1

INTRODUCTION AND OVERVIEW

Comprehensive Preparedness Guide 101

I N T R O D U C T I O N A N D O V E RV I E W

INTRODUCTION

Purpose

CPG 101 provides general guidelines on developing emergency operations plans. It promotes a common understanding of the fundamentals of planning and decision making to help operations planners examine a hazard or threat and produce integrated, coordinated, and synchronized plans. This Guide helps emergency and homeland security managers in State, Territorial, Tribal, and Local governments (hereafter, State and Local governments) in their efforts to develop and maintain viable all-hazard, all-threat emergency plans. Each jurisdiction’s plans must reflect what that community will do to protect itself from its unique hazards and threats with the unique resources it has or can obtain.

Planning has a proven ability to influence events before they occur and is an indispensable contribution to unity of effort. The President identified emergency planning as a national security priority, and this prioritization is reflected in the National Preparedness Guidelines. Planning must be conducted in an atmosphere of trust and mutual understanding. Accomplished properly, planning provides a methodical way to think through the entire life cycle of a potential crisis, determine required capabilities, and help stakeholders learn and practice their roles. It directs how a community envisions and shares a desired outcome, selects effective ways to achieve it, and communicates expected results. Planning is not formulaic or scripted. No planner can anticipate every scenario or foresee every outcome. Planners measure a plan’s quality by its effectiveness when used to address unforeseen events, not by the fact that responders executed it as scripted.

Comprehensive planning systems involve both deliberative planning and incident action planning. Deliberative planning is the process of developing strategic and operational plans based upon facts or assumptions about the circumstances involved in a hypothetical situation; in other words, they are created in advance of events. In incident action planning, leaders adapt existing deliberative plans during an incident or when they recognize that a specific event is about to occur. Planners know that both deliberative and incident action planning are critical to developing a robust planning capability within and among all stakeholders (including nongovernmental organizations [NGOs]).

Planners achieve unity of purpose through horizontal coordination and vertical integration of plans among all levels and sectors. This supports the foundational principle that in many situations homeland security operations start at the Local level and add State, Regional, and Federal assets as the affected jurisdiction requires additional resources and capabilities. This means that plans must be integrated vertically among levels of government to ensure a common operational focus. Similarly, planners at each level must ensure that individual department and agency operation plans fit into the jurisdiction’s plans. This horizontal coordination ensures that each department or agency understands, accepts, and is prepared to execute mission assignments identified in the jurisdiction’s plans. Incorporating both aspects ensures that the sequence and scope of a planned operation (what should happen, when, and at whose direction) are synchronized in terms of purpose, place, and time for all participants.

“Let our advance worrying become advanced thinking and planning.”

Winston Churchill

Planners should employ processes to coordinate and integrate NGO plans with their jurisdiction’s plans.

March 2009

Intro-2

A shared planning system or planning community increases collaboration, makes planning cycles more efficient and effective, and makes plans easier to maintain. Planning is an essential homeland security activity. It requires policies, procedures, and tools that support the decision makers and planners who make up the planning community. Through this effort, FEMA hopes to create a comprehensive national planning system and develop a dynamic national planning community. This is the goal of HSPD-8, through both the National Preparedness Guidelines and Annex I to HSPD-8.

Applicability and Scope

FEMA recommends that teams responsible for developing emergency plans within State and Local governments and in the private sector use CPG 101 to guide their efforts. It provides a context for emergency planning in light of other existing plans and describes a process to use in any planning effort. The Guide recognizes that many jurisdictions across the country have already developed emergency operations plans (EOPs) that address many homeland security operations. Therefore, CPG 101 establishes no immediate requirements but suggests that the next iteration of all EOPs follow this guidance.

Supersession

CPG 101 is new. It replaces SLG 101, which is rescinded.

Authorities

Through the Robert T. Stafford Disaster Relief and Emergency Assistance Act (the Stafford Act), as amended, 42 United States Code (U.S.C.) 5121, et seq., Congress recognizes emergency management as a joint responsibility of Federal, State, and Local governments. For the Federal government, Congress defines a role that includes providing “necessary direction, coordination, and guidance” (Sec. 601, 42 U.S.C. 5195) for the nation’s emergency management system, to include “technical assistance to the states in developing comprehensive plans and practicable programs for preparation against disasters” (Sec. 201(b), 42 U.S.C. 5131(b)).

The Stafford Act (Sec. 404 (a), 42 U.S.C 5170c (c)) also provides the legal authority for FEMA’s requirement (44 Code of Federal Regulations [CFR] Part 201) that State, Territorial, Tribal, and Local governments produce mitigation plans as a condition of receiving funding for mitigation grants. This Act provides an opportunity for States and local governments to take a new and revitalized approach to mitigation planning and emphasizes the need for State and Local entities to closely coordinate mitigation planning and implementation efforts. The requirement for a State mitigation plan is also a condition of disaster public assistance, adding incentives for increased coordination and integration of mitigation activities at the State level.

The Homeland Security Act of 2002 provides the basis for Department of Homeland Security (DHS) responsibilities in the protection of the Nation’s critical infrastructures and key resources (CIKR). The Act assigns DHS the responsibility to develop a comprehensive national plan for securing CIKR and for recommending “measures necessary to protect the key resources and critical infrastructure of the United States in coordination with other agencies of the Federal government and in cooperation with State and Local government agencies and authorities, the private sector, and other entities.”

March 2009

Intro-3

INTRODUCTION AND OVERVIEW

Comprehensive Preparedness Guide 101

Additionally, Chapter 1, Title 44 of the Code of Federal Regulations promulgates regulations governing emergency management and assistance and provides procedural, eligibility, and funding requirements for program operations.

State, Territorial, Tribal and Local, governments should use this Guide to supplement laws, policies, and regulations from their jurisdictions.

How to Use this Guide

CPG 101 is designed to help both novice and experienced planners navigate the planning process. Chapter 1 discusses planning fundamentals. It focuses on the characteristics of operational planning, the art and science of planning, and on concepts for plan integration and synchronization. Chapter 2 discusses planning considerations common to all homeland security missions and then elaborates on the distinctive aspects of planning for each individual mission area (Prevent, Protect, Respond, and Recover). Chapter 3 outlines the steps of the homeland security planning process. It discusses how to produce operations plans as a team, the importance of research and hazard analysis in producing a plan, and how to determine the roles and responsibilities of participating organizations. Chapter 4 discusses linking Federal, State, Territorial, Tribal, and Local plans. Chapter 5 provides some practice-based options for structuring operations plans, using existing EOPs. Again using the EOP as an example, Chapter 6 discusses typical conten

Related Tags